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.
Former SEC-registered adviser
Schmidt Financial Group, Inc.
Latest filing Apr 12, 2024
First filing on the tape Mar 30, 2012 · 21 filings
RAUM
$475M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$475M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$475M as of Mar 29, 2024
Mar 30, 2012$266M then
HNW client RAUM$452M as of Mar 29, 2024
Mar 27, 2018$344M then
State-registered IARs (5.B.3)3 as of Mar 29, 2024
Mar 30, 20120 then
Employees (5.A)6 as of Mar 29, 2024
Feb 25, 20134 then
Private funds: no history
RAUM +14% over the last fiscal year+0.0% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Apr 12, 2024; every figure names its basis
- RAUM per advisor
- $158MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $431,630derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$452M95%
- Individuals$23.1M4.9%
- Individual clients
- 63reported
- HNW clients
- 113reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,101reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
Left, latest
- Evan Todd Schmidt to Schmidt Financial ManagementApr 2, 2024 · RIA to a newly registered adviser
- Dominic Christian Hubert to Schmidt Financial ManagementApr 2, 2024 · RIA to a newly registered adviser
- Timothy Dean Griffith to Wealthshield Partners, LLCJul 15, 2020 · RIA to RIA
- Ryan Kenneth Schmidt to Palo Alto Wealth Advisors, LLCDec 31, 2016 · Other
Joined, latest
- Timothy Dean Griffith from Cetera Advisor Networks LLCApr 1, 2002 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Schmidt Financial ManagementApr 2, 2024 · Kirkland, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Irvin Paul Cox · Chief Compliance Officercontrolsince 09/2018 · owns less than 5%
- Todd Evan Schmidt · Presidentcontrolsince 07/2019 · owns less than 5%
- Sue Glenda Schmidt · Foundercontrolsince 11/1999 · owns less than 5%
Entity owners
- Nfp Corp. · Ownerdirect · owns 75% or more
- Madison Dearborn Partners · General Partnerindirect · owns F of Patriot Spv Gp, L.P
- Nfp Holdings, LLC · Ownerindirect · owns 75% or more of Nfp Parent Co, LLC
- Nfp Intermediate Holdings A. Corp. · Ownerindirect · owns 75% or more of Nfp Intermediate Holdings B. Corp.
- Nfp Intermediate Holdings B. Corp. · Ownerindirect · owns 75% or more of Nfp Corp.
- Nfp Parent Co, LLC · Ownerindirect · owns 75% or more of Nfp Intermediate Holdings A. Corp.
- Nfp Ultimate Holdings, LLC · Ownerindirect · owns 75% or more of Nfp Holdings, LLC
- Patriot Spv Gp, L.P · General Partnerindirect · owns F of Patriot Spv, L.P
- Patriot Spv, L.P · Ownerindirect · owns 25% to 50% of Nfp Ultimate Holdings, LLC
Related persons
Schedule D 7.A
- Nfp Insurance Services, Inc.real estaten
- Nfp Property & Casualty Services, Inc.real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Kirkland, Wa · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,127 to 1,101Feb 23, 2024 to Mar 29, 2024
- Advisory employees · 2 to 3Feb 23, 2024 to Mar 29, 2024
- HNW clients · 76 to 113Feb 23, 2024 to Mar 29, 2024
- Individual clients · 94 to 63Feb 23, 2024 to Mar 29, 2024
- Employees · 5 to 6Feb 23, 2024 to Mar 29, 2024
- State-registered IARs · 2 to 3Feb 23, 2024 to Mar 29, 2024
- Discretionary RAUM · $406M to $468MFeb 23, 2024 to Mar 29, 2024
- HNW RAUM · $345M to $452MFeb 23, 2024 to Mar 29, 2024
- Individual RAUM · $71.3M to $23.1MFeb 23, 2024 to Mar 29, 2024
- Non-discretionary RAUM · $11.1M to $7.6MFeb 23, 2024 to Mar 29, 2024
- RAUM · $417M to $475MFeb 23, 2024 to Mar 29, 2024
- Accounts · 1,065 to 1,127Mar 14, 2022 to Mar 22, 2023
- HNW clients · 82 to 76Mar 14, 2022 to Mar 22, 2023
- Individual clients · 73 to 94Mar 14, 2022 to Mar 22, 2023
- Financial planning clients · 0 to 101-250Mar 14, 2022 to Mar 22, 2023
- Discretionary RAUM · $461M to $406MMar 14, 2022 to Mar 22, 2023
- HNW RAUM · $417M to $345MMar 14, 2022 to Mar 22, 2023
- Individual RAUM · $64.8M to $71.3MMar 14, 2022 to Mar 22, 2023
- Non-discretionary RAUM · $20.7M to $11.1MMar 14, 2022 to Mar 22, 2023
- RAUM · $482M to $417MMar 14, 2022 to Mar 22, 2023
- Accounts · 969 to 1,065Mar 3, 2021 to Mar 14, 2022
- HNW clients · 131 to 82Mar 3, 2021 to Mar 14, 2022
- Individual clients · 58 to 73Mar 3, 2021 to Mar 14, 2022
- Employees · 4 to 5Mar 3, 2021 to Mar 14, 2022
- Discretionary RAUM · $475M to $461MMar 3, 2021 to Mar 14, 2022
- HNW RAUM · $452M to $417MMar 3, 2021 to Mar 14, 2022
- Individual RAUM · $22.8M to $64.8MMar 3, 2021 to Mar 14, 2022
- Non-discretionary RAUM · $0 to $20.7MMar 3, 2021 to Mar 14, 2022
- RAUM · $475M to $482MMar 3, 2021 to Mar 14, 2022
- Accounts · 1,152 to 969Jun 25, 2020 to Mar 3, 2021
- Advisory employees · 3 to 2Jun 25, 2020 to Mar 3, 2021
- HNW clients · 134 to 131Jun 25, 2020 to Mar 3, 2021
- Individual clients · 64 to 58Jun 25, 2020 to Mar 3, 2021
- State-registered IARs · 3 to 2Jun 25, 2020 to Mar 3, 2021
- Discretionary RAUM · $414M to $475MJun 25, 2020 to Mar 3, 2021
- HNW RAUM · $405M to $452MJun 25, 2020 to Mar 3, 2021
- Individual RAUM · $9.2M to $22.8MJun 25, 2020 to Mar 3, 2021
- RAUM · $414M to $475MJun 25, 2020 to Mar 3, 2021
- Accounts · 1,031 to 1,152Mar 22, 2019 to Mar 18, 2020
- HNW clients · 126 to 134Mar 22, 2019 to Mar 18, 2020
Signals
4 dated events
- Dominic Christian Hubert left Schmidt Financial Group, Inc. for Schmidt Financial Management (registered 2024-03-14)Apr 2, 2024 · Advisor changed firm · fact
- Evan Todd Schmidt left Schmidt Financial Group, Inc. for Schmidt Financial Management (registered 2024-03-14)Apr 2, 2024 · Advisor changed firm · fact
- 2 advisors left Schmidt Financial Group, Inc. (Kirkland, WA) for Schmidt Financial Management on the same dayApr 2, 2024 · Team lift-out · derived
- Todd Evan Schmidt (President) appeared on Schedule A of Schmidt Financial Group, Inc.Mar 18, 2020 · Control person joined · fact
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