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
B••••••••• I••••••••• M•••••••••
Legal name B••••••••• I••••••••• M••••••••• L••
Latest filing Apr 15, 2026
First filing on the tape Mar 22, 2012 · 29 filings
SEC status approved since Jan 9, 2014
RAUM
$303M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$302M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$101M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$303M as of Apr 15, 2026
Mar 22, 2012$71.3M then
HNW client RAUM$252M as of Apr 15, 2026
Feb 15, 2018$126M then
State-registered IARs (5.B.3)2 as of Apr 15, 2026
Mar 22, 20120 then
Employees (5.A)4 as of Apr 15, 2026
Jan 29, 20152 then
Private funds: no history
RAUM +21% over the last fiscal year+14% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Apr 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
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $101MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $529,243derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $364,129, 1 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)
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$252M83%
- Individuals$49.8M16%
- Charitable organizations$554,5340.2%
- Individual clients
- 96reported
- HNW clients
- 56reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 572reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $364,129 for 1 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• F•••••• T•••••Certified Financial Planner, Chartered Financial Analyst | Seattle, Wa | Aug 27, 2009 | 42 y | 1 |
| B•••••• A••• S••••••••Certified Financial Planner | Seattle, Wa | Mar 26, 2014 | 17 y | 0 |
| K•••• M• D••••••••Certified Financial Planner | Seattle, Wa | Apr 8, 2026 | 10 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- K•••• M• D•••••••• from S•••••• N••••••• • C••••••• I•••••••••Apr 8, 2026 · Affiliated broker-dealer or bank to independent RIA
- J••••• F•••••• T••••• from A••••••••• F•••••••• S•••••••• L••Aug 27, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• B••••••• A••• · Managing Member, Chief Compliance Officercontrolsince 09/2021 · 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 |
|---|---|---|---|---|---|
| Seattle, Wa · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 1 to 2Mar 31, 2026 to Apr 15, 2026
- Employees · 3 to 4Mar 31, 2026 to Apr 15, 2026
- State-registered IARs · 1 to 2Mar 31, 2026 to Apr 15, 2026
- Accounts · 557 to 572Mar 24, 2025 to Mar 31, 2026
- Charity clients · 5.0 to unsetMar 24, 2025 to Mar 31, 2026
- HNW clients · 67 to 56Mar 24, 2025 to Mar 31, 2026
- Individual clients · 85 to 96Mar 24, 2025 to Mar 31, 2026
- Assets in custody · $1.5M to $364,129Mar 24, 2025 to Mar 31, 2026
- Custody of client assets · false to trueMar 24, 2025 to Mar 31, 2026
- Discretionary RAUM · $251M to $303MMar 24, 2025 to Mar 31, 2026
- HNW RAUM · $226M to $252MMar 24, 2025 to Mar 31, 2026
- Individual RAUM · $23.6M to $49.8MMar 24, 2025 to Mar 31, 2026
- RAUM · $251M to $303MMar 24, 2025 to Mar 31, 2026
- Accounts · 570 to 557Jul 11, 2024 to Mar 24, 2025
- Charity clients · 6 to 5Jul 11, 2024 to Mar 24, 2025
- HNW clients · 88 to 67Jul 11, 2024 to Mar 24, 2025
- Individual clients · 134 to 85Jul 11, 2024 to Mar 24, 2025
- Assets in custody · $1.8M to $1.5MJul 11, 2024 to Mar 24, 2025
- Financial planning clients · 26-50 to 26-50Jul 11, 2024 to Mar 24, 2025
- Discretionary RAUM · $234M to $251MJul 11, 2024 to Mar 24, 2025
- HNW RAUM · $206M to $226MJul 11, 2024 to Mar 24, 2025
- Individual RAUM · $27.5M to $23.6MJul 11, 2024 to Mar 24, 2025
- RAUM · $234M to $251MJul 11, 2024 to Mar 24, 2025
- Accounts · 513 to 570Feb 17, 2023 to Jan 18, 2024
- Charity clients · unset to 6.0Feb 17, 2023 to Jan 18, 2024
- HNW clients · 93 to 88Feb 17, 2023 to Jan 18, 2024
- Individual clients · 121 to 134Feb 17, 2023 to Jan 18, 2024
- Assets in custody · $1.7M to $1.8MFeb 17, 2023 to Jan 18, 2024
- Discretionary RAUM · $206M to $234MFeb 17, 2023 to Jan 18, 2024
- HNW RAUM · $185M to $206MFeb 17, 2023 to Jan 18, 2024
- Individual RAUM · $20.1M to $27.5MFeb 17, 2023 to Jan 18, 2024
- RAUM · $206M to $234MFeb 17, 2023 to Jan 18, 2024
- Accounts · 554 to 513Aug 5, 2022 to Feb 17, 2023
- Charity clients · 5.0 to unsetAug 5, 2022 to Feb 17, 2023
- HNW clients · 70 to 93Aug 5, 2022 to Feb 17, 2023
- Individual clients · 84 to 121Aug 5, 2022 to Feb 17, 2023
- Assets in custody · $1.9M to $1.7MAug 5, 2022 to Feb 17, 2023
- Employees · 2 to 3Aug 5, 2022 to Feb 17, 2023
- Discretionary RAUM · $227M to $206MAug 5, 2022 to Feb 17, 2023
- HNW RAUM · $197M to $185MAug 5, 2022 to Feb 17, 2023
Signals
3 dated events
- Francis Joseph Turley (Managing Member) no longer on Schedule A of B••••••••• I••••••••• M••••••••• (listed 2021-02-09, absent 2021-09-13)Sep 13, 2021 · Control person left · inference
- Anne Bethany Steinhaus (Chief Compliance Officer) appeared on Schedule A of B••••••••• I••••••••• M•••••••••Feb 9, 2021 · Control person joined · fact
- B••••••••• I••••••••• M••••••••• filed its initial SEC registration (Form ADV)Jan 2, 2014 · 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 email
- info@breakwater.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- maya@breakwater.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- addy@breakwater.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- beth@breakwater.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 206-621-8832reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 206-259-6446reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 206-337-7850reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- breakwater.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 206.621.8832reportedpublic record, Form ADV, Apr 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
- $101Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026