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
Anderson & Anderson Advisory, LLC
Latest filing Mar 21, 2024
First filing on the tape Apr 19, 2018 · 9 filings
SEC status approved since May 22, 2018
RAUM
$327M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
58%
$190M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$327M as of Mar 21, 2024
Mar 18, 2019$147M then
HNW client RAUM$136M as of Mar 21, 2024
Mar 18, 2019$42.5M then
State-registered IARs (5.B.3)2 as of Mar 21, 2024
Mar 18, 20192 then
Employees (5.A)6 as of Mar 21, 2024
Mar 18, 20195 then
Private funds: no history
RAUM +22% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 21, 2024; every figure names its basis
- RAUM per advisor
- $163MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 160derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $521,331derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 41%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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$136M42%
- Pension and profit-sharing plans$84.9M26%
- Individuals$53.7M16%
- Charitable organizations$50.1M15%
- Corporations and businesses$2.1M0.7%
- Individual clients
- 222reported
- HNW clients
- 98reported
- Pension plan clients
- 20reported
- Charitable clients
- 16reported
- Accounts
- 627reported
- Financial planning clients
- 0reported
- 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
Left, latest
- Max David Anderson to Geneos Wealth Management, Inc.Mar 31, 2025 · RIA to affiliated broker-dealer or bank
- John Christopher Anderson to Geneos Wealth Management, Inc.Mar 31, 2025 · RIA to affiliated broker-dealer or bank
- Conner R Wallace to Geneos Wealth Management, Inc.Mar 31, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- Max David Anderson from Interwest Consulting Group, Inc.Nov 15, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Geneos Wealth Management, Inc.Mar 31, 2025 · Longview, Wa · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Christopher John Anderson · Principal/Ownercontrolsince 08/2007 · owns 50% to 75%
- David Max Anderson · Principal/Owner, Chief Compliance Officercontrolsince 09/2004 · 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 |
|---|---|---|---|---|---|
| Longview, Wa · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 592 to 627Jun 5, 2023 to Mar 21, 2024
- Corporate clients · 25 to 8Jun 5, 2023 to Mar 21, 2024
- HNW clients · 72 to 98Jun 5, 2023 to Mar 21, 2024
- Individual clients · 225 to 222Jun 5, 2023 to Mar 21, 2024
- Pension plan clients · 21 to 20Jun 5, 2023 to Mar 21, 2024
- HNW RAUM · $95.7M to $136MJun 5, 2023 to Mar 21, 2024
- Individual RAUM · $49.7M to $53.7MJun 5, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $269M to $327MJun 5, 2023 to Mar 21, 2024
- Pension RAUM · $72.4M to $84.9MJun 5, 2023 to Mar 21, 2024
- RAUM · $269M to $327MJun 5, 2023 to Mar 21, 2024
- Accounts · 577 to 592Mar 28, 2022 to Mar 21, 2023
- Corporate clients · 10 to 25Mar 28, 2022 to Mar 21, 2023
- HNW clients · 91 to 72Mar 28, 2022 to Mar 21, 2023
- Individual clients · 207 to 225Mar 28, 2022 to Mar 21, 2023
- Pension plan clients · 19 to 21Mar 28, 2022 to Mar 21, 2023
- Employees · 5 to 6Mar 28, 2022 to Mar 21, 2023
- HNW RAUM · $107M to $95.7MMar 28, 2022 to Mar 21, 2023
- Individual RAUM · $53.0M to $49.7MMar 28, 2022 to Mar 21, 2023
- Non-discretionary RAUM · $287M to $269MMar 28, 2022 to Mar 21, 2023
- Pension RAUM · $80.1M to $72.4MMar 28, 2022 to Mar 21, 2023
- RAUM · $287M to $269MMar 28, 2022 to Mar 21, 2023
- Accounts · 522 to 577Mar 11, 2021 to Mar 28, 2022
- Charity clients · 8 to 16Mar 11, 2021 to Mar 28, 2022
- Corporate clients · 6 to 10Mar 11, 2021 to Mar 28, 2022
- HNW clients · 65 to 91Mar 11, 2021 to Mar 28, 2022
- Individual clients · 198 to 207Mar 11, 2021 to Mar 28, 2022
- Pension plan clients · 17 to 19Mar 11, 2021 to Mar 28, 2022
- Financial planning clients · 1-10 to 0Mar 11, 2021 to Mar 28, 2022
- HNW RAUM · $84.8M to $107MMar 11, 2021 to Mar 28, 2022
- Individual RAUM · $50.2M to $53.0MMar 11, 2021 to Mar 28, 2022
- Non-discretionary RAUM · $225M to $287MMar 11, 2021 to Mar 28, 2022
- Pension RAUM · $61.5M to $80.1MMar 11, 2021 to Mar 28, 2022
- RAUM · $225M to $287MMar 11, 2021 to Mar 28, 2022
- Accounts · 478 to 522Jun 9, 2020 to Mar 11, 2021
- Corporate clients · 9 to 6Jun 9, 2020 to Mar 11, 2021
- HNW clients · 68 to 65Jun 9, 2020 to Mar 11, 2021
- Individual clients · 212 to 198Jun 9, 2020 to Mar 11, 2021
- Pension plan clients · 16 to 17Jun 9, 2020 to Mar 11, 2021
- Financial planning clients · 0 to 1-10Jun 9, 2020 to Mar 11, 2021
- HNW RAUM · $67.4M to $84.8MJun 9, 2020 to Mar 11, 2021
Signals
6 dated events
- Anderson & Anderson Advisory, Llc no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $326.9M)May 2, 2025 · Left the SEC roster · derived
- Conner R Wallace left Anderson & Anderson Advisory, Llc for Geneos Wealth Management, Inc. (registered 2025-01-02)Mar 31, 2025 · Advisor changed firm · fact
- Max David Anderson left Anderson & Anderson Advisory, Llc for Geneos Wealth Management, Inc. (registered 2024-12-03)Mar 31, 2025 · Advisor changed firm · fact
- John Christopher Anderson left Anderson & Anderson Advisory, Llc for Geneos Wealth Management, Inc. (registered 2024-12-03)Mar 31, 2025 · Advisor changed firm · fact
- Anderson & Anderson Advisory, LLC's advisors moved to Geneos Wealth Management, Inc. (Longview, WA): 3 of 3 registered, on the same dayMar 31, 2025 · Firm absorbed (people side) · derived
- Anderson & Anderson Advisory, Llc filed its initial SEC registration (Form ADV)Apr 19, 2018 · First SEC registration · fact
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