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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Former SEC-registered adviser

C••••• D••• W••••• M•••••••••

Former SEC-registered adviserSeattle, WashingtonCRD 132879SEC 801-63575IAPD
Legal name C••••• • D••• L••
Latest filing Mar 30, 2019
First filing on the tape Mar 30, 2012 · 13 filings
RAUM
$485M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$477M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$485M as of Mar 30, 2019
Mar 30, 2012$220M then
HNW client RAUM$442M as of Mar 30, 2019
Feb 9, 2018$401M then
State-registered IARs (5.B.3)5 as of Mar 30, 2019
Mar 30, 20120 then
Employees (5.A)9 as of Mar 30, 2019
Mar 28, 20138 then
Private funds: no history
RAUM +4.5% over the last fiscal year+10% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 30, 2019; every figure names its basis
RAUM per advisor
$97.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
63derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+18%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, publicationsreportedItem 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$442M91%
  • Individuals$34.9M7.2%
  • Corporations and businesses$8.0M1.7%
Individual clients
90reported
HNW clients
224reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
316reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C•••••• M•••••••• P•••• · Principal/Chief Compliance Officercontrol
      since 10/2004 · owns 10% to 25%
    • D•••• S••••••• H••••• · Principalcontrol
      since 10/2004 · owns 10% to 25%
    • C•••••• M•••••••• P•••• · Shareholdercontrol
      since 10/1996 · owns 75% or more of R••••••••• A•••• A••••••• L••
    • D•••• S••••••• H••••• · Shareholdercontrol
      since 08/1990 · owns 75% or more of S•••••• G••••••• I•••
    • B••••• J••• C•••••• · Member, Senior Financial Advisor
      since 04/2016 · owns 5% to 10%
    • B••••• R•••• M••••• · Member, Senior Financial Advisor
      since 04/2016 · owns 5% to 10%
    Entity owners
    • R••••••••• A•••• A••••••• L•• · Member
      direct · owns 25% to 50%
    • S•••••• G••••••• I••• · Member
      direct · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 269 to 316
      Feb 12, 2018 to Mar 30, 2019
    • Corporate clients · unset to 2.0
      Feb 12, 2018 to Mar 30, 2019
    • HNW clients · 160 to 224
      Feb 12, 2018 to Mar 30, 2019
    • Individual clients · 107 to 90
      Feb 12, 2018 to Mar 30, 2019
    • Discretionary RAUM · $464M to $485M
      Feb 12, 2018 to Mar 30, 2019
    • HNW RAUM · $401M to $442M
      Feb 12, 2018 to Mar 30, 2019
    • Individual RAUM · $55.4M to $34.9M
      Feb 12, 2018 to Mar 30, 2019
    • RAUM · $464M to $485M
      Feb 12, 2018 to Mar 30, 2019
    • Accounts · 285 to 269
      Nov 29, 2017 to Feb 9, 2018
    • Advisory employees · 4 to 5
      Nov 29, 2017 to Feb 9, 2018
    • HNW clients · unset to 160.0
      Nov 29, 2017 to Feb 9, 2018
    • Individual clients · unset to 107.0
      Nov 29, 2017 to Feb 9, 2018
    • State-registered IARs · 4 to 5
      Nov 29, 2017 to Feb 9, 2018
    • Discretionary RAUM · $389M to $464M
      Nov 29, 2017 to Feb 9, 2018
    • HNW RAUM · unset to 401213957.0
      Nov 29, 2017 to Feb 9, 2018
    • Individual RAUM · unset to 55406477.0
      Nov 29, 2017 to Feb 9, 2018
    • Non-discretionary RAUM · $15.9M to $0
      Nov 29, 2017 to Feb 9, 2018
    • RAUM · $405M to $464M
      Nov 29, 2017 to Feb 9, 2018
    • Advisory activities · 3 to 4
      Mar 28, 2017 to Nov 29, 2017
    • Business name · C••••• • D••• L•• to C••••• D••• W••••• M•••••••••
      Mar 28, 2017 to Nov 29, 2017
    • Other offices · unset to 0.0
      Mar 28, 2017 to Nov 29, 2017
    • Accounts · 245 to 285
      Mar 22, 2016 to Mar 28, 2017
    • Discretionary RAUM · $363M to $389M
      Mar 22, 2016 to Mar 28, 2017
    • Non-discretionary RAUM · $0 to $15.9M
      Mar 22, 2016 to Mar 28, 2017
    • RAUM · $363M to $405M
      Mar 22, 2016 to Mar 28, 2017
    • Accounts · 241 to 245
      Jul 14, 2015 to Mar 22, 2016
    • Advisory employees · 5 to 4
      Jul 14, 2015 to Mar 22, 2016
    • State-registered IARs · 5 to 4
      Jul 14, 2015 to Mar 22, 2016
    • Discretionary RAUM · $343M to $363M
      Jul 14, 2015 to Mar 22, 2016
    • RAUM · $343M to $363M
      Jul 14, 2015 to Mar 22, 2016
    • Accounts · 267 to 241
      Mar 31, 2014 to Mar 30, 2015
    • Advisory employees · 4 to 5
      Mar 31, 2014 to Mar 30, 2015
    • Employees · 8 to 9
      Mar 31, 2014 to Mar 30, 2015
    • State-registered IARs · 4 to 5
      Mar 31, 2014 to Mar 30, 2015
    • Discretionary RAUM · $326M to $343M
      Mar 31, 2014 to Mar 30, 2015
    • Non-discretionary RAUM · $11.7M to $0
      Mar 31, 2014 to Mar 30, 2015
    • RAUM · $338M to $343M
      Mar 31, 2014 to Mar 30, 2015
    • Accounts · 237 to 267
      Aug 15, 2013 to Mar 31, 2014
    • Discretionary RAUM · $295M to $326M
      Aug 15, 2013 to Mar 31, 2014
    • Non-discretionary RAUM · $6.9M to $11.7M
      Aug 15, 2013 to Mar 31, 2014
    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