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Former SEC-registered adviserFormer SEC adviser3 private funds· Tacoma, Washington

Former SEC-registered adviser, based in Tacoma, Washington, reporting $69.5M of regulatory assets.

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

Last reported RAUM
$69.5M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+79%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor 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 148301 · SEC 801-110208 · 13 filingsShow
CRD 148301SEC 801-110208First filing on the tape Mar 28, 2012, latest Jul 1, 2020IAPD
RAUM
$69.5M
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
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
$35.3M gross assets
History
13 filings and snapshots on the tape
RAUM$69.5M as of Mar 18, 2020
Mar 28, 2012$6.2M then
HNW client RAUM$0 as of Mar 18, 2020
Mar 28, 2018$0 then
State-registered IARs (5.B.3)4 as of Mar 18, 2020
Mar 28, 20184 then
Employees (5.A)5 as of Mar 18, 2020
Mar 28, 20185 then
Private funds3 as of Mar 18, 2020
Mar 28, 20121 then
RAUM +79% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Jul 1, 2020; every figure names its basis
RAUM per advisor
$17.4MderivedRAUM 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
$11.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+79%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$24.2M, 3 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$36.1M52%
  • Pooled investment vehicles$24.2M35%
  • Charitable organizations$9.2M13%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$24.2M for 3 clientsreported
Compensation
% of AUM, performancereported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•• E••••••• F•••••••• M••••• F••• L•••Hedge Fund$11.1M6Jun 28, 2012
      T•• E••••••• F•••••••• L•Hedge Fund$11.1M6Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••••• B•••••••• G•••• · Managing Membercontrol
        since 06/2015 · owns 10% to 25%
      • I••••• D• O•••••• S••••••• · Managing Member, Ccocontrol
        since 06/2015 · owns 10% to 25%
      • Q••••••••• C•••••••• H••• · Managing Membercontrol
        since 08/2008 · owns 25% to 50%
      • G•••••••• F••••••••• M•••• · Member
        since 09/2010 · owns less than 5%
      • K••• E•••••• Y•••••••• · Member
        since 04/2016 · owns less than 5%
      • S••••••• G••••• E•••••• · Member
        since 05/2009 · owns 5% to 10%
      • S•••••••• C•••••••• H• · Member
        since 10/2019 · owns less than 5%
      • W•••••••• E••••••••• C•••• · Member
        since 05/2009 · owns less than 5%
      • W•••••••• J•••••• S•••• · Member
        since 05/2009 · owns less than 5%
      • F••••••• M••••••• A•••• · Member
        since 07/2016 · owns 25% to 50% of A•••• O•• C••••• P•••••••• L••
      • S••••••• D••••• D••••• · Member
        since 07/2016 · owns F of A•••• O•• C••••• P•••••••• L••
      Entity owners
      • A•••• O•• C••••• P•••••••• L•• · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Corporate clients · 1 to 0
        Mar 30, 2019 to Mar 18, 2020
      • Assets in custody · $16.8M to $24.2M
        Mar 30, 2019 to Mar 18, 2020
      • Discretionary RAUM · $38.6M to $69.5M
        Mar 30, 2019 to Mar 18, 2020
      • Non-discretionary RAUM · $235,646 to $0
        Mar 30, 2019 to Mar 18, 2020
      • Pooled vehicle RAUM · $16.8M to $24.2M
        Mar 30, 2019 to Mar 18, 2020
      • RAUM · $38.9M to $69.5M
        Mar 30, 2019 to Mar 18, 2020
      • Accounts · 5 to 6
        Dec 3, 2018 to Mar 30, 2019
      • Pooled vehicle clients · 2 to 3
        Dec 3, 2018 to Mar 30, 2019
      • Assets in custody · $21.8M to $16.8M
        Dec 3, 2018 to Mar 30, 2019
      • Private funds · 2 to 3
        Dec 3, 2018 to Mar 30, 2019
      • Discretionary RAUM · $47.5M to $38.6M
        Dec 3, 2018 to Mar 30, 2019
      • Non-discretionary RAUM · $0 to $235,646
        Dec 3, 2018 to Mar 30, 2019
      • Pooled vehicle RAUM · $21.8M to $16.8M
        Dec 3, 2018 to Mar 30, 2019
      • RAUM · $47.5M to $38.9M
        Dec 3, 2018 to Mar 30, 2019
      • Charity clients · unset to 1.0
        Apr 17, 2017 to Mar 28, 2018
      • Corporate clients · unset to 1.0
        Apr 17, 2017 to Mar 28, 2018
      • HNW clients · unset to 0.0
        Apr 17, 2017 to Mar 28, 2018
      • Individual clients · unset to 0.0
        Apr 17, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 0.0
        Apr 17, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 2.0
        Apr 17, 2017 to Mar 28, 2018
      • Assets in custody · $10.0M to $21.8M
        Apr 17, 2017 to Mar 28, 2018
      • Other offices · unset to 1.0
        Apr 17, 2017 to Mar 28, 2018
      • Discretionary RAUM · $26.0M to $47.5M
        Apr 17, 2017 to Mar 28, 2018
      • HNW RAUM · unset to 0.0
        Apr 17, 2017 to Mar 28, 2018
      • Individual RAUM · unset to 0.0
        Apr 17, 2017 to Mar 28, 2018
      • Pension RAUM · unset to 0.0
        Apr 17, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 21750384.0
        Apr 17, 2017 to Mar 28, 2018
      • RAUM · $26.0M to $47.5M
        Apr 17, 2017 to Mar 28, 2018
      • Accounts · 2 to 5
        Jun 28, 2012 to Mar 16, 2017
      • Advisory employees · unset to 4.0
        Jun 28, 2012 to Mar 16, 2017
      • Advisory activities · 1 to 3
        Jun 28, 2012 to Mar 16, 2017
      • Assets in custody · $5.9M to $10.0M
        Jun 28, 2012 to Mar 16, 2017
      • Employees · unset to 5.0
        Jun 28, 2012 to Mar 16, 2017
      • HQ city · unset to TACOMA
        Jun 28, 2012 to Mar 16, 2017
      • HQ state · unset to WA
        Jun 28, 2012 to Mar 16, 2017
      • State-registered IARs · unset to 4.0
        Jun 28, 2012 to Mar 16, 2017
      • Discretionary RAUM · $5.9M to $26.0M
        Jun 28, 2012 to Mar 16, 2017
      • RAUM · $5.9M to $26.0M
        Jun 28, 2012 to Mar 16, 2017
      • Assets in custody · $6.2M to $5.9M
        Mar 28, 2012 to Jun 28, 2012
      • Private funds · 1 to 2
        Mar 28, 2012 to Jun 28, 2012
      Signals
      1 dated events
      • ••• Locked
        Mar 16, 2017 · 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.
      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