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
S•••• P••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 28, 2012 · 30 filings
SEC status approved since May 11, 2007
RAUM
$210M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$210M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$52.6M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$210M as of Mar 27, 2026
Mar 28, 2012$221M then
HNW client RAUM$169M as of Mar 27, 2026
Apr 2, 2018$23.5M then
State-registered IARs (5.B.3)4 as of Mar 27, 2026
Apr 1, 20134 then
Employees (5.A)6 as of Mar 27, 2026
Apr 1, 20135 then
Private funds: no history
RAUM +3.6% over the last fiscal year+22% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 27, 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
- RAUM per advisor
- $52.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $469,380derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$169M80%
- Individuals$40.5M19%
- Charitable organizations$426,0070.2%
- Corporations and businesses$262,9320.1%
- Individual clients
- 91reported
- HNW clients
- 59reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 448reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 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 |
|---|---|---|---|---|
| B•••• A••••••• J•••• | Lake Forest Park, Wa | Jul 2, 2004 | 43 y | 3 |
| K•••• E••••• C••••••• | Lake Forest Park, Wa | Mar 27, 2014 | 14 y | 0 |
| M••• A•••• B•••••••Certified Financial Planner | Lake Forest Park, Wa | Dec 5, 2014 | 33 y | 2 |
| P••••• L••••••• M•••••Chartered Financial Analyst | Lake Forest Park, Wa | Nov 16, 2023 | 39 y | 4 |
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
- P••••• L••••••• M••••• from P•• I••••••••• A•••••••• I•••Nov 16, 2023 · Other
- B•••• A••••••• J•••• from S••••• I••••••••• A•••••••• L••Jul 2, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• K••••• E••••• · Chief Investment Officercontrolsince 01/2019 · owns less than 5%
- C•••••• K••••••• L••• · Chief Compliance Officercontrolsince 01/2020 · owns less than 5%
- J••••• B••••• A••••••• · Presidentcontrolsince 03/2005 · owns less than 5%
- J••••• B••••• A••••••• · Managing Membercontrolsince 01/2005 · owns 75% or more of S••••• H•••••••• L••
Entity owners
- S••••• H•••••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- W••• I••investment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lake Forest Park, Wa · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 470 to 448Oct 3, 2025 to Mar 27, 2026
- HNW clients · 58 to 59Oct 3, 2025 to Mar 27, 2026
- Individual clients · 103 to 91Oct 3, 2025 to Mar 27, 2026
- Discretionary RAUM · $198M to $208MOct 3, 2025 to Mar 27, 2026
- HNW RAUM · $161M to $169MOct 3, 2025 to Mar 27, 2026
- Individual RAUM · $41.7M to $40.5MOct 3, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $5.0M to $2.4MOct 3, 2025 to Mar 27, 2026
- RAUM · $203M to $210MOct 3, 2025 to Mar 27, 2026
- Accounts · 464 to 470Nov 8, 2024 to Mar 27, 2025
- HNW clients · 47 to 58Nov 8, 2024 to Mar 27, 2025
- Individual clients · 110 to 103Nov 8, 2024 to Mar 27, 2025
- Financial planning clients · 1-10 to 1-10Nov 8, 2024 to Mar 27, 2025
- Discretionary RAUM · $184M to $198MNov 8, 2024 to Mar 27, 2025
- HNW RAUM · $140M to $161MNov 8, 2024 to Mar 27, 2025
- Individual RAUM · $47.2M to $41.7MNov 8, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $4.4M to $5.0MNov 8, 2024 to Mar 27, 2025
- RAUM · $188M to $203MNov 8, 2024 to Mar 27, 2025
- Accounts · 411 to 464Dec 22, 2023 to Mar 29, 2024
- HNW clients · 30 to 47Dec 22, 2023 to Mar 29, 2024
- Individual clients · 106 to 110Dec 22, 2023 to Mar 29, 2024
- Other offices · 2 to 1Dec 22, 2023 to Mar 29, 2024
- Discretionary RAUM · $113M to $184MDec 22, 2023 to Mar 29, 2024
- HNW RAUM · $57.5M to $140MDec 22, 2023 to Mar 29, 2024
- Individual RAUM · $56.7M to $47.2MDec 22, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $1.5M to $4.4MDec 22, 2023 to Mar 29, 2024
- RAUM · $115M to $188MDec 22, 2023 to Mar 29, 2024
- Accounts · 405 to 411Nov 4, 2022 to Mar 25, 2023
- HNW clients · 28 to 30Nov 4, 2022 to Mar 25, 2023
- Individual clients · 81 to 106Nov 4, 2022 to Mar 25, 2023
- Other offices · 3 to 2Nov 4, 2022 to Mar 25, 2023
- Discretionary RAUM · $213M to $113MNov 4, 2022 to Mar 25, 2023
- HNW RAUM · $86.8M to $57.5MNov 4, 2022 to Mar 25, 2023
- Individual RAUM · $43.9M to $56.7MNov 4, 2022 to Mar 25, 2023
- Non-discretionary RAUM · $844,797 to $1.5MNov 4, 2022 to Mar 25, 2023
- RAUM · $214M to $115MNov 4, 2022 to Mar 25, 2023
- Accounts · 384 to 405Dec 10, 2021 to Mar 30, 2022
- HNW clients · 31 to 28Dec 10, 2021 to Mar 30, 2022
- Individual clients · 73 to 81Dec 10, 2021 to Mar 30, 2022
- Employees · 7 to 6Dec 10, 2021 to Mar 30, 2022
- Discretionary RAUM · $193M to $213MDec 10, 2021 to Mar 30, 2022
Signals
2 dated events
- Edward Keith Campbell (Chief Investment Officer) appeared on Schedule A of S•••• P••••••••• L••Mar 30, 2020 · Control person joined · fact
- L••• K•••••• C••••• (Chief Compliance Officer) appeared on Schedule A of S•••• P••••••••• L••Mar 30, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 877-686-3636reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 206-686-3636reportedpublic record, Form ADV, Mar 27, 2026
- Team page
- SMARTPORTFOLIOS.COM/teamreportedpublished by the firm, firm site, Sep 16, 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
- $52.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026