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

Lakeview Financial Group LLC

Former SEC-registered adviserSeattle, WashingtonCRD 139594SEC 801-107435IAPD
Latest filing Jul 6, 2017
First filing on the tape Mar 10, 2016 · 8 filings
RAUM
$328M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$328M as of Jul 6, 2017
Mar 10, 2016$251M then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Jul 6, 2017
Mar 10, 20167 then
Employees (5.A)8 as of Jul 6, 2017
Mar 10, 20168 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 6, 2017; every figure names its basis
RAUM per advisor
$46.8MderivedRAUM 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
$166,704derivedRAUM over accounts (5.F.2.f)
Discretionary
90%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
7.0derived1 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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
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
1,967reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Ann Julie Back · Membercontrol
    since 01/2006 · owns 25% to 50%
  • Kelly Briana Keydel · Membercontrol
    since 01/2006 · owns 25% to 50%
  • Rene Lisa Peters · Member And Chief Compliance Officercontrol
    since 01/2006 · owns 25% to 50%
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
  • Advisory employees · 8 to 7
    May 22, 2017 to Jul 6, 2017
  • Employees · 9 to 8
    May 22, 2017 to Jul 6, 2017
  • State-registered IARs · 8 to 7
    May 22, 2017 to Jul 6, 2017
  • Advisory employees · 7 to 8
    Jan 30, 2017 to May 22, 2017
  • State-registered IARs · 7 to 8
    Jan 30, 2017 to May 22, 2017
  • Accounts · 1,171 to 1,967
    Jun 9, 2016 to Jan 30, 2017
  • Employees · 8 to 9
    Jun 9, 2016 to Jan 30, 2017
  • Financial planning clients · 51-100 to 251-500
    Jun 9, 2016 to Jan 30, 2017
  • Discretionary RAUM · $281M to $294M
    Jun 9, 2016 to Jan 30, 2017
  • Non-discretionary RAUM · $19.0M to $34.2M
    Jun 9, 2016 to Jan 30, 2017
  • RAUM · $300M to $328M
    Jun 9, 2016 to Jan 30, 2017
  • Related adviser · true to false
    Jun 9, 2016 to Jan 30, 2017
  • Accounts · 808 to 1,171
    Apr 4, 2016 to Jun 9, 2016
  • Discretionary RAUM · $219M to $281M
    Apr 4, 2016 to Jun 9, 2016
  • Non-discretionary RAUM · $32.0M to $19.0M
    Apr 4, 2016 to Jun 9, 2016
  • RAUM · $251M to $300M
    Apr 4, 2016 to Jun 9, 2016
Signals
1 dated events
  • Lakeview Financial Group Llc filed its initial SEC registration (Form ADV)
    Mar 10, 2016 · 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.
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