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

Threshold Group, LLC

Former SEC-registered adviserSeattle, WashingtonCRD 129903SEC 801-62712IAPD
Latest filing Mar 30, 2017
First filing on the tape Mar 30, 2012 · 11 filings
RAUM
$3.4B
reported, Item 5.F
Discretionary
44%
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
53
29 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$3.4B as of Mar 30, 2017
Mar 30, 2012$2.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 30, 20120 then
Employees (5.A)53 as of Mar 30, 2017
Apr 1, 201339 then
Private funds: no history
RAUM +19% over the last fiscal year+10.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2017; 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
$2.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
44%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
+19%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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$936M, 59 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)
  • 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
1,400reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$936M for 59 clientsreported
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
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Matthew Edward Lazar · Presidentcontrol
      since 02/2001 · owns less than 5%
    • Gerard Ronald Albahary · Chief Investment Officer
      since 08/2011 · owns less than 5%
    • Michael Jason Ewasko · Chief Compliance Officer
      since 03/2014 · owns less than 5%
    Entity owners
    • Rt Management LLC · Managing Member
      direct · owns 75% or more
    • 2006 Threshold Return Of Capital Trust · Managing Member
      indirect · owns 50% to 75% of Rt Management, LLC
    Related persons
    Schedule D 7.A
    Advisers that list Threshold Group, LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Gig Harbor, WA
    • Philadelphia, PA
    • San Francisco, CA
    What changed
    consecutive filings, newest first
    • Accounts · 1,476 to 1,400
      Jun 29, 2016 to Mar 30, 2017
    • Advisory employees · 27 to 29
      Jun 29, 2016 to Mar 30, 2017
    • Assets in custody · $1.4B to $936M
      Jun 29, 2016 to Mar 30, 2017
    • Employees · 40 to 53
      Jun 29, 2016 to Mar 30, 2017
    • Discretionary RAUM · $1.2B to $1.5B
      Jun 29, 2016 to Mar 30, 2017
    • Non-discretionary RAUM · $1.7B to $1.9B
      Jun 29, 2016 to Mar 30, 2017
    • RAUM · $2.8B to $3.4B
      Jun 29, 2016 to Mar 30, 2017
    • HQ city · GIG HARBOR to SEATTLE
      Mar 30, 2016 to Jun 29, 2016
    • Accounts · 1,844 to 1,476
      Nov 5, 2015 to Mar 30, 2016
    • Advisory employees · 25 to 27
      Nov 5, 2015 to Mar 30, 2016
    • Assets in custody · $1.2B to $1.4B
      Nov 5, 2015 to Mar 30, 2016
    • Employees · 39 to 40
      Nov 5, 2015 to Mar 30, 2016
    • Discretionary RAUM · $947M to $1.2B
      Nov 5, 2015 to Mar 30, 2016
    • Non-discretionary RAUM · $2.0B to $1.7B
      Nov 5, 2015 to Mar 30, 2016
    • RAUM · $2.9B to $2.8B
      Nov 5, 2015 to Mar 30, 2016
    • Accounts · 1,754 to 1,844
      Mar 28, 2014 to Mar 31, 2015
    • Advisory employees · 13 to 25
      Mar 28, 2014 to Mar 31, 2015
    • Discretionary RAUM · $915M to $947M
      Mar 28, 2014 to Mar 31, 2015
    • Non-discretionary RAUM · $1.6B to $2.0B
      Mar 28, 2014 to Mar 31, 2015
    • RAUM · $2.5B to $2.9B
      Mar 28, 2014 to Mar 31, 2015
    • Accounts · 1,983 to 1,754
      Apr 1, 2013 to Mar 28, 2014
    • Advisory employees · 17 to 13
      Apr 1, 2013 to Mar 28, 2014
    • Assets in custody · $1.2B to $1.2B
      Apr 1, 2013 to Mar 28, 2014
    • Discretionary RAUM · $539M to $915M
      Apr 1, 2013 to Mar 28, 2014
    • Non-discretionary RAUM · $2.0B to $1.6B
      Apr 1, 2013 to Mar 28, 2014
    • RAUM · $2.5B to $2.5B
      Apr 1, 2013 to Mar 28, 2014
    • Accounts · 1,889 to 1,983
      Oct 22, 2012 to Apr 1, 2013
    • Advisory employees · unset to 17.0
      Oct 22, 2012 to Apr 1, 2013
    • Assets in custody · $1.6B to $1.2B
      Oct 22, 2012 to Apr 1, 2013
    • Employees · unset to 39.0
      Oct 22, 2012 to Apr 1, 2013
    • Financial planning clients · 51-100 to 26-50
      Oct 22, 2012 to Apr 1, 2013
    • Discretionary RAUM · $221M to $539M
      Oct 22, 2012 to Apr 1, 2013
    • Non-discretionary RAUM · $2.4B to $2.0B
      Oct 22, 2012 to Apr 1, 2013
    • RAUM · $2.6B to $2.5B
      Oct 22, 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