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

B••••••••• C•••••• M••••••••• L••

Independent wealth managerBainbridge Island, WashingtonCRD 135478SEC 801-136277websiteIAPD
Latest filing May 18, 2026
First filing on the tape May 18, 2026 · 1 filings
SEC status approved since May 15, 2026
RAUM
$127M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$127M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$63.3M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $127M
HNW client RAUM: $95.7M
State-registered IARs (5.B.3): 2
Employees (5.A): 2
Private funds: no history
Practice profile
derived from the filing of May 18, 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
  • Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
RAUM per advisor
$63.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
43derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.3MderivedHNW RAUM over HNW clients
Average account
$433,670derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$431,585, 27 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$95.7M76%
  • Individuals$30.9M24%
Individual clients
57reported
HNW clients
29reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
292reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$431,585 for 27 clientsreported
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
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M••• S•••••• K••••Certified Financial PlannerBainbridge Island, WaAug 3, 200524 y1
K•••••• N••••• O•••Bainbridge Island, WaSep 10, 202214 y0
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      No Schedule A on the extract for this adviser.
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Bainbridge Island, Wa · principal200
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      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
      Business email
      i•••@b•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
      Business phone
      206-446-0157reportedpublished by the firm, firm site, Sep 17, 2026
      Business phone
      360-836-2928reportedpublished by the firm, firm site, Sep 17, 2026
      Website
      w••.b•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
      Principal office phone
      206.446.0157reportedpublic record, Form ADV, May 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
      Independent wealth managerderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $63.3Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026