DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

H•••••••• F•••••••• G••••• I•••

Former SEC-registered adviserKennewick, WashingtonCRD 118153SEC 801-61119IAPD
Latest filing Oct 21, 2015
First filing on the tape Mar 20, 2012 · 16 filings
RAUM
$332M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$332M as of Feb 27, 2015
Mar 20, 2012$263M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Feb 27, 2015
Mar 20, 20120 then
Employees (5.A)13 as of Feb 27, 2015
Apr 1, 201311 then
Private funds: no history
RAUM +16% over the last fiscal year+8.1% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Oct 21, 2015; every figure names its basis
RAUM per advisor
$66.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$148,289derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.6derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+16%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Financial planning clients
700reportedItem 5.H
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2,239reported
Financial planning clients
700reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H••••••••• J••• T•••• · Presidentcontrol
      since 01/1982 · owns 50% to 75%
    • M••••••••• B•••••••• D•••• · Vice Presidentcontrol
      since 01/2009 · owns 10% to 25%
    • T••••••• T••••••• M•••••• · Treasurercontrol
      since 01/2009 · owns 10% to 25%
    • L••••••••• R•••••• M• · Chief Compliance Officer
      since 01/2014 · owns 5% to 10%
    • P•••• S••••••• N••••• · Operations Officer
      since 12/2012 · owns 5% to 10%
    • W•••• W••••••• T••• H••••• · Minority Owner
      since 01/2015 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 662 to 2,239
      Aug 5, 2014 to Feb 27, 2015
    • Advisory activities · 4 to 3
      Aug 5, 2014 to Feb 27, 2015
    • Employees · 11 to 13
      Aug 5, 2014 to Feb 27, 2015
    • Discretionary RAUM · $287M to $327M
      Aug 5, 2014 to Feb 27, 2015
    • Non-discretionary RAUM · $0 to $5.0M
      Aug 5, 2014 to Feb 27, 2015
    • RAUM · $287M to $332M
      Aug 5, 2014 to Feb 27, 2015
    • Accounts · 593 to 662
      Apr 22, 2013 to Mar 26, 2014
    • BD registered reps · 5 to 0
      Apr 22, 2013 to Mar 26, 2014
    • Discretionary RAUM · $252M to $287M
      Apr 22, 2013 to Mar 26, 2014
    • RAUM · $252M to $287M
      Apr 22, 2013 to Mar 26, 2014
    • Related broker-dealer · true to false
      Apr 22, 2013 to Mar 26, 2014
    • Accounts · 531 to 593
      Mar 20, 2012 to Apr 1, 2013
    • Advisory employees · unset to 5.0
      Mar 20, 2012 to Apr 1, 2013
    • BD registered reps · unset to 5.0
      Mar 20, 2012 to Apr 1, 2013
    • Assets in custody · unset to 0.0
      Mar 20, 2012 to Apr 1, 2013
    • Employees · unset to 11.0
      Mar 20, 2012 to Apr 1, 2013
    • Financial planning clients · 251-500 to More than 500
      Mar 20, 2012 to Apr 1, 2013
    • State-registered IARs · 0 to 5
      Mar 20, 2012 to Apr 1, 2013
    • Discretionary RAUM · $263M to $252M
      Mar 20, 2012 to Apr 1, 2013
    • RAUM · $263M to $252M
      Mar 20, 2012 to Apr 1, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026