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

T•••••• A•••••••• L••

Former SEC-registered adviserEllensburg, WashingtonCRD 134364SEC 801-69081IAPD
Latest filing Jul 13, 2023
First filing on the tape Mar 27, 2012 · 17 filings
RAUM
$430M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$419M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$430M as of Mar 15, 2023
Mar 27, 2012$96.6M then
HNW client RAUM$390M as of Mar 15, 2023
Mar 26, 2018$236M then
State-registered IARs (5.B.3)4 as of Mar 15, 2023
Mar 27, 20120 then
Employees (5.A)15 as of Mar 15, 2023
Apr 1, 20135 then
Private funds: no history
RAUM -7.0% over the last fiscal year+9.3% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jul 13, 2023; every figure names its basis
RAUM per advisor
$107MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
47derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.0MderivedHNW RAUM over HNW clients
Average account
$332,569derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.8derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-7.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.3%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$47.8M, 107 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$390M91%
  • Individuals$28.6M6.7%
  • Corporations and businesses$9.4M2.2%
  • Charitable organizations$1.8M0.4%
Individual clients
88reported
HNW clients
98reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
1,292reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$47.8M for 107 clientsreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G••••••• M••••• R•••••• · Managing Member, Chief Compliance Officercontrol
      since 02/2005 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Ellensburg, Wa · principal000
    Offices
    Schedule D 1.F, the 25 largest
    • Seattle, WA1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,191 to 1,292
      Mar 29, 2022 to Mar 15, 2023
    • Charity clients · unset to 1.0
      Mar 29, 2022 to Mar 15, 2023
    • HNW clients · 102 to 98
      Mar 29, 2022 to Mar 15, 2023
    • Individual clients · 78 to 88
      Mar 29, 2022 to Mar 15, 2023
    • Assets in custody · $40.1M to $47.8M
      Mar 29, 2022 to Mar 15, 2023
    • Employees · 16 to 15
      Mar 29, 2022 to Mar 15, 2023
    • Discretionary RAUM · $458M to $428M
      Mar 29, 2022 to Mar 15, 2023
    • HNW RAUM · $426M to $390M
      Mar 29, 2022 to Mar 15, 2023
    • Individual RAUM · $25.5M to $28.6M
      Mar 29, 2022 to Mar 15, 2023
    • Non-discretionary RAUM · $3.7M to $2.1M
      Mar 29, 2022 to Mar 15, 2023
    • RAUM · $462M to $430M
      Mar 29, 2022 to Mar 15, 2023
    • Accounts · 1,108 to 1,191
      Mar 25, 2021 to Mar 29, 2022
    • HNW clients · 92 to 102
      Mar 25, 2021 to Mar 29, 2022
    • Individual clients · 77 to 78
      Mar 25, 2021 to Mar 29, 2022
    • Assets in custody · $46.5M to $40.1M
      Mar 25, 2021 to Mar 29, 2022
    • Employees · 14 to 16
      Mar 25, 2021 to Mar 29, 2022
    • Discretionary RAUM · $391M to $458M
      Mar 25, 2021 to Mar 29, 2022
    • HNW RAUM · $362M to $426M
      Mar 25, 2021 to Mar 29, 2022
    • Individual RAUM · $22.5M to $25.5M
      Mar 25, 2021 to Mar 29, 2022
    • Non-discretionary RAUM · $3.5M to $3.7M
      Mar 25, 2021 to Mar 29, 2022
    • RAUM · $394M to $462M
      Mar 25, 2021 to Mar 29, 2022
    • Accounts · 1,055 to 1,108
      Jun 29, 2020 to Mar 25, 2021
    • Advisory employees · 3 to 4
      Jun 29, 2020 to Mar 25, 2021
    • Corporate clients · unset to 8.0
      Jun 29, 2020 to Mar 25, 2021
    • HNW clients · 86 to 92
      Jun 29, 2020 to Mar 25, 2021
    • Individual clients · 80 to 77
      Jun 29, 2020 to Mar 25, 2021
    • Assets in custody · $6.4M to $46.5M
      Jun 29, 2020 to Mar 25, 2021
    • Employees · 13 to 14
      Jun 29, 2020 to Mar 25, 2021
    • State-registered IARs · 3 to 4
      Jun 29, 2020 to Mar 25, 2021
    • Discretionary RAUM · $325M to $391M
      Jun 29, 2020 to Mar 25, 2021
    • HNW RAUM · $302M to $362M
      Jun 29, 2020 to Mar 25, 2021
    • Individual RAUM · $25.2M to $22.5M
      Jun 29, 2020 to Mar 25, 2021
    • Non-discretionary RAUM · $3.9M to $3.5M
      Jun 29, 2020 to Mar 25, 2021
    • RAUM · $329M to $394M
      Jun 29, 2020 to Mar 25, 2021
    • Accounts · 1,004 to 1,055
      Mar 28, 2019 to Apr 22, 2020
    • HNW clients · 80 to 86
      Mar 28, 2019 to Apr 22, 2020
    • Individual clients · 77 to 80
      Mar 28, 2019 to Apr 22, 2020
    • Assets in custody · $2.1M to $6.4M
      Mar 28, 2019 to Apr 22, 2020
    • Employees · 12 to 13
      Mar 28, 2019 to Apr 22, 2020
    • Discretionary RAUM · $266M to $325M
      Mar 28, 2019 to Apr 22, 2020
    Signals
    5 dated events
    • A••••• E••••• left T•••••• A•••••••• L•• for H•••••••• A•••••••• L•• (registered 2023-10-06)
      Oct 25, 2023 · Advisor changed firm · fact
    • T••••• S••••• S•••••• left T•••••• A•••••••• L•• for H•••••••• A•••••••• L•• (registered 2023-10-06)
      Oct 25, 2023 · Advisor changed firm · fact
    • 2 advisors left T•••••• A•••••••• L•• (Ellensburg, WA) for H•••••••• A•••••••• L•• on the same day
      Oct 25, 2023 · Team lift-out · derived
    • D••••• W•••••• N•••• left T•••••• A•••••••• L•• for B••••••• J•••• L•• (registered 2022-03-23)
      Mar 18, 2022 · Advisor changed firm · fact
    • L••• C•••••• G•••••• (Chief Financial Officer / Chief Operating Officer) no longer on Schedule A of T•••••• A•••••••• L•• (listed 2020-06-29, absent 2021-03-25)
      Mar 25, 2021 · Control person left · inference
    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