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

F•••••••• C•••••• M••••••••• L••

Independent wealth managerSeattle, WashingtonCRD 145711SEC 801-69073website IAPD

Latest filing Jun 29, 2026

First filing on the tape Nov 9, 2011 · 99 filings

SEC status approved since Apr 25, 2008

RAUM

$15B

reported, Item 5.F

Discretionary

69%

of RAUM

Private clients

78%

$11B individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$235M

derived; firm RAUM over IAPD count

Employees

120

46 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

99 filings and snapshots on the tape

RAUM$15B as of Jun 29, 2026

Mar 30, 2012$2.3B then

HNW client RAUM$8.4B as of Jun 29, 2026

Mar 23, 2018$2.5B then

State-registered IARs (5.B.3)62 as of Jun 29, 2026

Apr 1, 201321 then

Employees (5.A)120 as of Jun 29, 2026

Apr 1, 201348 then

Private funds14 as of Jun 29, 2026

Mar 30, 201213 then

RAUM +27% over the last fiscal year+21% a year over threeIARs 60 to 62

Practice profile

derived from the filing of Jun 29, 2026; every figure names its basis

Archetypes, each a printed rule

hnw wealth m•••••• · p••••••-client share of RAUM at least 50 percent and HNW share of p••••••-client RAUM 50 to 90 percent
Multi-office growth platform · an independent wealth m•••••• (not a wirehouse, national broker-dealer RIA or broker-dealer affiliated firm) with at least five offices, at least 50 advisors, and RAUM up at least 20 percent over the last annual amendment
Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
RIA with heavy alternatives · a wealth m•••••• whose p•••••• fund gr••• assets are at least 25 percent of RAUM, or five or more p•••••• funds
ria with p•••••• funds · a wealth m•••••• (p••••••-client share at least 50 percent) that reports at least one p•••••• fund on Schedule D 7.B.(1)

RAUM per advisor: $235MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 47derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $6.3MderivedHNW RAUM over HNW clients
Average account: $3.2MderivedRAUM over accounts (5.F.2.f)
Discretionary: 69%derivedof RAUM
Institutional: 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.9derivedItem 5.A over advisors
Advisors per office: 12.4derived5 offices incl. principal (1.F.5)
RAUM growth, one year: +27%derivedbetween the last two annual amendments
Advisor growth, one year: +3.3%derivedItem 5.B.3 between annual amendments
Client growth, one year: +4.4%derived
Compensation: percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, educational seminarsreportedItem 5.G
Financial planning clients: 3,000reportedItem 5.H
Custody: $4.9B, 2,738 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

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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$8.4B58%
Individuals$2.9B20%
Pooled investment vehicles$2.6B18%
Corporations and businesses$472M3.2%
Charitable organizations$75.2M0.5%
Pension and profit-sharing plans$70.0M0.5%

Individual clients: 1,569reported
HNW clients: 1,337reported
Pension plan clients: 26reported
Charitable clients: 13reported
Accounts: 4,494reported
Financial planning clients: 3,000reported
Wrap fee programs: noreported
Custody of client assets: $4.9B for 2,738 clientsreported
Compensation: % of AUM, fixed, performancereported
Class basis: private_client_share=0.78 fund_share=0.18 institutional_share=0.01 related_bd=false related_bank=true bd_reps=0.0 bank_owner=falsederived

Advisors registered through the firm

62 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
P•••• J•••• W•••••••Chartered Financial Analyst	Seattle, Wa	Apr 25, 2008	35 y	2
K•••••••• R•••• H•••••	Seattle, Wa	Apr 25, 2008	26 y	1
G••• I•••• F•••••••	Seattle, Wa	Apr 25, 2008	33 y	1
E••• K••••• M•••••	Seattle, Wa	Apr 25, 2008	33 y	1
R••••• F••• M•••••	Seattle, Wa	Apr 25, 2008	26 y	1
R••••• P••••• C•••••Chartered Financial Analyst	Seattle, Wa	May 21, 2009	33 y	2
A••••• W•••• E••••••	Seattle, Wa	May 21, 2009	34 y	3
P•••• K••• F•••••	Brentwood, Tn	Apr 11, 2011	40 y	3
E••••• B•••••• D••••••••	Seattle, Wa	Sep 11, 2013	15 y	1
C•••••••• M••••••• O••Certified Financial Pla•••r, Chartered Financial Analyst	Seattle, Wa	Sep 9, 2014	14 y	1
R•••• A••••• S••••	Seattle, Wa	May 29, 2015	18 y	1
T••••• W•••••• S••••	Seattle, Wa	May 29, 2015	24 y	2
M•••••• A•••• T•••••	Seattle, Wa	Jul 29, 2015	20 y	4
J••••••• P•••• D••••••Certified Financial Pla•••r	Seattle, Wa	Sep 2, 2015	12 y	1
J•••• M• B••••••Certified Financial Pla•••r	Seattle, Wa	Oct 2, 2015	15 y	1
M•••••• R••• A•••••Certified Financial Pla•••r	Seattle, Wa	Dec 1, 2016	10 y	1
R••••• G•••••Certified Financial Pla•••r	Seattle, Wa	Feb 13, 2017	14 y	1
C••••••• E•••••••• H•••••••	Seattle, Wa	Oct 30, 2018	11 y	0
M•••••• A••• L••••••••Certified Financial Pla•••r	Seattle, Wa	Feb 11, 2019	10 y	0
S••••• P••	Seattle, Wa	May 16, 2019	16 y	3
R•••• B•••Certified Financial Pla•••r	Seattle, Wa	May 16, 2019	13 y	2
M•••••• L•• A•••••	San Francisco, Ca	May 17, 2019	32 y	3
B••• J•••• B•••••	Seattle, Wa	Nov 5, 2019	11 y	0
E••• F••••••••Certified Financial Pla•••r	Seattle, Wa	Jul 15, 2020	13 y	1
B•••• S•••••••• E••••••	Seattle, Wa	Sep 23, 2020	29 y	3
H••••• C••••• H••••	Seattle, Wa	Feb 22, 2021	12 y	1
M••• N•••••Certified Financial Pla•••r	Seattle, Wa	Apr 20, 2021	12 y	0
R••• R•••••••••Certified Financial Pla•••r	Seattle, Wa	Apr 21, 2021	12 y	4
N••••••• K••• B••••••Chartered Financial Analyst	San Francisco, Ca	Jun 29, 2021	18 y	0
S••• L••• G•••••••	Seattle, Wa	Oct 11, 2021	12 y	0
M•••••• D•••• K•••• R••••Certified Financial Pla•••r	Seattle, Wa	Nov 10, 2021	10 y	3
M••••• V••••••• M•••••Certified Financial Pla•••r	Seattle, Wa	Nov 16, 2021	12 y	1
G•••• C•••Certified Financial Pla•••r	Seattle, Wa	Feb 28, 2022	13 y	3
T••••••• M•••••• C•••••••Certified Financial Pla•••r	Seattle, Wa	Jun 6, 2022	11 y	1
M••••••• A•••••• G•••••••Certified Financial Pla•••r	Seattle, Wa	Nov 10, 2022	10 y	0
A••••• J• B•••••••••	Seattle, Wa	Nov 10, 2022	15 y	1
B•••• H••••• L••••Certified Financial Pla•••r	Seattle, Wa	Jan 9, 2023	10 y	0
C••••••••• L•••• S•••••	San Francisco, Ca	Mar 10, 2023	12 y	2
J•••• P••••••• H•••••	Seattle, Wa	Jul 19, 2023	31 y	2
J••••••• J•••• W••••••Certified Financial Pla•••r	San Francisco, Ca	Oct 6, 2023	21 y	2

All 62 advisors at F•••••••• C•••••• M••••••••• L••

Advisor movement

4 left, 7 joined in 12 months

net +3 in 12 months1 left in 90 days2 joined in 90 daysdeparture rate 6.5% of current headcount9 left over 36 months

Left, latest

N••• A•••••••• M••••••••• to C••••••
Aug 20, 2026 · RIA to RIA
C••••• J• C•• to U•• F•••••••• S••••••• I•••
Apr 2, 2026 · RIA to wirehouse
P••••••• S•••• S••••• to L•••
Feb 17, 2026 · RIA to RIA
D•••••• G••••• to C••••• P••••••• L••
Jan 14, 2026 · RIA to RIA
M••••••••• J••• A••• to B••••••• J•••• L••
May 29, 2025 · RIA to RIA
C•••• A• C•••• to J••••• P••• G•••• L••
May 5, 2025 · RIA to RIA
F••• S••••••••• V•• W••••• to L•••
Mar 24, 2025 · RIA to RIA
C••• A••••• S••••• W••••• to P••••••••
Jan 31, 2025 · RIA to RIA
S•••••••• M•••• D••••••••• to T•• C•••••• G••••• L••
Jul 1, 2024 · RIA to RIA
J••••• A•••••• J••••••• to R•• R•••••••• L••
Sep 14, 2022 · RIA to affiliated broker-dealer or bank
R•••• W•••••• T•••• N••••• to C••••••
Aug 29, 2022 · RIA to RIA
N••••• B•••• P••••••• to C••••••••• W•••••• L••
Aug 22, 2022 · RIA to RIA
J••• M•••••••• to G•••• O•••• G••••• A••••••• L••
Jun 8, 2022 · RIA to RIA
L••••••• K•••••• M•••• to C•••••• L••
Aug 11, 2021 · RIA to RIA
M•••• S••••• S•••• to L••
Aug 4, 2021 · RIA to RIA

Joined, latest

J••••• L•• C•••• from A••••••••• F•••••••• S•••••••• L••
Aug 4, 2026 · Affiliated broker-dealer or bank to independent RIA
H•••••• Y•••••• M•••••• from U•• F•••••••• S••••••• I•••
Jul 8, 2026 · Wirehouse to independent RIA
T•••• Y•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Jun 17, 2026 · Wirehouse to independent RIA
R••• M••••• from J••• M••••• S••••••••• L••
Apr 10, 2026 · Wirehouse to independent RIA
J••• M•••••• S••••• from V••••••• A•••••••• I•••
Mar 17, 2026 · Affiliated broker-dealer or bank to independent RIA
C•••• L• C•••• from M••••• S••••••
Feb 24, 2026 · Wirehouse to independent RIA
E•••• K•• K••• from B•••••• P••••• W••••• M•••••••
Jan 20, 2026 · RIA to RIA
R•••• S•••••••• P•••••• from Z••••••••• C•••••• I••••••••• L••
Sep 3, 2025 · Other
S•••• M•••••••• from A••••••• W•••••
Aug 25, 2025 · RIA to RIA
C••••• J• C•• from M••••• S••••••
Feb 24, 2025 · Wirehouse to independent RIA
A•••• J••••••• S••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••
Feb 24, 2025 · Affiliated broker-dealer or bank to independent RIA
M••••••••• J••• A••• from C••••••
Jan 6, 2025 · RIA to RIA
E•••••••• M••• S••••••••• from R•••• W••••• G•••• L••
Apr 12, 2024 · RIA to RIA
F••• S••••••••• V•• W••••• from F••••• I•••••••••
Nov 29, 2023 · RIA to RIA
C••••••••• T••••••• O••• from O••••••••• A•••• M•••••••••
Nov 2, 2023 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

3 joined from S••••• I••••••••• L••
May 15, 2019 · Los Gatos, Ca · Firm absorbed
2 joined from O••••••••• • C•• I•••
Jun 18, 2015 · B•••Evue, Wa

Teams out Teams in

Private funds

32 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
F•••••••• A•••••••• P••••••• I• L•	Hedge Fund	$337M	464	Mar 29, 2022
F•••••••• L• A•••••••• P••••••• V•		$300M	513	Jun 29, 2026
F•••••••• L• A•••••••• P••••••• V•	Hedge Fund	$285M	482	Feb 29, 2024
I••••••• O••••••••• P••••••• L•no longer reported	Hedge Fund	$200M	10	Mar 31, 2014
F•••••••• B•••••• F••• L•	Hedge Fund	$188M	287	Mar 29, 2021
F•••••••• L••••••••• P••••••• L•	Hedge Fund	$183M	316	Mar 29, 2021
F•••••••• A••••••••• H•••••• P••••••• L•	Hedge Fund	$122M	129	Mar 29, 2021
F•••••••• M•••••• F••• L•no longer reported	Hedge Fund	$52.3M	55	Mar 30, 2012
F•••••••• O•••• H•••• L•	Hedge Fund	$39.8M	47	Apr 24, 2019
F•••••••• A•••••••• P••••••• I•• L•	Hedge Fund	$35.2M	184	Mar 23, 2018
T•• R•••••• F••• L•no longer reported	Hedge Fund	$28.3M	59	Mar 30, 2012
F•••••••• A•••••••• P••••••• I• L•	Hedge Fund	$22.1M	150	Mar 30, 2012
F•••••••• M•••••• H••••••• L• • S••••• E•no longer reported	Hedge Fund	$14.6M	2	Mar 31, 2014
F•••••••• R•••••• I••••• P••••••• L•no longer reported	Hedge Fund	$14.3M	292	Mar 27, 2020
F•••••••• C•••••• Q•••••••• P••••••• L•	Hedge Fund	$11.1M	108	Mar 30, 2012
F•••••••• S••••• L••• F••• L•no longer reported	Hedge Fund	$10.3M	96	Jul 1, 2014
F•••••••• C•••••• P••••••• L•	Hedge Fund	$5.4M	68	Mar 30, 2012
F•••••••• A•••••••• P••••••• L•no longer reported	Hedge Fund	$4.3M	91	Mar 30, 2012
F•••••••• C•••••• P••••••• L••	Hedge Fund	$4.2M	63	Mar 30, 2012
F•••••••• O••••••••• Q•••••••• P••••••• L•	Hedge Fund	$3.1M	102	Mar 30, 2012
T•• R•••••• Q•••••••• F••• L•no longer reported	Hedge Fund	$2.3M	0	Mar 30, 2012
F•••••••• O••••••••• P••••••• L•	Hedge Fund	$2.2M	59	Mar 30, 2012
F•••••••• R••• E••••• O••••••••• I• L•no longer reported	Hedge Fund	$2.1M	99	Apr 1, 2013
F•••••••• R••• E••••• O••••••••• Q•••••••• I• L•no longer reported	Hedge Fund	$1.6M	63	Mar 31, 2014
F•••••••• M•••••• H••••••• L• • S••••• F•no longer reported	Hedge Fund	$1.2M	3	Mar 31, 2014
F•••••••• Y•••• F••• L•no longer reported	Hedge Fund	$925,442	98	Mar 30, 2016
F•••••••• M••••••••• H•••••• C••••••••• I• Q•••••••• L•no longer reported	Hedge Fund	$526,362	0	Apr 24, 2019
F•••••••• M••••••••• H•••••• C••••••••• I• L•no longer reported	Hedge Fund	$312,593	0	Apr 24, 2019
F•••••••• S•••••••• O••••••••• I• L•no longer reported	Hedge Fund	$241,747	69	Mar 30, 2012
F•••••••• L•• V••••••••• P••••••• L•no longer reported	Hedge Fund	$0	0	Mar 30, 2012
F•••••••• L•• V••••••••• Q•••••••• P••••••• L•no longer reported	Hedge Fund	$0	0	Mar 30, 2012
F•••••••• M•••••• H••••••• L• • S••••• D•no longer reported	Hedge Fund	$0	3	Aug 22, 2013

Owners and control persons

Schedule A and B, latest filing

C••••• G•••••• P•••• · General Counselcontrol
since 06/2022 · owns less than 5%
F•••••••• G•••• I•••• · M•••••• / Chief Investment Officercontrol
since 11/2012 · owns less than 5%
G•••••• A••• C• · Head Of Investmentscontrol
since 10/2019 · owns less than 5%
M•••••••• J•••••••• M••••••• · Chief Financial Officercontrol
since 11/2012 · owns less than 5%
M•••••• E•••• K••••• · M•••••• / Managing Partnercontrol
since 11/2012 · owns less than 5%
R••••••••• J••••••• M•••• · Chief Compliance Officercontrol
since 09/2023 · owns less than 5%
T•••••• M••••••• A•••• · Managing Director Advisory Oper••••Nscontrol
since 01/2025 · owns less than 5%
F•••••••• D•••• · Member Class A; M••••••control
since 08/2008 · owns F of B••••••• S••••• L••
F•••••••• G•••• I•••• · Member Class A; M••••••control
since 08/2008 · owns F of B••••••• S••••• L••
F•••••••• G•••• I•••• · M••••••control
since 01/2013 · owns F of F•••••••• C•••••• H••••••• L••
F•••••••• G•••• I•••• · Trusteecontrol
since 11/2009 · owns F of O•• R•••• T••••
M•••••• E•••• K••••• · M••••••control
since 01/2013 · owns F of F•••••••• C•••••• H••••••• L••

Entity owners

F•••••••• C•••••• H••••••• L•• · Member
direct · owns 75% or more
B••••••• S••••• L•• · Member
indirect · owns 25% to 50% of F•••••••• C•••••• H••••••• L••
O•• R•••• T•••• · Member Class B
indirect · owns 75% or more of B••••••• S••••• L••

Related persons

Schedule D 7.A

F••• G• L••
pooled vehicle sponsory
F•• I• G• L••
pooled vehicle sponsory
F•• V• G• L••
pooled vehicle sponsory
F• G••• G• I• L••
investment adviserpooled vehicle sponsorn
F• G••• G• L••
investment adviserpooled vehicle sponsorn
F••• G• L••
pooled vehicle sponsory
F•••••••• B•••••• F••• G•• L••
pooled vehicle sponsory
F•••••••• R•••••• I••••• G• L••
pooled vehicle sponsory

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Seattle, Wa · principal	61	8	4
San Francisco, Ca	12	1	0

Offices

Schedule D 1.F, the 25 largest

San Francisco, CA5 employees
C•••B•••, CA3 employees
Anchorage, AK1 employees
Santa Barbara, CA1 employees

ADV anomalies

2 against comparable advisers; where to look, not conclusions

control person c••••edChange between filings · filing Jun 29, 2026
G•••••• A••• C• (HEAD OF INVESTMENTS) left Schedule A between the filings of 2023-10-03 and 2026-06-29
peers: independent wealth managers, $5B to $20B (289)
control person c••••edChange between filings · filing Jun 29, 2026
F•••••••• D•••• (MEMBER CLASS A; M••••••) left Schedule A between the filings of 2023-10-03 and 2026-06-29
peers: independent wealth managers, $5B to $20B (289)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 6,231 to 4,494
Oct 28, 2025 to Mar 30, 2026
Advisory employees · 42 to 46
Oct 28, 2025 to Mar 30, 2026
Charity clients · 10 to 13
Oct 28, 2025 to Mar 30, 2026
clients corpor••••ns · 36 to 33
Oct 28, 2025 to Mar 30, 2026
HNW clients · 1,440 to 1,337
Oct 28, 2025 to Mar 30, 2026
Individual clients · 1,343 to 1,569
Oct 28, 2025 to Mar 30, 2026
Pension plan clients · 28 to 26
Oct 28, 2025 to Mar 30, 2026
Pooled vehicle clients · 17 to 16
Oct 28, 2025 to Mar 30, 2026
Commission compensation · true to false
Oct 28, 2025 to Mar 30, 2026
Assets in custody · $10B to $4.9B
Oct 28, 2025 to Mar 30, 2026
Employees · 117 to 120
Oct 28, 2025 to Mar 30, 2026
State-registered IARs · 60 to 62
Oct 28, 2025 to Mar 30, 2026
Discretionary RAUM · $8.1B to $10.0B
Oct 28, 2025 to Mar 30, 2026
HNW RAUM · $7.0B to $8.4B
Oct 28, 2025 to Mar 30, 2026
Individual RAUM · $1.9B to $2.9B
Oct 28, 2025 to Mar 30, 2026
Non-discretionary RAUM · $3.4B to $4.6B
Oct 28, 2025 to Mar 30, 2026
Pension RAUM · $63.8M to $70.0M
Oct 28, 2025 to Mar 30, 2026
Pooled vehicle RAUM · $2.3B to $2.6B
Oct 28, 2025 to Mar 30, 2026
RAUM · $11B to $15B
Oct 28, 2025 to Mar 30, 2026
Financial planning clients · More than 500 to More than 500
Apr 11, 2025 to Jun 10, 2025
Accounts · 5,656 to 6,231
Jul 8, 2024 to Apr 11, 2025
Advisory employees · 43 to 42
Jul 8, 2024 to Apr 11, 2025
clients corpor••••ns · 33 to 36
Jul 8, 2024 to Apr 11, 2025
HNW clients · 1,329 to 1,440
Jul 8, 2024 to Apr 11, 2025
Individual clients · 1,190 to 1,343
Jul 8, 2024 to Apr 11, 2025
Pension plan clients · 29 to 28
Jul 8, 2024 to Apr 11, 2025
Pooled vehicle clients · 18 to 17
Jul 8, 2024 to Apr 11, 2025
Assets in custody · $8.6B to $10B
Jul 8, 2024 to Apr 11, 2025
Employees · 107 to 117
Jul 8, 2024 to Apr 11, 2025
State-registered IARs · 52 to 60
Jul 8, 2024 to Apr 11, 2025
Discretionary RAUM · $6.8B to $8.1B
Jul 8, 2024 to Apr 11, 2025
HNW RAUM · $5.9B to $7.0B
Jul 8, 2024 to Apr 11, 2025
Individual RAUM · $1.4B to $1.9B
Jul 8, 2024 to Apr 11, 2025
Non-discretionary RAUM · $2.8B to $3.4B
Jul 8, 2024 to Apr 11, 2025
Pension RAUM · $61.1M to $63.8M
Jul 8, 2024 to Apr 11, 2025
Pooled vehicle RAUM · $2.0B to $2.3B
Jul 8, 2024 to Apr 11, 2025
RAUM · $9.5B to $11B
Jul 8, 2024 to Apr 11, 2025
Accounts · 5,189 to 5,656
Feb 29, 2024 to Mar 27, 2024
Advisory employees · 34 to 43
Feb 29, 2024 to Mar 27, 2024
Advisory activities · 4 to 5
Feb 29, 2024 to Mar 27, 2024

Signals

27 dated events

N••• A•••••••• M••••••••• left F•••••••• C•••••• M••••••••• L•• for C•••••• (registered 2026-09-15)
Aug 20, 2026 · advisor firm c••••e · fact
C••••• J• C•• left F•••••••• C•••••• M••••••••• L•• for U•• F•••••••• S••••••• I••• (registered 2026-04-23)
Apr 2, 2026 · advisor firm c••••e · fact
F•••••••• C•••••• M••••••••• L•• reported RAUM $14.5B, up 27% from $11.5B (2025-10-28 to 2026-03-30)
Mar 30, 2026 · ria raum c••••e · derived
P••••••• S•••• S••••• left F•••••••• C•••••• M••••••••• L•• for L••• (registered 2026-03-12)
Feb 17, 2026 · advisor firm c••••e · fact
D•••••• G••••• left F•••••••• C•••••• M••••••••• L•• for C••••• P••••••• L•• (registered 2026-02-05)
Jan 14, 2026 · advisor firm c••••e · fact
M••••••••• J••• A••• left F•••••••• C•••••• M••••••••• L•• for B••••••• J•••• L•• (registered 2025-06-12)
May 29, 2025 · advisor firm c••••e · fact
C•••• A• C•••• left F•••••••• C•••••• M••••••••• L•• for J••••• P••• G•••• L•• (registered 2025-07-09)
May 5, 2025 · advisor firm c••••e · fact
F••• S••••••••• V•• W••••• left F•••••••• C•••••• M••••••••• L•• for L••• (registered 2025-05-15)
Mar 24, 2025 · advisor firm c••••e · fact
C••• A••••• S••••• W••••• left F•••••••• C•••••• M••••••••• L•• for P•••••••• (registered 2025-05-01)
Jan 31, 2025 · advisor firm c••••e · fact
S•••••••• M•••• D••••••••• left F•••••••• C•••••• M••••••••• L•• for T•• C•••••• G••••• L•• (registered 2024-11-08)
Jul 1, 2024 · advisor firm c••••e · fact
M•••• J•••••• R•••••••• (Chief Compliance Officer) appeared on Schedule A of F•••••••• C•••••• M••••••••• L••
Oct 3, 2023 · Control person joined · fact
M•••••• M•••••• K•••• (Chief Compliance Officer) no longer on Schedule A of F•••••••• C•••••• M••••••••• L•• (listed 2023-04-18, absent 2023-07-12)
Jul 12, 2023 · Control person left · inference
W•••• B•••• M•••• (Chief Operating Officer) no longer on Schedule A of F•••••••• C•••••• M••••••••• L•• (listed 2023-03-24, absent 2023-04-18)
Apr 18, 2023 · Control person left · inference
A•••• M•••••• T••••• (Chief Operating Officer) appeared on Schedule A of F•••••••• C•••••• M••••••••• L••
Apr 18, 2023 · Control person joined · fact
P•••• G••••• C•••• (General Counsel) appeared on Schedule A of F•••••••• C•••••• M••••••••• L••
Mar 24, 2023 · Control person joined · fact
C Ann G••••• (Head Of Investments) appeared on Schedule A of F•••••••• C•••••• M••••••••• L••
Mar 24, 2023 · Control person joined · fact
J••••• A•••••• J••••••• left F•••••••• C•••••• M••••••••• L•• for R•• R•••••••• L•• (registered 2022-10-11)
Sep 14, 2022 · advisor firm c••••e · fact
R•••• W•••••• T•••• N••••• left F•••••••• C•••••• M••••••••• L•• for C•••••• (registered 2024-08-02)
Aug 29, 2022 · advisor firm c••••e · fact
N••••• B•••• P••••••• left F•••••••• C•••••• M••••••••• L•• for C••••••••• W•••••• L•• (registered 2023-09-12)
Aug 22, 2022 · advisor firm c••••e · fact
J••• M•••••••• left F•••••••• C•••••• M••••••••• L•• for G•••• O•••• G••••• A••••••• L•• (registered 2024-02-26)
Jun 8, 2022 · advisor firm c••••e · fact
M•••••• M•••••• K•••• (Chief Compliance Officer) appeared on Schedule A of F•••••••• C•••••• M••••••••• L••
Mar 1, 2022 · Control person joined · fact
W•••••• S•••• A•••• (General Counsel) no longer on Schedule A of F•••••••• C•••••• M••••••••• L•• (listed 2022-01-07, absent 2022-03-01)
Mar 1, 2022 · Control person left · inference
K••••••• K••••••• K•••• (Chief Compliance Officer) no longer on Schedule A of F•••••••• C•••••• M••••••••• L•• (listed 2022-01-07, absent 2022-03-01)
Mar 1, 2022 · Control person left · inference
K••••••• K••••••• K•••• (Chief Compliance Officer) appeared on Schedule A of F•••••••• C•••••• M••••••••• L••
Aug 16, 2021 · Control person joined · fact
K•••••• L••••••• M•••• (President And Chief Executive Officer) no longer on Schedule A of F•••••••• C•••••• M••••••••• L•• (listed 2021-06-14, absent 2021-08-16)
Aug 16, 2021 · Control person left · inference
F•••••••• C•••••• M••••••••• L•• reported RAUM $7.2B, up 34% from $5.4B (2021-02-10 to 2021-03-29)
Mar 29, 2021 · ria raum c••••e · derived
K•••••• L••••••• M•••• (President And Chief Executive Officer) appeared on Schedule A of F•••••••• C•••••• M••••••••• L••
Jan 29, 2021 · 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.

How to reach

public business contact points only, each with its source

Business phone: 206-707-7300reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 206-707-7326reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 415-510-6850reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: H••••://WWW.LINKEDIN.COM/COMPANY/F••••••••-CAPITAL-MANAGEMENreportedpublic record, Form ADV, Sep 18, 2026
Website: H••••://WWW.F••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 206-707-7300reportedpublic record, Form ADV, Jun 29, 2026
Contact form: FREESTONECAPITAL.COM/contactreportedpublished by the firm, firm site, Sep 15, 2026
Team page: freestonecapital.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $235Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026