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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Former SEC-registered adviser

T••••

Former SEC-registered adviserBellevue, WashingtonCRD 144796SEC 801-70199IAPD
Legal name T•••• W••••• S••••••••• L••
Latest filing Jan 5, 2015
First filing on the tape Mar 14, 2012 · 6 filings
RAUM
$306M
reported, Item 5.F
Discretionary
100%
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
9
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$306M as of Mar 26, 2014
Mar 14, 2012$252M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 26, 2014
Mar 14, 20120 then
Employees (5.A)9 as of Mar 26, 2014
Mar 6, 20135 then
Private funds: no history
RAUM +23% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Jan 5, 2015; every figure names its basis
RAUM per advisor
$102MderivedRAUM 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
$550,360derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+23%derivedbetween the last two annual amendments
Advisor growth, one year
+50%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, portfolio management for businesses and institutions, 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
  • 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)
  • 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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
556reported
Financial planning clients
26-50reported
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
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
    • K••••••• L••••• L••• · Managing Member/Chief Compliance Officercontrol
      since 10/2007 · owns 50% to 75%
    • S•••••• D•••••• T••• · Membercontrol
      since 12/2007 · 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
    • Accounts · 485 to 556
      Mar 6, 2013 to Mar 26, 2014
    • Advisory employees · 2 to 3
      Mar 6, 2013 to Mar 26, 2014
    • Business name · T•••• W••••• S••••••••• L•• to T••••
      Mar 6, 2013 to Mar 26, 2014
    • Employees · 5 to 9
      Mar 6, 2013 to Mar 26, 2014
    • State-registered IARs · 2 to 3
      Mar 6, 2013 to Mar 26, 2014
    • Discretionary RAUM · $250M to $306M
      Mar 6, 2013 to Mar 26, 2014
    • RAUM · $250M to $306M
      Mar 6, 2013 to Mar 26, 2014
    • Accounts · 482 to 485
      Dec 17, 2012 to Mar 6, 2013
    • Advisory activities · 3 to 4
      Dec 17, 2012 to Mar 6, 2013
    • Discretionary RAUM · $252M to $250M
      Dec 17, 2012 to Mar 6, 2013
    • RAUM · $252M to $250M
      Dec 17, 2012 to Mar 6, 2013
    • Advisory employees · unset to 2.0
      Mar 14, 2012 to Dec 17, 2012
    • Employees · unset to 5.0
      Mar 14, 2012 to Dec 17, 2012
    • State-registered IARs · 0 to 2
      Mar 14, 2012 to Dec 17, 2012
    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.
    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