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.

Former SEC-registered adviser

Fortiphi Financial, LLC

Former SEC-registered adviserSeattle, WashingtonCRD 150055SEC 801-70213IAPD
Latest filing Jul 27, 2012
First filing on the tape Mar 30, 2012 · 6 filings
RAUM
$65.8M
reported, Item 5.F
Discretionary
30%
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
n/a
n/a 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$65.8M as of Jul 27, 2012
Mar 30, 2012$65.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 27, 2012
Mar 30, 20120 then
Employees (5.A): no history
Private funds6 as of May 31, 2012
Mar 30, 20126 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 27, 2012; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$592,842derivedRAUM over accounts (5.F.2.f)
Discretionary
30%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, commissionsreportedItem 5.E
Advisory activities
portfolio management for individuals, 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)
  • a related person has custody of client cash (9.B.1.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
111reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, commissionsreported
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
Joined, latest
Every departureEvery arrival
Private funds
6 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Ffp, LLCSecuritized Asset Fund$3.5M10Mar 30, 2012
Kennedy Investors, LLCReal Estate Fund$2.2M16Mar 30, 2012
Wolff Multi Family Partners, LLCReal Estate Fund$2.1M13Mar 30, 2012
Spokane Multi Family 2009, LLCReal Estate Fund$1.8M12Mar 30, 2012
Mg Multi Family Partners, LLCReal Estate Fund$675,0003Mar 30, 2012
Sla Properties, LLCSecuritized Asset Fund$600,0002Mar 30, 2012
Owners and control persons
Schedule A and B, latest filing
  • Tellex Pierre Gallant · Chief Compliance Officercontrol
    since 08/2010 · owns less than 5%
  • Carpenter Walter Young · Presidentcontrol
    since 01/2012 · owns 25% to 50%
  • Kathleen Gallant · Membercontrol
    since 07/2008 · owns 50% to 75% of Pure And Simple, LLC
  • Tellex Pierre Gallant · Membercontrol
    since 07/2008 · owns 50% to 75% of Pure And Simple, LLC
Entity owners
  • Pure And Simple, LLC · Member
    direct · owns 75% or more
  • Douglas Maines Trust Date 3/8/85 · Director
    direct · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Bellevue, WA
What changed
consecutive filings, newest first
  • Advisory activities · 3 to 2
    Jul 27, 2012 to Jul 27, 2012
  • Business name · FORTIPHI, LLC to FORTIPHI FINANCIAL, LLC
    Jul 27, 2012 to Jul 27, 2012
  • Legal name · FORTIPHI FINANCIAL LLC to FORTIPHI FINANCIAL, LLC
    Jul 27, 2012 to Jul 27, 2012
  • Private funds · 6 to unset
    May 31, 2012 to Jul 12, 2012
Signals
1 dated events
  • Paul Jen Seto left Fortiphi Financial, Llc for Tactive Advisors, Llc (registered 2025-01-27)
    May 19, 2023 · Advisor changed firm · 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
Across the graphs

Fortiphi Financial, LLC is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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