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
T•• R••••••••• S••••••• L••
Latest filing May 15, 2026
First filing on the tape Nov 22, 2011 · 56 filings
SEC status approved since Aug 1, 2018
RAUM
$699M
reported, Item 5.F
Discretionary
64%
of RAUM
Private clients
100%
$699M individuals and HNW
Advisors
17
registered through the firm on IAPD
RAUM per advisor
$41.1M
derived; firm RAUM over IAPD count
Employees
35
15 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
56 filings and snapshots on the tape
RAUM$699M as of May 15, 2026
Mar 19, 2019$156M then
HNW client RAUM$407M as of May 15, 2026
Mar 19, 2019$94.6M then
State-registered IARs (5.B.3)15 as of May 15, 2026
Mar 19, 201912 then
Employees (5.A)35 as of May 15, 2026
Mar 19, 201928 then
Private funds: no history
RAUM +22% over the last fiscal year+21% a year over threeIARs 15 to 15offices 3 to 4
Practice profile
derived from the filing of May 15, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $41.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $221,058derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 64%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.1derivedItem 5.A over advisors
- Advisors per office
- 3.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publications, otherreportedItem 5.G
- Financial planning clients
- 780reportedItem 5.H
- Custody
- $262M, 1,148 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$407M58%
- Individuals$292M42%
- Corporations and businesses$40,7570.0%
- Individual clients
- 499reported
- HNW clients
- 324reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3,164reported
- Financial planning clients
- 780reported
- Wrap fee programs
- noreported
- Custody of client assets
- $262M for 1,148 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
17 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• L•••• B••••Certified Financial Planner | Redmond, Wa | Oct 15, 2008 | 23 y | 2 |
| C•••••• A•••••••• M••••••Certified Financial Planner | Redmond, Wa | Aug 8, 2013 | 18 y | 3 |
| T••••• A••• B•••• | Kennewick, Wa | Sep 11, 2015 | 11 y | 0 |
| M•••••• R••• P•••••• | Redmond, Wa | Nov 17, 2015 | 11 y | 0 |
| S•••• C••••••••• P•••• | Redmond, Wa | Feb 14, 2019 | 12 y | 0 |
| K••• B•••• N•••••Certified Financial Planner | Kennewick, Wa | Jul 22, 2019 | 10 y | 0 |
| T••••• J•••••• | Mill Creek, Wa | Nov 19, 2019 | 10 y | 1 |
| J•••• T••••• B•••• | Redmond, Wa | Apr 27, 2022 | 14 y | 0 |
| W••••• R••••• M•••••••• | Redmond, Wa | May 5, 2022 | 14 y | 2 |
| C•••••• W•••••• C••••• | Mill Creek, Wa | Apr 27, 2023 | 10 y | 2 |
| H•••••• M• C•••••• | Redmond, Wa | Nov 6, 2023 | 25 y | 4 |
| J•••• K••••••• | Redmond, Wa | Dec 6, 2023 | 10 y | 0 |
| S••• M•••••• C•••••• | Redmond, Wa | Oct 31, 2024 | 11 y | 0 |
| T••••• T•••• Z•••••• | Redmond, Wa | Aug 26, 2025 | 11 y | 0 |
| J•••• D•••• F••• | Redmond, Wa | Jan 14, 2026 | 10 y | 3 |
| D•••• J•• G••••••Certified Financial Planner | Mount Vernon, Wa | Jan 16, 2026 | 19 y | 2 |
| M••• C•••••••• C••• | Redmond, Wa | Jul 2, 2026 | 10 y | 0 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 5.9% of current headcount4 left over 36 months
Left, latest
- A••• P••••• to P•••••• A•••••••Oct 30, 2025 · RIA to RIA
- C•••• D•••• S•••••• to C••••••• W••••• A•••••••• L••Jun 4, 2024 · RIA to RIA
- D•••• E•••••• B••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••Apr 7, 2024 · RIA to affiliated broker-dealer or bank
- C••••••• C••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••Oct 19, 2023 · RIA to affiliated broker-dealer or bank
- T•••• H•••• L••••• to S•• A••••••• L••May 24, 2023 · RIA to RIA
- B•••• L••••• to C••••• A•••••• N••••••• L••Sep 21, 2022 · RIA to affiliated broker-dealer or bank
- M•••••• J•••• W••••••• to B••••••••• C•••••• M••••••••• L••Jan 26, 2022 · RIA to RIA
- C•••••• A••• L••••••••• to J••• M••••• S••••••••• L••Aug 10, 2021 · RIA to wirehouse
- K••• L•••• I•••• to B••••••• J•••• L••Oct 27, 2020 · RIA to RIA
- J••••• D••••• D••••• to S•• A••••••• L••Jul 21, 2020 · RIA to RIA
- B•••• J•••• D••••• to D••••• R••••••••• P••••••• I•••Jul 22, 2016 · Other
- H••• S•••• R•••• to P••••••• E•••••••• L••Aug 11, 2015 · Other
Joined, latest
- D•••• J•• G•••••• from K••••• A••••••• S•••••••• L••Jan 16, 2026 · Affiliated broker-dealer or bank to independent RIA
- J•••• D•••• F••• from W•• W••••• M••••••••• L••Jan 14, 2026 · Other
- H•••••• M• C•••••• from B• W••••• S•••••••••Nov 6, 2023 · RIA to RIA
- D•••• E•••••• B••••••••• from M••••• S••••••Apr 27, 2023 · Wirehouse to independent RIA
- C•••••• W•••••• C••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 27, 2023 · Wirehouse to independent RIA
- C••••••• C••••••••• from H•••••••• A•••••••• L••Aug 3, 2022 · Affiliated broker-dealer or bank to independent RIA
- W••••• R••••• M•••••••• from E••••• J••••May 5, 2022 · Affiliated broker-dealer or bank to independent RIA
- C•••••• A••• L••••••••• from M••••• S••••••Jan 27, 2021 · Wirehouse to independent RIA
- B•••• L••••• from L•••••• I••••••••• A•••••••• L••Jun 24, 2020 · Other
- T••••• J•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 19, 2019 · Wirehouse to independent RIA
- K••• L•••• I•••• from E••••• J••••Sep 20, 2016 · Other
- H••• S•••• R•••• from A•••••• I••••••••• A•••••••• L••Oct 2, 2014 · Other
- C•••••• A•••••••• M•••••• from P•••••• W••• F•••••••• C••••••••• I••Dec 15, 2008 · Other
- J•••• L•••• B•••• from P•••••• W••• F•••••••• C••••••••• I••Oct 15, 2008 · Other
- B•••• J•••• D••••• from P•••••• W••• F•••••••• C••••••••• I••Oct 15, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J••••• L•••• · Ceo, Financial Pla•••Rcontrolsince 08/2008 · owns less than 5%
- B••••• T•••••• A••• · President, Financial Pla•••Rcontrolsince 01/2021 · owns less than 5%
- B••••• J••••• L•••• · Ownercontrolsince 02/2023 · owns 75% or more of S••••• L••
- P••••••••• B••••• J••••• · Chief Compliance Officersince 10/2024 · owns less than 5%
Entity owners
- S••••• L•• · Owner - Holding Companydirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Redmond, Wa · principal | 13 | 2 | 1 | ||
| Kennewick, Wa | 3 | 0 | 0 | ||
| Mill Creek, Wa | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Kennewick, WA3 employees
- Englewood, CO1 employees
- Mill Creek, WA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 30, 2026discretionary share of RAUM moved from 100.0% to 64.0% between the annual amendments of 2025-03-28 and 2026-03-30peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 2,888 to 3,164Mar 28, 2025 to Mar 30, 2026
- HNW clients · 269 to 324Mar 28, 2025 to Mar 30, 2026
- Individual clients · 590 to 499Mar 28, 2025 to Mar 30, 2026
- Employees · 33 to 35Mar 28, 2025 to Mar 30, 2026
- Other offices · 3 to 4Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $573M to $449MMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $336M to $407MMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $238M to $292MMar 28, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $0 to $250MMar 28, 2025 to Mar 30, 2026
- RAUM · $573M to $699MMar 28, 2025 to Mar 30, 2026
- Accounts · 2,728 to 2,888Nov 5, 2024 to Mar 28, 2025
- Advisory employees · 13 to 15Nov 5, 2024 to Mar 28, 2025
- Charity clients · 1.0 to unsetNov 5, 2024 to Mar 28, 2025
- Corporate clients · unset to 1.0Nov 5, 2024 to Mar 28, 2025
- HNW clients · 243 to 269Nov 5, 2024 to Mar 28, 2025
- Individual clients · 563 to 590Nov 5, 2024 to Mar 28, 2025
- Assets in custody · unset to 262332611.0Nov 5, 2024 to Mar 28, 2025
- Custody of client assets · false to trueNov 5, 2024 to Mar 28, 2025
- Employees · 31 to 33Nov 5, 2024 to Mar 28, 2025
- Financial planning clients · More than 500 to More than 500Nov 5, 2024 to Mar 28, 2025
- State-registered IARs · 14 to 15Nov 5, 2024 to Mar 28, 2025
- Discretionary RAUM · $475M to $573MNov 5, 2024 to Mar 28, 2025
- HNW RAUM · $253M to $336MNov 5, 2024 to Mar 28, 2025
- Individual RAUM · $222M to $238MNov 5, 2024 to Mar 28, 2025
- RAUM · $475M to $573MNov 5, 2024 to Mar 28, 2025
- HQ state · OH to WAOct 31, 2024 to Nov 5, 2024
- HQ state · WA to OHJun 25, 2024 to Oct 31, 2024
- Employees · 33 to 31Apr 7, 2024 to Jun 25, 2024
- State-registered IARs · 17 to 14Apr 7, 2024 to Jun 25, 2024
- Advisory employees · 14 to 13Mar 13, 2024 to Apr 7, 2024
- Employees · 34 to 33Mar 13, 2024 to Apr 7, 2024
- State-registered IARs · 18 to 17Mar 13, 2024 to Apr 7, 2024
- Accounts · 2,485 to 2,728Dec 11, 2023 to Mar 13, 2024
- Advisory employees · 18 to 14Dec 11, 2023 to Mar 13, 2024
- Charity clients · unset to 1.0Dec 11, 2023 to Mar 13, 2024
- Corporate clients · 0.0 to unsetDec 11, 2023 to Mar 13, 2024
- HNW clients · 362 to 243Dec 11, 2023 to Mar 13, 2024
- Individual clients · 398 to 563Dec 11, 2023 to Mar 13, 2024
- Employees · 36 to 34Dec 11, 2023 to Mar 13, 2024
- Discretionary RAUM · $397M to $475MDec 11, 2023 to Mar 13, 2024
Signals
10 dated events
- A••• P••••• left T•• R••••••••• S••••••• L•• for P•••••• A••••••• (registered 2025-10-30)Oct 30, 2025 · a•••••• firm change · fact
- C•••• D•••• S•••••• left T•• R••••••••• S••••••• L•• for C••••••• W••••• A•••••••• L•• (registered 2025-06-05)Jun 4, 2024 · a•••••• firm change · fact
- D•••• E•••••• B••••••••• left T•• R••••••••• S••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-09-09)Apr 7, 2024 · a•••••• firm change · fact
- C••••••• C••••••••• left T•• R••••••••• S••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-11-13)Oct 19, 2023 · a•••••• firm change · fact
- T•••• H•••• L••••• left T•• R••••••••• S••••••• L•• for S•• A••••••• L•• (registered 2023-06-26)May 24, 2023 · a•••••• firm change · fact
- T•• R••••••••• S••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)May 22, 2023 · Succession (Item 4) · fact
- B•••• L••••• left T•• R••••••••• S••••••• L•• for C••••• A•••••• N••••••• L•• (registered 2022-10-04)Sep 21, 2022 · a•••••• firm change · fact
- M•••••• J•••• W••••••• left T•• R••••••••• S••••••• L•• for B••••••••• C•••••• M••••••••• L•• (registered 2022-02-02)Jan 26, 2022 · a•••••• firm change · fact
- T•• R••••••••• S••••••• L•• reported RAUM $466.1M, up 77% from $262.7M (2021-10-11 to 2021-12-23)Dec 23, 2021 · RAUM change · derived
- T•• R••••••••• S••••••• I••• filed its initial SEC registration (Form ADV)Jul 3, 2018 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 888-500-5830reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/the-retirement-solutionreportedpublic record, Form ADV, Sep 18, 2026
- Website
- THERETIREMENTSOLUTION.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 425-558-3700reportedpublic record, Form ADV, May 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
- $41.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026