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.
SEC-registered adviser
Garde Capital, Inc.
Latest filing Mar 25, 2026
First filing on the tape Mar 12, 2012 · 27 filings
SEC status approved since Aug 13, 2009
RAUM
$2.7B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
85%
$2.3B individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$295M
derived; firm RAUM over IAPD count
Employees
18
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$2.7B as of Mar 25, 2026
Mar 12, 2012$241M then
HNW client RAUM$2.2B as of Mar 25, 2026
Mar 26, 2018$594M then
State-registered IARs (5.B.3)11 as of Mar 25, 2026
Mar 12, 20120 then
Employees (5.A)18 as of Mar 25, 2026
Mar 27, 20137 then
Private funds: no history
RAUM +18% over the last fiscal year+24% a year over threeIARs 12 to 11
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Planning-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
- $295MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.4MderivedHNW RAUM over HNW clients
- Average account
- $5.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- -8.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $110M, 512 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.2B83%
- Pension and profit-sharing plans$225M8.5%
- Charitable organizations$111M4.2%
- Individuals$58.6M2.2%
- Corporations and businesses$56.3M2.1%
- Individual clients
- 120reported
- HNW clients
- 342reported
- Pension plan clients
- 23reported
- Charitable clients
- 21reported
- Accounts
- 512reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $110M for 512 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Marshal Kerry Mcreal | Seattle, Wa | Aug 10, 2009 | 41 y | 1 |
| Richard Scott SeversCertified Financial Planner, Chartered Financial Analyst | Seattle, Wa | Aug 28, 2009 | 22 y | 1 |
| Jeffery Lee Lippens | Seattle, Wa | Aug 28, 2009 | 38 y | 1 |
| Thomas Reese Owens | Seattle, Wa | Aug 28, 2009 | 35 y | 2 |
| Ashley Christine Fancher | Seattle, Wa | Feb 12, 2015 | 16 y | 0 |
| Cody Bill BarneyChartered Financial Analyst | Seattle, Wa | Dec 22, 2015 | 19 y | 3 |
| Henry Evans WurstCertified Financial Planner | Seattle, Wa | Feb 1, 2024 | 12 y | 2 |
| Ryan Kelly Kinerk | Seattle, Wa | Jun 3, 2024 | 12 y | 0 |
| Rey SantodomingoCertified Financial Planner, Chartered Financial Analyst | Seattle, Wa | Dec 23, 2024 | 18 y | 0 |
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 headcount3 left over 36 months
Left, latest
- Anthony Lawrence Baruffi to Newedge AdvisorsJun 6, 2024 · RIA to affiliated broker-dealer or bank
- Thomas Darcy Owens to Burton Enright WelchMay 10, 2024 · RIA to RIA
- Christopher L Moreton to Usi Securities, Inc.Jan 19, 2024 · Other
- Leonard Adriaan Van Dorp to Northwest Asset ManagementMar 22, 2019 · RIA to RIA
Joined, latest
- Henry Evans Wurst from Coldstream Wealth ManagementFeb 1, 2024 · RIA to RIA
- Christopher L Moreton from Brighton Jones LLCNov 16, 2023 · RIA to RIA
- Cody Bill Barney from Rathbone Warwick Investment ManagementDec 22, 2015 · Other
- Anthony Lawrence Baruffi from Mcmillen & Company, Inc.Sep 17, 2015 · Other
- Leonard Adriaan Van Dorp from UBS Financial Services Inc.Jan 23, 2015 · Other
- Thomas Reese Owens from UBS Financial Services Inc.Aug 28, 2009 · Other
- Richard Scott Severs from UBS Financial Services Inc.Aug 28, 2009 · Other
- Jeffery Lee Lippens from UBS Financial Services Inc.Aug 28, 2009 · Other
- Marshal Kerry Mcreal from Citigroup Global Markets Inc.Aug 10, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lee Jeffery Lippens · President & Treasurercontrolsince 09/2009 · owns 25% to 50%
- Kerry Marshal Mcreal · Vice Presidentcontrolsince 07/2009 · owns 25% to 50%
- Reese Thomas Owens · Principalcontrolsince 09/2009 · owns 10% to 25%
- Scott Richard Severs · Chief Compliance Officercontrolsince 09/2009 · owns 10% to 25%
Related persons
Schedule D 7.A
- Timothy C. Richards And Associatesinsurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Seattle, Wa · principal | 9 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 25, 2026insurance affiliate (Item 7.A.10): yes on the filing of 2025-03-05, no on the filing of 2026-03-25peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 490 to 512Mar 5, 2025 to Mar 25, 2026
- Advisory employees · 11 to 8Mar 5, 2025 to Mar 25, 2026
- Corporate clients · 5 to 6Mar 5, 2025 to Mar 25, 2026
- HNW clients · 297 to 342Mar 5, 2025 to Mar 25, 2026
- Individual clients · 146 to 120Mar 5, 2025 to Mar 25, 2026
- Pension plan clients · 21 to 23Mar 5, 2025 to Mar 25, 2026
- Assets in custody · $75.4M to $110MMar 5, 2025 to Mar 25, 2026
- Financial planning clients · 251-500 to More than 500Mar 5, 2025 to Mar 25, 2026
- State-registered IARs · 12 to 11Mar 5, 2025 to Mar 25, 2026
- Discretionary RAUM · $2.2B to $2.6BMar 5, 2025 to Mar 25, 2026
- HNW RAUM · $1.8B to $2.2BMar 5, 2025 to Mar 25, 2026
- Individual RAUM · $69.2M to $58.6MMar 5, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $10.8M to $14.8MMar 5, 2025 to Mar 25, 2026
- Pension RAUM · $184M to $225MMar 5, 2025 to Mar 25, 2026
- RAUM · $2.3B to $2.7BMar 5, 2025 to Mar 25, 2026
- Related insurance company · true to falseMar 5, 2025 to Mar 25, 2026
- Accounts · 533 to 490Mar 26, 2024 to Mar 5, 2025
- Advisory employees · 9 to 11Mar 26, 2024 to Mar 5, 2025
- Charity clients · 23 to 21Mar 26, 2024 to Mar 5, 2025
- Corporate clients · 4 to 5Mar 26, 2024 to Mar 5, 2025
- HNW clients · 314 to 297Mar 26, 2024 to Mar 5, 2025
- Individual clients · 169 to 146Mar 26, 2024 to Mar 5, 2025
- Pension plan clients · 23 to 21Mar 26, 2024 to Mar 5, 2025
- Assets in custody · $56.6M to $75.4MMar 26, 2024 to Mar 5, 2025
- Employees · 16 to 18Mar 26, 2024 to Mar 5, 2025
- Financial planning clients · More than 500 to 251-500Mar 26, 2024 to Mar 5, 2025
- State-registered IARs · 10 to 12Mar 26, 2024 to Mar 5, 2025
- Discretionary RAUM · $2.1B to $2.2BMar 26, 2024 to Mar 5, 2025
- HNW RAUM · $1.7B to $1.8BMar 26, 2024 to Mar 5, 2025
- Individual RAUM · $77.1M to $69.2MMar 26, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $11.2M to $10.8MMar 26, 2024 to Mar 5, 2025
- Pension RAUM · $147M to $184MMar 26, 2024 to Mar 5, 2025
- RAUM · $2.1B to $2.3BMar 26, 2024 to Mar 5, 2025
- Accounts · 493 to 533Mar 29, 2023 to Mar 26, 2024
- Advisory employees · 10 to 9Mar 29, 2023 to Mar 26, 2024
- Charity clients · 17 to 23Mar 29, 2023 to Mar 26, 2024
- HNW clients · 284 to 314Mar 29, 2023 to Mar 26, 2024
- Individual clients · 164 to 169Mar 29, 2023 to Mar 26, 2024
- Pension plan clients · 24 to 23Mar 29, 2023 to Mar 26, 2024
- Employees · 14 to 16Mar 29, 2023 to Mar 26, 2024
Signals
5 dated events
- Anthony Lawrence Baruffi left Garde Capital, Inc. for Newedge Advisors (registered 2024-06-06)Jun 6, 2024 · Advisor changed firm · fact
- Thomas Darcy Owens left Garde Capital, Inc. for Burton Enright Welch (registered 2024-04-03)May 10, 2024 · Advisor changed firm · fact
- Garde Capital, Inc. reported RAUM $2.1B, up 49% from $1.4B (2023-03-29 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- Christopher L Moreton left Garde Capital, Inc. for Usi Securities, Inc. (registered 2024-04-08)Jan 19, 2024 · Advisor changed firm · fact
- Garde Capital, Inc. reported RAUM $1.0B, up 28% from $811.9M (2017-03-29 to 2018-03-26)Mar 26, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Garde Capital, Inc. · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 206-552-7900reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- GARDECAPITAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 206-552-7900reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- gardecapital.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- gardecapital.com/teamreportedpublished by the firm, firm site, Sep 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
- $295Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026