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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SEC-registered adviser
H•••••• I••••••••• C••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jan 31, 2024 · 6 filings
SEC status approved since Apr 11, 2024
RAUM
$168M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$168M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$42.0M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$168M as of Mar 30, 2026
Mar 14, 2025$151M then
HNW client RAUM$150M as of Mar 30, 2026
Mar 14, 2025$128M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Mar 14, 20253 then
Employees (5.A)3 as of Mar 30, 2026
Mar 14, 20253 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $42.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 1.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +20%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- 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$150M89%
- Individuals$17.9M11%
- Individual clients
- 48reported
- HNW clients
- 50reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 98reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• W•••• H••••••Chartered Financial Analyst | Port Orchard, Wa | Jul 22, 2005 | 27 y | 0 |
| T••••• S••••• M•••••Chartered Financial Analyst | Puyallup, Wa | Jan 17, 2011 | 37 y | 0 |
| T••••• P•••••• R••• | Tacoma, Wa | May 19, 2024 | 26 y | 3 |
| P•••• M•••••Certified Financial Planner | Pleasant Hill, Ca | Mar 3, 2025 | 10 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 headcount0 left over 36 months
Left, latest
- R••••• C•••••• D•••• to A••••••••• I••••••••• A••••••• I••Jan 21, 2021 · Other
Joined, latest
- P•••• M••••• from J••• M••••• S••••••••• L••Mar 3, 2025 · Wirehouse to independent RIA
- T••••• P•••••• R••• from S•••• • A••••••••• P•May 19, 2024 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• M••••••• W•••• · Managing Member / Ccocontrolsince 03/2005 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 30, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 82 to 98Mar 14, 2025 to Mar 30, 2026
- HNW clients · 36 to 50Mar 14, 2025 to Mar 30, 2026
- Individual clients · 46 to 48Mar 14, 2025 to Mar 30, 2026
- HNW RAUM · $128M to $150MMar 14, 2025 to Mar 30, 2026
- Individual RAUM · $22.9M to $17.9MMar 14, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $151M to $168MMar 14, 2025 to Mar 30, 2026
- RAUM · $151M to $168MMar 14, 2025 to Mar 30, 2026
- Advisory employees · 2 to 3Oct 9, 2024 to Mar 14, 2025
- Employees · 2 to 3Oct 9, 2024 to Mar 14, 2025
- Financial planning clients · 0 to 0Oct 9, 2024 to Mar 14, 2025
- HQ city · unset to Oct 9, 2024 to Mar 14, 2025
- HQ state · unset to Oct 9, 2024 to Mar 14, 2025
- State-registered IARs · 2 to 3Oct 9, 2024 to Mar 14, 2025
- Other offices · 2 to 3Oct 9, 2024 to Mar 14, 2025
- HNW RAUM · $120M to $128MOct 9, 2024 to Mar 14, 2025
- Individual RAUM · $25.5M to $22.9MOct 9, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $145M to $151MOct 9, 2024 to Mar 14, 2025
- RAUM · $145M to $151MOct 9, 2024 to Mar 14, 2025
- Accounts · 81 to 82Apr 9, 2024 to Oct 9, 2024
- Advisory employees · 1 to 2Apr 9, 2024 to Oct 9, 2024
- HNW clients · 35 to 36Apr 9, 2024 to Oct 9, 2024
- Employees · 1 to 2Apr 9, 2024 to Oct 9, 2024
- State-registered IARs · 1 to 2Apr 9, 2024 to Oct 9, 2024
- Other offices · 1 to 2Apr 9, 2024 to Oct 9, 2024
- HNW RAUM · $105M to $120MApr 9, 2024 to Oct 9, 2024
- Individual RAUM · $19.5M to $25.5MApr 9, 2024 to Oct 9, 2024
- Non-discretionary RAUM · $124M to $145MApr 9, 2024 to Oct 9, 2024
- RAUM · $124M to $145MApr 9, 2024 to Oct 9, 2024
Signals
1 dated events
- H•••••• I••••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Jan 31, 2024 · 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
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 360.536.2181reportedpublic record, Form ADV, Mar 30, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $42.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026