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
E•••• W••••• M••••••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Dec 14, 2011 · 51 filings
SEC status approved since Jul 2, 2004
RAUM
$861M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$861M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$431M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$861M as of Mar 30, 2026
Feb 28, 2012$154M then
HNW client RAUM$770M as of Mar 30, 2026
Mar 20, 2018$270M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 1, 20132 then
Employees (5.A)5 as of Mar 30, 2026
Mar 1, 20135 then
Private funds: no history
RAUM -14% over the last fiscal year+5.1% a year over threeIARs 3 to 2offices 1 to 0
Practice profile
derived from the filing of Mar 30, 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
- $431MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 233derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $570,412derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -14%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 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)
- 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$770M89%
- Individuals$90.4M10%
- Other investment advisers$786,3430.1%
- Individual clients
- 291reported
- HNW clients
- 174reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,510reported
- Financial planning clients
- 0reported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•• R••• M••••••••• | Kirkland, Wa | Feb 29, 2024 | 19 y | 0 |
| T•••• L• T••••••• | Kirkland, Wa | Jul 10, 2025 | 20 y | 7 |
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
- K•••• J••• W••••••• to G•••••••• W••••• M••••••••• L••Mar 25, 2015 · Other
Joined, latest
- T•••• L• T••••••• from C•••••• C•••••• P•••••••Jul 10, 2025 · RIA to RIA
- K•••• J••• W••••••• from T• A••••••••• I•••Jan 31, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• A••• R••• · Chief Executive Officercontrolsince 07/2023 · owns 75% or more
Related persons
Schedule D 7.A
- L•••••• C•••••• M••••••••• L••investment adviserpooled vehicle sponsornRAUM $540M
Advisers that list E•••• W••••• M••••••••• I••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Kirkland, Wa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,914 to 1,510Feb 11, 2025 to Mar 30, 2026
- Advisory employees · 4 to 3Feb 11, 2025 to Mar 30, 2026
- HNW clients · 232 to 174Feb 11, 2025 to Mar 30, 2026
- Individual clients · 306 to 291Feb 11, 2025 to Mar 30, 2026
- Employees · 7 to 5Feb 11, 2025 to Mar 30, 2026
- Insurance-licensed employees · 3 to 0Feb 11, 2025 to Mar 30, 2026
- State-registered IARs · 3 to 2Feb 11, 2025 to Mar 30, 2026
- Other offices · 1 to 0Feb 11, 2025 to Mar 30, 2026
- Discretionary RAUM · $995M to $861MFeb 11, 2025 to Mar 30, 2026
- HNW RAUM · $906M to $770MFeb 11, 2025 to Mar 30, 2026
- Individual RAUM · $89.0M to $90.4MFeb 11, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $900,619 to $786,343Feb 11, 2025 to Mar 30, 2026
- RAUM · $996M to $861MFeb 11, 2025 to Mar 30, 2026
- Accounts · 1,754 to 1,914May 13, 2024 to Feb 11, 2025
- HNW clients · 245 to 232May 13, 2024 to Feb 11, 2025
- Employees · 6 to 7May 13, 2024 to Feb 11, 2025
- Insurance-licensed employees · 0 to 3May 13, 2024 to Feb 11, 2025
- Financial planning clients · 0 to 0May 13, 2024 to Feb 11, 2025
- Discretionary RAUM · $995M to $995MMay 13, 2024 to Feb 11, 2025
- HNW RAUM · $915M to $906MMay 13, 2024 to Feb 11, 2025
- Individual RAUM · $80.9M to $89.0MMay 13, 2024 to Feb 11, 2025
- Non-discretionary RAUM · $921,832 to $900,619May 13, 2024 to Feb 11, 2025
- RAUM · $996M to $996MMay 13, 2024 to Feb 11, 2025
- Accounts · 1,506 to 1,754Nov 14, 2023 to Feb 9, 2024
- Advisory employees · 3 to 4Nov 14, 2023 to Feb 9, 2024
- HNW clients · 168 to 245Nov 14, 2023 to Feb 9, 2024
- Individual clients · 301 to 306Nov 14, 2023 to Feb 9, 2024
- Discretionary RAUM · $741M to $995MNov 14, 2023 to Feb 9, 2024
- HNW RAUM · $670M to $915MNov 14, 2023 to Feb 9, 2024
- Individual RAUM · $71.1M to $80.9MNov 14, 2023 to Feb 9, 2024
- Non-discretionary RAUM · $853,067 to $921,832Nov 14, 2023 to Feb 9, 2024
- RAUM · $742M to $996MNov 14, 2023 to Feb 9, 2024
- Accounts · 1,330 to 1,506Jul 7, 2022 to Jan 31, 2023
- HNW clients · 206 to 168Jul 7, 2022 to Jan 31, 2023
- Individual clients · 226 to 301Jul 7, 2022 to Jan 31, 2023
- Discretionary RAUM · $835M to $741MJul 7, 2022 to Jan 31, 2023
- HNW RAUM · $768M to $670MJul 7, 2022 to Jan 31, 2023
- Individual RAUM · $68.0M to $71.1MJul 7, 2022 to Jan 31, 2023
- Non-discretionary RAUM · $6.4M to $853,067Jul 7, 2022 to Jan 31, 2023
- RAUM · $842M to $742MJul 7, 2022 to Jan 31, 2023
Signals
10 dated events
- E•••• W••••• M••••••••• I••• reported RAUM $996.3M, up 34% from $742.2M (2023-11-14 to 2024-02-09)Feb 9, 2024 · RAUM change · derived
- J. Douglas Mackinnon (Chief Compliance Officer) no longer on Schedule A of E•••• W••••• M••••••••• I••• (listed 2023-08-28, absent 2023-10-25)Oct 25, 2023 · Control person left · inference
- J. Douglas Mackinnon (Chief Compliance Officer) appeared on Schedule A of E•••• W••••• M••••••••• I•••Aug 28, 2023 · Control person joined · fact
- Reza Ali Memaran-Dadgar (Chief Executive Officer) appeared on Schedule A of E•••• W••••• M••••••••• I•••Aug 28, 2023 · Control person joined · fact
- Nmn Fariba Ronnasi (Chief Executive Officer, Chief Compliance Officer) no longer on Schedule A of E•••• W••••• M••••••••• I••• (listed 2023-02-15, absent 2023-08-28)Aug 28, 2023 · Control person left · inference
- E•••• W••••• M••••••••• I••• reported RAUM $841.9M, up 41% from $595.3M (2021-02-18 to 2022-02-08)Feb 8, 2022 · RAUM change · derived
- E•••• W••••• M••••••••• I••• reported RAUM $595.3M, up 42% from $420.7M (2020-06-23 to 2021-02-18)Feb 18, 2021 · RAUM change · derived
- S Richard Lee (Chief Compliance Officer) no longer on Schedule A of E•••• W••••• M••••••••• I••• (listed 2019-05-17, absent 2019-07-09)Jul 9, 2019 · Control person left · inference
- S Richard Lee (Chief Compliance Officer) appeared on Schedule A of E•••• W••••• M••••••••• I•••Apr 11, 2019 · Control person joined · fact
- E•••• W••••• M••••••••• I••• reported RAUM $356.1M, up 55% from $229.9M (2017-03-21 to 2018-03-20)Mar 20, 2018 · RAUM change · derived
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@elitewm.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 425-828-4300reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 425-828-9700reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/elite-wealth-management-inc-reportedpublic record, Form ADV, Sep 18, 2026
- Website
- elitewm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 425-828-4300reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- elitewm.com/contactreportedpublished 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
- $431Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026