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P•••••• S••••• A•••••••• L••

Former SEC-registered adviserFormer SEC adviser· Seattle, Washingtonwebsite

Former SEC-registered adviser, based in Seattle, Washington, reporting $61.7M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$61.7M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
-20%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
Advisors (1)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 143609 · SEC 801-67799 · 10 filingsShow
CRD 143609SEC 801-67799First filing on the tape Mar 30, 2012, latest Mar 30, 2017IAPD
RAUM
$61.7M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$61.7M
derived; firm RAUM over IAPD count
Employees
16
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$61.7M as of Mar 30, 2017
Mar 30, 2012$304M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2017
Mar 30, 20120 then
Employees (5.A)16 as of Mar 30, 2017
Apr 1, 201316 then
Private funds: no history
RAUM -20% over the last fiscal year-36% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Mar 30, 2017; every figure names its basis
RAUM per advisor
$61.7MderivedRAUM 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
$30.9MderivedRAUM 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
16.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-20%derivedbetween 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, selection of other advisers, otherreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • controlled by a public reporting company (10.A)
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
2reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
A••••• J••••••• R••••••New York, NyDec 4, 202025 y5
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • R•••••••• K••••••• R••••• · Secretarycontrol
      since 05/2007 · owns less than 5%
    • R••••••• A•••••• J••••••• · Manager/President/Chief Compliance Officercontrol
      since 05/2007 · owns less than 5%
    Entity owners
    • P•••••• S••••• H••••••• L•• · Member
      indirect · owns 75% or more of P•••••• W••••• P••••••• LLC
    • P•••••• W••••• P•••••••• L•• · Member
      indirect · owns 75% or more of P•••••• S••••• A•••••••• L••
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • New York, NY
    What changed
    consecutive filings, newest first
    • Accounts · 4 to 2
      Oct 7, 2016 to Mar 30, 2017
    • Advisory activities · 4 to 3
      Oct 7, 2016 to Mar 30, 2017
    • Assets in custody · 101328637.0 to unset
      Oct 7, 2016 to Mar 30, 2017
    • Custody of client assets · true to false
      Oct 7, 2016 to Mar 30, 2017
    • Financial planning clients · 11-25 to 1-10
      Oct 7, 2016 to Mar 30, 2017
    • Non-discretionary RAUM · $76.8M to $61.7M
      Oct 7, 2016 to Mar 30, 2017
    • RAUM · $76.8M to $61.7M
      Oct 7, 2016 to Mar 30, 2017
    • Advisory employees · 3 to 1
      Apr 5, 2016 to Jul 18, 2016
    • State-registered IARs · 0 to 1
      Apr 5, 2016 to Jul 18, 2016
    • Accounts · 2 to 4
      Mar 27, 2015 to Mar 25, 2016
    • Assets in custody · $1.1B to $101M
      Mar 27, 2015 to Mar 25, 2016
    • Non-discretionary RAUM · $111M to $76.8M
      Mar 27, 2015 to Mar 25, 2016
    • RAUM · $111M to $76.8M
      Mar 27, 2015 to Mar 25, 2016
    • Assets in custody · $160M to $1.1B
      Nov 13, 2014 to Mar 27, 2015
    • Non-discretionary RAUM · $238M to $111M
      Nov 13, 2014 to Mar 27, 2015
    • RAUM · $238M to $111M
      Nov 13, 2014 to Mar 27, 2015
    • Assets in custody · $217M to $160M
      Apr 1, 2013 to Mar 28, 2014
    • Non-discretionary RAUM · $236M to $238M
      Apr 1, 2013 to Mar 28, 2014
    • RAUM · $236M to $238M
      Apr 1, 2013 to Mar 28, 2014
    • Accounts · 3 to 2
      Mar 30, 2012 to Apr 1, 2013
    • Advisory employees · unset to 3.0
      Mar 30, 2012 to Apr 1, 2013
    • Assets in custody · $98.4M to $217M
      Mar 30, 2012 to Apr 1, 2013
    • Employees · unset to 16.0
      Mar 30, 2012 to Apr 1, 2013
    • Non-discretionary RAUM · $304M to $236M
      Mar 30, 2012 to Apr 1, 2013
    • RAUM · $304M to $236M
      Mar 30, 2012 to Apr 1, 2013
    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
    Website
    ••• Lockedreportedpublic record, Form ADV, Mar 19, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $61.7Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026