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
Adams Financial Concepts, LLC
Latest filing Aug 13, 2024
First filing on the tape Nov 19, 2021 · 10 filings
RAUM
$60.4M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
93%
$55.9M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$60.4M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$60.4M as of Mar 15, 2024
Mar 25, 2022$100.0M then
HNW client RAUM$50.3M as of Mar 15, 2024
Mar 25, 2022$86.7M then
State-registered IARs (5.B.3)2 as of Mar 15, 2024
Mar 25, 20223 then
Employees (5.A)4 as of Mar 15, 2024
Mar 25, 20226 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Aug 13, 2024; every figure names its basis
- RAUM per advisor
- $60.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 162derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $426,034derivedHNW RAUM over HNW clients
- Average account
- $355,450derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 7.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.8%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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$50.3M83%
- Individuals$5.6M9.3%
- Pension and profit-sharing plans$4.5M7.5%
- Individual clients
- 44reported
- HNW clients
- 118reported
- Pension plan clients
- 4reported
- Charitable clients
- 0reported
- Accounts
- 170reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Alexander Michael Adams | Seattle, Wa | Aug 5, 2005 | 40 y | 2 |
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 headcount1 left over 36 months
Left, latest
- Albert Daniel Souza to Compass Financial Management LLCSep 4, 2025 · RIA to RIA
- Jensen Reagan Weynands to UBS Financial Services Inc.Aug 30, 2022 · RIA to wirehouse
- Craig Bennett Roth to Wayfinding Financial, LLCMar 30, 2021 · RIA to RIA
- Megan Hawes Lockhart to RBC Capital Markets, LLCNov 18, 2009 · RIA to affiliated broker-dealer or bank
Joined, latest
- Albert Daniel Souza from Woodbury Financial Services, Inc.May 5, 2021 · Affiliated broker-dealer or bank to independent RIA
- Craig Bennett Roth from Goldbloom Wealth Management LLCJan 27, 2021 · Other
- Megan Hawes Lockhart from Mid Atlantic Financial Management, Inc.Aug 22, 2007 · Other
- Alexander Michael Adams from Mid Atlantic Financial Management, Inc.Aug 5, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michael Alexander Adams · Managing Member, Chief Compliance Officercontrolsince 12/2004 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Seattle, Wa · principal | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 161 to 170Mar 23, 2023 to Mar 15, 2024
- HNW clients · 105 to 118Mar 23, 2023 to Mar 15, 2024
- Individual clients · 51 to 44Mar 23, 2023 to Mar 15, 2024
- Pension plan clients · 3 to 4Mar 23, 2023 to Mar 15, 2024
- Discretionary RAUM · $48.0M to $57.4MMar 23, 2023 to Mar 15, 2024
- HNW RAUM · $38.3M to $50.3MMar 23, 2023 to Mar 15, 2024
- Individual RAUM · $8.1M to $5.6MMar 23, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $2.2M to $3.1MMar 23, 2023 to Mar 15, 2024
- Pension RAUM · $3.8M to $4.5MMar 23, 2023 to Mar 15, 2024
- RAUM · $50.2M to $60.4MMar 23, 2023 to Mar 15, 2024
- Accounts · 165 to 161Mar 25, 2022 to Mar 23, 2023
- Advisory employees · 3 to 2Mar 25, 2022 to Mar 23, 2023
- HNW clients · 107 to 105Mar 25, 2022 to Mar 23, 2023
- Individual clients · 55 to 51Mar 25, 2022 to Mar 23, 2023
- Employees · 6 to 4Mar 25, 2022 to Mar 23, 2023
- Insurance-licensed employees · 2 to 1Mar 25, 2022 to Mar 23, 2023
- State-registered IARs · 3 to 2Mar 25, 2022 to Mar 23, 2023
- Discretionary RAUM · $97.5M to $48.0MMar 25, 2022 to Mar 23, 2023
- HNW RAUM · $86.7M to $38.3MMar 25, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $2.4M to $2.2MMar 25, 2022 to Mar 23, 2023
- Pension RAUM · $5.1M to $3.8MMar 25, 2022 to Mar 23, 2023
- RAUM · $100.0M to $50.2MMar 25, 2022 to Mar 23, 2023
- Accounts · 159 to 165Dec 21, 2021 to Mar 25, 2022
- Advisory employees · 4 to 3Dec 21, 2021 to Mar 25, 2022
- HNW clients · 103 to 107Dec 21, 2021 to Mar 25, 2022
- Individual clients · 53 to 55Dec 21, 2021 to Mar 25, 2022
- Employees · 7 to 6Dec 21, 2021 to Mar 25, 2022
- Insurance-licensed employees · 3 to 2Dec 21, 2021 to Mar 25, 2022
- State-registered IARs · 4 to 3Dec 21, 2021 to Mar 25, 2022
- Discretionary RAUM · $100M to $97.5MDec 21, 2021 to Mar 25, 2022
- HNW RAUM · $87.9M to $86.7MDec 21, 2021 to Mar 25, 2022
- Individual RAUM · $9.3M to $8.1MDec 21, 2021 to Mar 25, 2022
- Non-discretionary RAUM · $2.5M to $2.4MDec 21, 2021 to Mar 25, 2022
- Pension RAUM · $5.6M to $5.1MDec 21, 2021 to Mar 25, 2022
- RAUM · $103M to $100.0MDec 21, 2021 to Mar 25, 2022
Signals
3 dated events
- Albert Daniel Souza left Adams Financial Concepts, Llc for Compass Financial Management Llc (registered 2025-07-18)Sep 4, 2025 · Advisor changed firm · fact
- Jensen Reagan Weynands left Adams Financial Concepts, Llc for Ubs Financial Services Inc. (registered 2022-06-15)Aug 30, 2022 · Advisor changed firm · fact
- Adams Financial Concepts, Llc filed its initial SEC registration (Form ADV)Nov 19, 2021 · 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.
How to reach
public business contact points only, each with its source
- Website
- ADAMSFINANCIALCONCEPTS.COMreportedpublic record, Form ADV, Sep 17, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $60.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026