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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
I•••••••• W••••• M••••••••• I•••
Latest filing Aug 26, 2026
First filing on the tape Mar 28, 2012 · 11 filings
SEC status approved since Jul 31, 2023
RAUM
$163M
reported, Item 5.F
Discretionary
75%
of RAUM
Private clients
100%
$163M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$81.6M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$163M as of Aug 26, 2026
Mar 28, 2012$40.5M then
HNW client RAUM$129M as of Aug 26, 2026
Mar 22, 2024$87.1M then
State-registered IARs (5.B.3)2 as of Aug 26, 2026
Mar 28, 20120 then
Employees (5.A)2 as of Aug 26, 2026
Mar 22, 20242 then
Private funds: no history
RAUM +29% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Aug 26, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $81.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 84derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $299,908derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 75%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $60.6M, 67 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$129M79%
- Individuals$33.6M21%
- Corporations and businesses$184,7530.1%
- Individual clients
- 128reported
- HNW clients
- 39reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 544reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $60.6M for 67 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• S••••• S•••••• | Spokane, Wa | May 8, 2009 | 33 y | 1 |
| C•••• S•••••• W•••••• | Spokane, Wa | Mar 6, 2018 | 23 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- C•••• S•••••• W•••••• from C•••••• S••••• • C••• I•••Mar 6, 2018 · Other
- B•••• S••••• S•••••• from C•••••• S••••• • C••• I•••May 8, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• B••••• S••••• · President/Chief Compliance Officercontrolsince 05/2009 · 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 |
|---|---|---|---|---|---|
| Spokane, Wa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 504 to 544Mar 19, 2025 to Mar 3, 2026
- HNW clients · 33 to 39Mar 19, 2025 to Mar 3, 2026
- Individual clients · 130 to 128Mar 19, 2025 to Mar 3, 2026
- Assets in custody · $28.6M to $60.6MMar 19, 2025 to Mar 3, 2026
- Discretionary RAUM · $88.8M to $123MMar 19, 2025 to Mar 3, 2026
- HNW RAUM · $95.1M to $129MMar 19, 2025 to Mar 3, 2026
- Individual RAUM · $31.5M to $33.6MMar 19, 2025 to Mar 3, 2026
- Non-discretionary RAUM · $37.9M to $40.4MMar 19, 2025 to Mar 3, 2026
- RAUM · $127M to $163MMar 19, 2025 to Mar 3, 2026
- Accounts · 479 to 504Apr 11, 2024 to Mar 19, 2025
- HNW clients · 32 to 33Apr 11, 2024 to Mar 19, 2025
- Individual clients · 125 to 130Apr 11, 2024 to Mar 19, 2025
- Assets in custody · $36.8M to $28.6MApr 11, 2024 to Mar 19, 2025
- Financial planning clients · 1-10 to 1-10Apr 11, 2024 to Mar 19, 2025
- Discretionary RAUM · $80.7M to $88.8MApr 11, 2024 to Mar 19, 2025
- HNW RAUM · $87.1M to $95.1MApr 11, 2024 to Mar 19, 2025
- Individual RAUM · $29.7M to $31.5MApr 11, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $36.3M to $37.9MApr 11, 2024 to Mar 19, 2025
- RAUM · $117M to $127MApr 11, 2024 to Mar 19, 2025
- Accounts · 398 to 479Jun 30, 2023 to Mar 22, 2024
- Corporate clients · 3 to 2Jun 30, 2023 to Mar 22, 2024
- HNW clients · 29 to 32Jun 30, 2023 to Mar 22, 2024
- Individual clients · 105 to 125Jun 30, 2023 to Mar 22, 2024
- Assets in custody · $20.8M to $36.8MJun 30, 2023 to Mar 22, 2024
- Discretionary RAUM · $81.8M to $80.7MJun 30, 2023 to Mar 22, 2024
- HNW RAUM · $78.4M to $87.1MJun 30, 2023 to Mar 22, 2024
- Individual RAUM · $27.8M to $29.7MJun 30, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $28.2M to $36.3MJun 30, 2023 to Mar 22, 2024
- RAUM · $110M to $117MJun 30, 2023 to Mar 22, 2024
- Accounts · 51 to 398Jun 15, 2012 to Jun 30, 2023
- Advisory employees · unset to 2.0Jun 15, 2012 to Jun 30, 2023
- Corporate clients · unset to 3.0Jun 15, 2012 to Jun 30, 2023
- HNW clients · unset to 29.0Jun 15, 2012 to Jun 30, 2023
- Individual clients · unset to 105.0Jun 15, 2012 to Jun 30, 2023
- Assets in custody · unset to 20820932.0Jun 15, 2012 to Jun 30, 2023
- Custody of client assets · false to trueJun 15, 2012 to Jun 30, 2023
- Employees · unset to 2.0Jun 15, 2012 to Jun 30, 2023
- Financial planning clients · 0 to 1-10Jun 15, 2012 to Jun 30, 2023
- State-registered IARs · 0 to 2Jun 15, 2012 to Jun 30, 2023
- Other offices · unset to 1.0Jun 15, 2012 to Jun 30, 2023
Signals
1 dated events
- I•••••••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Jun 30, 2023 · 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
- 509-315-9532reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 509-315-9534reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- I••••••••WM.NETreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 509-315-9532reportedpublic record, Form ADV, Aug 26, 2026
- Contact form
- i•••••••••.netreportedpublished by the firm, firm site, Sep 16, 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
- $81.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026