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

L••• U•••• C•••••• M••••••••• L••

Former SEC-registered adviserSeattle, WashingtonCRD 127542SEC 801-66733IAPD
Latest filing Apr 30, 2013
First filing on the tape Nov 23, 2011 · 5 filings
RAUM
$54.5M
reported, Item 5.F
Discretionary
100%
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$54.5M gross assets
History
5 filings and snapshots on the tape
RAUM$60.1M as of Mar 20, 2013
Mar 29, 2012$78.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2013
Mar 29, 20120 then
Employees (5.A): 5
Private funds2 as of Mar 20, 2013
Mar 29, 20122 then
RAUM -30% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 30, 2013; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$27.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-23%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$54.5M, 2 clientsreportedItem 9.A
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$54.5M for 2 clientsreported
Compensation
% of AUM, performancereported
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
    2 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    L••• U•••• C•••••• F•••• L•Hedge Fund$40.9M1Nov 23, 2011
    L••• U•••• C•••••• T• F•••• L•Hedge Fund$13.6M1Nov 23, 2011
    Owners and control persons
    Schedule A and B, latest filing
    • B••••• A••••• L•• · Chief Compliance Officercontrol
      since 04/2006 · owns less than 5%
    • S•••• M••••••• R••••• · Managing Membercontrol
      since 06/2003 · owns 75% or more
    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
    • Advisory employees · 4 to 3
      Mar 20, 2013 to Apr 30, 2013
    • Assets in custody · $60.1M to $54.5M
      Mar 20, 2013 to Apr 30, 2013
    • Employees · 5 to 4
      Mar 20, 2013 to Apr 30, 2013
    • Discretionary RAUM · $60.1M to $54.5M
      Mar 20, 2013 to Apr 30, 2013
    • RAUM · $60.1M to $54.5M
      Mar 20, 2013 to Apr 30, 2013
    • Advisory employees · unset to 4.0
      Apr 4, 2012 to Mar 20, 2013
    • Assets in custody · $91.1M to $60.1M
      Apr 4, 2012 to Mar 20, 2013
    • Employees · unset to 5.0
      Apr 4, 2012 to Mar 20, 2013
    • Discretionary RAUM · $91.1M to $60.1M
      Apr 4, 2012 to Mar 20, 2013
    • RAUM · $91.1M to $60.1M
      Apr 4, 2012 to Mar 20, 2013
    • Assets in custody · $78.3M to $91.1M
      Mar 29, 2012 to Apr 4, 2012
    • Discretionary RAUM · $78.3M to $91.1M
      Mar 29, 2012 to Apr 4, 2012
    • RAUM · $78.3M to $91.1M
      Mar 29, 2012 to Apr 4, 2012
    • Assets in custody · $76.5M to $78.3M
      Nov 23, 2011 to Mar 29, 2012
    • Discretionary RAUM · $76.5M to $78.3M
      Nov 23, 2011 to Mar 29, 2012
    • RAUM · $76.5M to $78.3M
      Nov 23, 2011 to Mar 29, 2012
    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