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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SEC-registered adviser
T••••• T••••• I••••••••• A•••••••• L••
Legal name T••••• T••••• I••••••••• A•••••••••
Latest filing Jul 24, 2026
First filing on the tape Jan 15, 2025 · 4 filings
SEC status approved since Feb 18, 2025
RAUM
$139M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
83%
$115M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$34.7M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$139M as of Jul 24, 2026
Jan 15, 2025$123M then
HNW client RAUM$53.8M as of Jul 24, 2026
Jan 15, 2025$57.4M then
State-registered IARs (5.B.3)4 as of Jul 24, 2026
Jan 15, 20253 then
Employees (5.A)6 as of Jul 24, 2026
Jan 15, 20254 then
Private funds: no history
RAUM +13% over the last fiscal yearIARs 3 to 4offices 3 to 4
Practice profile
derived from the filing of Jul 24, 2026; every figure names its basis
- RAUM per advisor
- $34.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 78derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $246,416derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +47%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$61.1M52%
- High-net-worth individuals$53.8M46%
- Corporations and businesses$2.8M2.4%
- Individual clients
- 289reported
- HNW clients
- 23reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 564reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.83 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•• D•• L••• | Spokane, Wa | Jul 30, 2014 | 38 y | 3 |
| J••••• M•••••• M•••••Certified Financial Planner | Spokane, Wa | Mar 30, 2016 | 14 y | 1 |
| B•••• W••• B••••••• | Mead, Wa | Sep 19, 2019 | 33 y | 3 |
| M•••• M•••• B••••••• | Spokane, Wa | Jan 22, 2026 | 13 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- B•••• W••• B••••••• from B••••••• W••••• M••••••••• I•••Sep 19, 2019 · Other
- J••••• M•••••• M••••• from T•• C•••••• W••••• A•••••••• L••Mar 30, 2016 · Other
- J•• D•• L••• from P••••••• H••••••• W••••• A•••••••• I•••Jul 30, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••• J••••••• · Ccosince 01/2024 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Spokane, Wa | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Insurance-licensed employees · 1 to 0Feb 17, 2026 to Jul 24, 2026
- Accounts · 521 to 564Dec 11, 2025 to Feb 17, 2026
- Advisory employees · 3 to 4Dec 11, 2025 to Feb 17, 2026
- Corporate clients · 2 to 6Dec 11, 2025 to Feb 17, 2026
- HNW clients · 25 to 23Dec 11, 2025 to Feb 17, 2026
- Individual clients · 187 to 289Dec 11, 2025 to Feb 17, 2026
- Employees · 4 to 6Dec 11, 2025 to Feb 17, 2026
- State-registered IARs · 3 to 4Dec 11, 2025 to Feb 17, 2026
- Other offices · 3 to 4Dec 11, 2025 to Feb 17, 2026
- Discretionary RAUM · $123M to $139MDec 11, 2025 to Feb 17, 2026
- HNW RAUM · $57.4M to $53.8MDec 11, 2025 to Feb 17, 2026
- Individual RAUM · $43.9M to $61.1MDec 11, 2025 to Feb 17, 2026
- RAUM · $123M to $139MDec 11, 2025 to Feb 17, 2026
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.
How to reach
public business contact points only, each with its source
- Business email
- info@cannabis401k.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 509-720-8397reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- cannabis401k.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 509-892-3512reportedpublic record, Form ADV, Jul 24, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $34.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026