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••••••• C•••••• A•••••••• L••
Latest filing Feb 5, 2026
First filing on the tape Mar 14, 2012 · 24 filings
SEC status approved since May 21, 2006
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$0 as of Feb 5, 2026
Jan 29, 2025$0 then
HNW client RAUM$0 as of Feb 5, 2026
Feb 12, 2019$0 then
State-registered IARs (5.B.3)5 as of Feb 5, 2026
Mar 14, 20120 then
Employees (5.A)7 as of Feb 5, 2026
Mar 21, 20136 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 5 to 5
Practice profile
derived from the filing of Feb 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $0derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 3derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $0derivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -19%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- pension consulting, selection of other advisersreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
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
- 6reported
- HNW clients
- 11reported
- Pension plan clients
- 91reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• S••• S•••• | Issaquah, Wa | Feb 9, 2011 | 22 y | 1 |
| R•••••• C•••••• W•••• | Issaquah, Wa | Mar 3, 2011 | 33 y | 1 |
| D•••• S••••••• R••• | Issaquah, Wa | Jun 4, 2012 | 25 y | 0 |
| D•••• G••••••• M••• | Issaquah, Wa | Jan 22, 2018 | 21 y | 0 |
| C•••• R••• W•••••• | Issaquah, Wa | Jan 12, 2024 | 15 y | 5 |
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
- C•••• R••• W•••••• from P•• C•••••• A••••••• L••Jan 12, 2024 · Other
- R•••••• C•••••• W•••• from V•••• A•••••••• I•••Mar 3, 2011 · Other
- W•••••• S••• S•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 9, 2011 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• W••••••• S••• · Principal / Chief Compliance Officercontrolsince 02/2006 · owns 25% to 50%
- W••••• R••••••• C•••••• · Principalcontrolsince 01/2011 · owns 25% to 50%
- D••••• R••••••• L•• · Director, Client Information Systemssince 12/2014 · owns 5% to 10%
- R•••• D••••• S••••••• · Senior Consultantsince 05/2012 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Issaquah, Wa · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Charity clients · 6 to 0Jan 29, 2025 to Feb 5, 2026
- Corporate clients · 18 to 20Jan 29, 2025 to Feb 5, 2026
- HNW clients · 10 to 11Jan 29, 2025 to Feb 5, 2026
- Individual clients · 11 to 6Jan 29, 2025 to Feb 5, 2026
- Pension plan clients · 83 to 91Jan 29, 2025 to Feb 5, 2026
- Accounts · unset to 0.0Jul 23, 2024 to Jan 29, 2025
- HNW clients · 9 to 10Jul 23, 2024 to Jan 29, 2025
- Individual clients · 9 to 11Jul 23, 2024 to Jan 29, 2025
- Pension plan clients · 77 to 83Jul 23, 2024 to Jan 29, 2025
- Financial planning clients · unset to Jul 23, 2024 to Jan 29, 2025
- Discretionary RAUM · unset to 0.0Jul 23, 2024 to Jan 29, 2025
- Non-discretionary RAUM · unset to 0.0Jul 23, 2024 to Jan 29, 2025
- RAUM · unset to 0.0Jul 23, 2024 to Jan 29, 2025
- Employees · 6 to 7Jan 31, 2024 to Apr 24, 2024
- State-registered IARs · 4 to 5Jan 31, 2024 to Apr 24, 2024
- HNW clients · 7 to 9Jan 17, 2023 to Jan 31, 2024
- Individual clients · 7 to 9Jan 17, 2023 to Jan 31, 2024
- Pension plan clients · 73 to 77Jan 17, 2023 to Jan 31, 2024
- Corporate clients · 13 to 18Nov 17, 2022 to Jan 17, 2023
- HNW clients · 8 to 7Nov 17, 2022 to Jan 17, 2023
- Individual clients · 3 to 7Nov 17, 2022 to Jan 17, 2023
- Pension plan clients · 65 to 73Nov 17, 2022 to Jan 17, 2023
- State-registered IARs · 3 to 4Jan 3, 2022 to Jan 19, 2022
- Advisory employees · 5 to 4Nov 9, 2021 to Jan 3, 2022
- Employees · 7 to 6Nov 9, 2021 to Jan 3, 2022
- State-registered IARs · 4 to 3Nov 9, 2021 to Jan 3, 2022
- Advisory employees · 4 to 5Mar 4, 2021 to Apr 15, 2021
- Employees · 6 to 7Mar 4, 2021 to Apr 15, 2021
- Charity clients · unset to 6.0Jun 29, 2020 to Mar 4, 2021
- Corporate clients · unset to 13.0Jun 29, 2020 to Mar 4, 2021
- Individual clients · unset to 3.0Jun 29, 2020 to Mar 4, 2021
- Pension plan clients · 60 to 65Jun 29, 2020 to Mar 4, 2021
- Charity clients · 0.0 to unsetFeb 12, 2019 to Feb 12, 2020
- Pension plan clients · 55 to 60Feb 12, 2019 to Feb 12, 2020
- Financial planning clients · 0 to unsetFeb 12, 2019 to Feb 12, 2020
- Charity clients · unset to 0.0Jan 10, 2018 to Feb 12, 2019
- HNW clients · 15 to 8Jan 10, 2018 to Feb 12, 2019
- Pension plan clients · 57 to 55Jan 10, 2018 to Feb 12, 2019
- Pooled vehicle clients · unset to 0.0Jan 10, 2018 to Feb 12, 2019
- Employees · 5 to 6Jan 10, 2018 to Feb 12, 2019
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
- Firm profile
- linkedin.com/company/highland-capital-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 1-800-717-6180reportedpublic record, Form ADV, Feb 5, 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
- No RAUM reportedderiveda 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