DFX Intelligence
RIA Intelligence
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SEC-registered adviser
B••••••• A•••• M••••••••• L••
Latest filing Feb 20, 2026
First filing on the tape Mar 15, 2012 · 23 filings
SEC status approved since Jan 2, 2004
RAUM
$394M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$371M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$197M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$394M as of Feb 20, 2026
Mar 15, 2012$133M then
HNW client RAUM$330M as of Feb 20, 2026
Mar 1, 2018$180M then
State-registered IARs (5.B.3)2 as of Feb 20, 2026
Mar 15, 20120 then
Employees (5.A)2 as of Feb 20, 2026
Mar 28, 20132 then
Private funds: no history
RAUM +11% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 20, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $197MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 110derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $663,875derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $111M, 78 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$330M84%
- Individuals$41.2M10%
- Corporations and businesses$15.7M4.0%
- Charitable organizations$6.8M1.7%
- Individual clients
- 128reported
- HNW clients
- 91reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 593reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $111M for 78 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• R•••••• V•••Certified Financial Planner | B•••••••, Wa | Jan 27, 2004 | 27 y | 4 |
| J••• C•••••••• M•••• | B•••••••, Wa | Jan 27, 2004 | 32 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
- M•••••• R•••••• V••• from C•••••••• I••••••••• R•••••••• I•••Jan 27, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• J•••• C•••••••• · Chief Compliance Officer/Membercontrolsince 01/2004 · owns 25% to 50%
- V•••• M••••••• R•••••• · Membercontrolsince 01/2004 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| B•••••••, Wa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 579 to 593Feb 11, 2025 to Feb 20, 2026
- HNW clients · 115 to 91Feb 11, 2025 to Feb 20, 2026
- Individual clients · 104 to 128Feb 11, 2025 to Feb 20, 2026
- Assets in custody · $89.2M to $111MFeb 11, 2025 to Feb 20, 2026
- Discretionary RAUM · $356M to $394MFeb 11, 2025 to Feb 20, 2026
- HNW RAUM · $309M to $330MFeb 11, 2025 to Feb 20, 2026
- Individual RAUM · $27.7M to $41.2MFeb 11, 2025 to Feb 20, 2026
- RAUM · $356M to $394MFeb 11, 2025 to Feb 20, 2026
- Accounts · 566 to 579Mar 14, 2024 to Feb 11, 2025
- HNW clients · 71 to 115Mar 14, 2024 to Feb 11, 2025
- Individual clients · 105 to 104Mar 14, 2024 to Feb 11, 2025
- Assets in custody · $207M to $89.2MMar 14, 2024 to Feb 11, 2025
- Financial planning clients · 0 to 0Mar 14, 2024 to Feb 11, 2025
- Discretionary RAUM · $319M to $356MMar 14, 2024 to Feb 11, 2025
- HNW RAUM · $236M to $309MMar 14, 2024 to Feb 11, 2025
- Individual RAUM · $63.8M to $27.7MMar 14, 2024 to Feb 11, 2025
- RAUM · $319M to $356MMar 14, 2024 to Feb 11, 2025
- Accounts · 595 to 566Jun 26, 2023 to Mar 14, 2024
- Individual clients · 125 to 105Jun 26, 2023 to Mar 14, 2024
- Assets in custody · $163M to $207MJun 26, 2023 to Mar 14, 2024
- Discretionary RAUM · $277M to $319MJun 26, 2023 to Mar 14, 2024
- HNW RAUM · $203M to $236MJun 26, 2023 to Mar 14, 2024
- Individual RAUM · $58.1M to $63.8MJun 26, 2023 to Mar 14, 2024
- RAUM · $277M to $319MJun 26, 2023 to Mar 14, 2024
- Assets in custody · $277M to $163MMar 3, 2023 to Jun 26, 2023
- Accounts · 574 to 595Feb 18, 2022 to Mar 3, 2023
- HNW clients · 81 to 71Feb 18, 2022 to Mar 3, 2023
- Individual clients · 127 to 125Feb 18, 2022 to Mar 3, 2023
- Assets in custody · $324M to $277MFeb 18, 2022 to Mar 3, 2023
- Discretionary RAUM · $324M to $277MFeb 18, 2022 to Mar 3, 2023
- HNW RAUM · $257M to $203MFeb 18, 2022 to Mar 3, 2023
- Individual RAUM · $48.5M to $58.1MFeb 18, 2022 to Mar 3, 2023
- RAUM · $324M to $277MFeb 18, 2022 to Mar 3, 2023
- Accounts · 588 to 574Nov 17, 2021 to Feb 18, 2022
- HNW clients · 118 to 81Nov 17, 2021 to Feb 18, 2022
- Individual clients · 168 to 127Nov 17, 2021 to Feb 18, 2022
- Assets in custody · $234M to $324MNov 17, 2021 to Feb 18, 2022
- Discretionary RAUM · $297M to $324MNov 17, 2021 to Feb 18, 2022
- HNW RAUM · $231M to $257MNov 17, 2021 to Feb 18, 2022
- Individual RAUM · $63.8M to $48.5MNov 17, 2021 to Feb 18, 2022
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
- i•••@b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- k•••@b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- r•••••••@b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 425-289-1041reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 425-289-1049reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-633-1041reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- B•••••••ASSET.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 425-289-1041reportedpublic record, Form ADV, Feb 20, 2026
- Team page
- b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $197Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026