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

Filament, LLC

Former SEC-registered adviserSeattle, WashingtonCRD 138419SEC 801-65126IAPD
Latest filing Jul 24, 2020
First filing on the tape Mar 29, 2012 · 14 filings
RAUM
$2.0B
reported, Item 5.F
Discretionary
63%
of RAUM
Private clients
99%
$2.0B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$2.0B as of Mar 30, 2020
Mar 29, 2012$979M then
HNW client RAUM$2.0B as of Mar 30, 2020
Mar 29, 2018$1.6B then
State-registered IARs (5.B.3)11 as of Mar 30, 2020
Mar 29, 20120 then
Employees (5.A)15 as of Mar 30, 2020
Mar 28, 201312 then
Private funds: no history
RAUM +15% over the last fiscal year+9.4% a year over threeIARs 11 to 11
Practice profile
derived from the filing of Jul 24, 2020; every figure names its basis
RAUM per advisor
$182MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$22.1MderivedHNW RAUM over HNW clients
Average account
$3.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
63%derivedof RAUM
Institutional
0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
11.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$578M, 76 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)
  • 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$2.0B99%
  • Charitable organizations$18.9M0.9%
  • Individuals$216,0750.0%
Individual clients
n/areported
HNW clients
90reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
527reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$578M for 76 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
  • 8 left for Lnw
    Dec 14, 2020 · Seattle, Wa · Firm absorbed
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • R. Scott Butterfield · LLC Managing Membercontrol
      since 04/2006 · owns 10% to 25%
    • H. Conrad Gehrmann · LLC Managing Membercontrol
      since 04/2006 · owns 10% to 25%
    • John Stephen Goodwin · LLC Managing Membercontrol
      since 11/2005 · owns 10% to 25%
    • Ann Leslie Harrison · Chief Compliance Officercontrol
      since 03/2014 · owns less than 5%
    • Earl James Mahoney · LLC Member, Chief Operating Officercontrol
      since 01/2014 · owns 5% to 10%
    • Thomas Jerry Peters · LLC Member, Chief Investment Officercontrol
      since 01/2019 · owns 5% to 10%
    • R. Brian Johnson · LLC Member
      since 01/2019 · owns 5% to 10%
    • L. Teresa Lamar · LLC Member
      since 12/2009 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 503 to 527
      Mar 29, 2019 to Mar 30, 2020
    • Advisory employees · 11 to 10
      Mar 29, 2019 to Mar 30, 2020
    • HNW clients · 82 to 90
      Mar 29, 2019 to Mar 30, 2020
    • Assets in custody · $568M to $578M
      Mar 29, 2019 to Mar 30, 2020
    • Employees · 14 to 15
      Mar 29, 2019 to Mar 30, 2020
    • Discretionary RAUM · $1.0B to $1.3B
      Mar 29, 2019 to Mar 30, 2020
    • HNW RAUM · $1.7B to $2.0B
      Mar 29, 2019 to Mar 30, 2020
    • Individual RAUM · $292,059 to $216,075
      Mar 29, 2019 to Mar 30, 2020
    • Non-discretionary RAUM · $690M to $750M
      Mar 29, 2019 to Mar 30, 2020
    • RAUM · $1.7B to $2.0B
      Mar 29, 2019 to Mar 30, 2020
    • Accounts · 434 to 503
      Mar 29, 2018 to Mar 29, 2019
    • Advisory employees · 12 to 11
      Mar 29, 2018 to Mar 29, 2019
    • HNW clients · 76 to 82
      Mar 29, 2018 to Mar 29, 2019
    • Assets in custody · $516M to $568M
      Mar 29, 2018 to Mar 29, 2019
    • Employees · 15 to 14
      Mar 29, 2018 to Mar 29, 2019
    • State-registered IARs · 12 to 11
      Mar 29, 2018 to Mar 29, 2019
    • Discretionary RAUM · $1.0B to $1.0B
      Mar 29, 2018 to Mar 29, 2019
    • HNW RAUM · $1.6B to $1.7B
      Mar 29, 2018 to Mar 29, 2019
    • Individual RAUM · $1.2M to $292,059
      Mar 29, 2018 to Mar 29, 2019
    • Non-discretionary RAUM · $641M to $690M
      Mar 29, 2018 to Mar 29, 2019
    • RAUM · $1.6B to $1.7B
      Mar 29, 2018 to Mar 29, 2019
    • Accounts · 426 to 434
      Dec 20, 2017 to Mar 29, 2018
    • Advisory employees · 11 to 12
      Dec 20, 2017 to Mar 29, 2018
    • HNW clients · unset to 76.0
      Dec 20, 2017 to Mar 29, 2018
    • Assets in custody · $0 to $516M
      Dec 20, 2017 to Mar 29, 2018
    • Custody of client assets · false to true
      Dec 20, 2017 to Mar 29, 2018
    • Employees · 14 to 15
      Dec 20, 2017 to Mar 29, 2018
    • State-registered IARs · 11 to 12
      Dec 20, 2017 to Mar 29, 2018
    • Discretionary RAUM · $952M to $1.0B
      Dec 20, 2017 to Mar 29, 2018
    • HNW RAUM · unset to 1625156261.0
      Dec 20, 2017 to Mar 29, 2018
    • Individual RAUM · unset to 1158279.0
      Dec 20, 2017 to Mar 29, 2018
    • Non-discretionary RAUM · $581M to $641M
      Dec 20, 2017 to Mar 29, 2018
    • RAUM · $1.5B to $1.6B
      Dec 20, 2017 to Mar 29, 2018
    • Other offices · unset to 0.0
      Mar 31, 2017 to Dec 20, 2017
    • Accounts · 387 to 426
      Mar 30, 2016 to Mar 31, 2017
    • State-registered IARs · 10 to 11
      Mar 30, 2016 to Mar 31, 2017
    • Discretionary RAUM · $814M to $952M
      Mar 30, 2016 to Mar 31, 2017
    • Non-discretionary RAUM · $596M to $581M
      Mar 30, 2016 to Mar 31, 2017
    • RAUM · $1.4B to $1.5B
      Mar 30, 2016 to Mar 31, 2017
    • RAUM · $1.4B to $1.4B
      Jan 6, 2016 to Mar 30, 2016
    Signals
    3 dated events
    • B. Joyce Murray (Llc Member) no longer on Schedule A of Filament, Llc (listed 2018-03-29, absent 2019-03-29)
      Mar 29, 2019 · Control person left · inference
    • R. Michael Murray (Llc Member) no longer on Schedule A of Filament, Llc (listed 2018-03-29, absent 2019-03-29)
      Mar 29, 2019 · Control person left · inference
    • Thomas Jerry Peters (Llc Member, Chief Investment Officer) appeared on Schedule A of Filament, Llc
      Mar 29, 2019 · Control person joined · fact
    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