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Former SEC-registered adviser

D• P•••••••• L••

Former SEC-registered adviserSeattle, WashingtonCRD 133664SEC 801-113024IAPD
Latest filing Jul 24, 2020
First filing on the tape Mar 29, 2018 · 7 filings
RAUM
$23.1M
reported, Item 5.F
Discretionary
100%
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$23.2M gross assets
History
7 filings and snapshots on the tape
RAUM$149M as of Mar 25, 2020
Mar 29, 2019$117M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 25, 2020
Mar 29, 20192 then
Employees (5.A)6 as of Mar 25, 2020
Mar 29, 20196 then
Private funds2 as of Mar 25, 2020
Mar 29, 20192 then
RAUM -80% over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Jul 24, 2020; every figure names its basis
RAUM per advisor
$23.1MderivedRAUM 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
$23.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+28%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$23.2M, 1 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • 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
  • Pooled investment vehicles$23.1M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$23.2M for 1 clientsreported
Compensation
% of AUM, performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D•••••••• H•••••••• P••••••• F•••• L•Hedge Fund$122M50Mar 29, 2018
      D•••••••• H•••••••• M••••••• V•••• F•••• L•Hedge Fund$23.2M45Mar 29, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• C••••• J••• · Cco/ Director Of Finance & Operationscontrol
        since 03/2019 · owns less than 5%
      • D••••••••• J•••• D••••• · Managing Director & Presidentcontrol
        since 02/2003 · owns less than 5%
      • L•••••• A•••••• H•••• · Manager And Cfocontrol
        since 06/2004 · owns less than 5%
      • D••••••••• J•••• D••••• · President And Ceocontrol
        since 02/2003 · owns 50% to 75% of D•••••••• H••••••••• I•••
      • L•••••• A•••••• H•••• · Cfocontrol
        since 06/2004 · owns 25% to 50% of D•••••••• H••••••••• I•••
      Entity owners
      • D•••••••• H••••••••• I••• · Sole Owner
        direct · owns 75% or more
      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 · 2 to 1
        Mar 25, 2020 to Jul 24, 2020
      • Advisory employees · 6 to 2
        Mar 25, 2020 to Jul 24, 2020
      • Pooled vehicle clients · 2 to 1
        Mar 25, 2020 to Jul 24, 2020
      • Assets in custody · $149M to $23.2M
        Mar 25, 2020 to Jul 24, 2020
      • Employees · 6 to 2
        Mar 25, 2020 to Jul 24, 2020
      • State-registered IARs · 2 to 1
        Mar 25, 2020 to Jul 24, 2020
      • Private funds · 2 to 1
        Mar 25, 2020 to Jul 24, 2020
      • Discretionary RAUM · $149M to $23.1M
        Mar 25, 2020 to Jul 24, 2020
      • Pooled vehicle RAUM · $149M to $23.1M
        Mar 25, 2020 to Jul 24, 2020
      • RAUM · $149M to $23.1M
        Mar 25, 2020 to Jul 24, 2020
      • Advisory employees · 5 to 6
        Nov 21, 2019 to Mar 25, 2020
      • Assets in custody · $117M to $149M
        Nov 21, 2019 to Mar 25, 2020
      • Discretionary RAUM · $117M to $149M
        Nov 21, 2019 to Mar 25, 2020
      • Pooled vehicle RAUM · $117M to $149M
        Nov 21, 2019 to Mar 25, 2020
      • RAUM · $117M to $149M
        Nov 21, 2019 to Mar 25, 2020
      • Assets in custody · $136M to $117M
        Mar 29, 2018 to Mar 29, 2019
      • Employees · 7 to 6
        Mar 29, 2018 to Mar 29, 2019
      • Discretionary RAUM · $136M to $117M
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $136M to $117M
        Mar 29, 2018 to Mar 29, 2019
      • RAUM · $136M to $117M
        Mar 29, 2018 to Mar 29, 2019
      Signals
      3 dated events
      • D• P•••••••• L•• reported RAUM $23.1M, down 84% from $149.2M (2020-03-25 to 2020-07-24)
        Jul 24, 2020 · RAUM change · derived
      • Jean Carol Black (Cco/ Director Of Finance & Operations) appeared on Schedule A of D• P•••••••• L••
        Mar 29, 2019 · Control person joined · fact
      • D• P•••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 29, 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