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

S•••• P•••••• C•••••• M••••••••• L••

Former SEC-registered adviserEdmonds, WashingtonCRD 134699SEC 801-69920IAPD
Latest filing Apr 22, 2016
First filing on the tape Mar 6, 2012 · 14 filings
RAUM
$23.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$11.5M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$23.0M as of Dec 15, 2015
Mar 6, 2012$75.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Dec 15, 2015
Feb 12, 20133 then
Employees (5.A)3 as of Dec 15, 2015
Feb 12, 20133 then
Private funds: no history
RAUM -8.0% over the last fiscal year-27% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 22, 2016; every figure names its basis
RAUM per advisor
$11.5MderivedRAUM 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
$170,370derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
0.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-8.0%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 individuals, portfolio management for businesses and institutions, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
135reported
Financial planning clients
0reported
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
NameBranchHere sinceIn industryPrior firms
J•••• J••••• A•••••••Chartered Financial AnalystSeattle, WaJan 10, 202618 y2
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 headcount0 left over 36 months
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • M••••••• B••••• R•••••• · Member, Chief Compliance Officercontrol
    since 01/2009 · 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
Seattle, Wa210
Offices
Schedule D 1.F, the 25 largest
  • Sonoma, CA
  • ,
What changed
consecutive filings, newest first
  • Accounts · 166 to 135
    Apr 8, 2015 to Dec 15, 2015
  • HQ city · SONOMA to EDMONDS
    Apr 8, 2015 to Dec 15, 2015
  • HQ state · CA to WA
    Apr 8, 2015 to Dec 15, 2015
  • Discretionary RAUM · $30.0M to $23.0M
    Apr 8, 2015 to Dec 15, 2015
  • RAUM · $30.0M to $23.0M
    Apr 8, 2015 to Dec 15, 2015
  • Advisory activities · 2 to 3
    Mar 12, 2015 to Apr 8, 2015
  • Discretionary RAUM · $25.0M to $30.0M
    Dec 22, 2014 to Feb 6, 2015
  • RAUM · $25.0M to $30.0M
    Dec 22, 2014 to Feb 6, 2015
  • Accounts · 500 to 166
    Feb 25, 2014 to Dec 22, 2014
  • Discretionary RAUM · $37.0M to $25.0M
    Feb 25, 2014 to Dec 22, 2014
  • RAUM · $37.0M to $25.0M
    Feb 25, 2014 to Dec 22, 2014
  • Accounts · 246 to 500
    Feb 12, 2013 to Feb 25, 2014
  • Discretionary RAUM · $58.7M to $37.0M
    Feb 12, 2013 to Feb 25, 2014
  • RAUM · $58.7M to $37.0M
    Feb 12, 2013 to Feb 25, 2014
  • Accounts · 342 to 246
    Aug 10, 2012 to Feb 12, 2013
  • Advisory employees · unset to 3.0
    Aug 10, 2012 to Feb 12, 2013
  • Employees · unset to 3.0
    Aug 10, 2012 to Feb 12, 2013
  • State-registered IARs · unset to 3.0
    Aug 10, 2012 to Feb 12, 2013
  • Discretionary RAUM · $75.2M to $58.7M
    Aug 10, 2012 to Feb 12, 2013
  • RAUM · $75.2M to $58.7M
    Aug 10, 2012 to Feb 12, 2013
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.
How to reach
public business contact points only, each with its source
Website
S••••P••••••.COMreportedpublic record, Form ADV, Sep 18, 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
$11.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026