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••• M••••••• C•••••• I•••
Latest filing Mar 1, 2026
First filing on the tape May 21, 2018 · 22 filings
SEC status approved since Jun 21, 2018
RAUM
$375M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$361M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$41.7M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$375M as of Mar 1, 2026
Feb 12, 2019$116M then
HNW client RAUM$296M as of Mar 1, 2026
Feb 12, 2019$81.4M then
State-registered IARs (5.B.3)6 as of Mar 1, 2026
Feb 12, 20194 then
Employees (5.A)6 as of Mar 1, 2026
Feb 12, 20194 then
Private funds1 as of Mar 1, 2026
Feb 12, 20191 then
RAUM +21% over the last fiscal year+10% a year over threeIARs 8 to 6
Practice profile
derived from the filing of Mar 1, 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $41.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $383,827derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.9%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $13.5M, 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$296M79%
- Individuals$65.3M17%
- Pooled investment vehicles$13.5M3.6%
- Corporations and businesses$474,0830.1%
- Individual clients
- 141reported
- HNW clients
- 91reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 977reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $13.5M for 1 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.04 institutional_share=0.0 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 |
|---|---|---|---|---|
| J••• L••••• D•• | Seattle, Wa | Aug 27, 2009 | 27 y | 1 |
| L••• C••••••Certified Financial Planner | Seattle, Wa | Mar 7, 2013 | 13 y | 0 |
| R••• G••••••• | Seattle, Wa | Dec 23, 2014 | 16 y | 0 |
| R••• K•••••• M•••••••Certified Financial Planner | Seattle, Wa | Jul 1, 2021 | 10 y | 0 |
| N••••• L••• N•••••••• | Seattle, Wa | Apr 19, 2024 | 24 y | 0 |
| P•••• B•••• K•••••• | Seattle, Wa | Apr 30, 2024 | 11 y | 0 |
| B•••• A••• D••••• | Seattle, Wa | Jan 31, 2025 | 13 y | 0 |
| B••••• I••••• G•••••••• C•••••• | Seattle, Wa | Apr 2, 2025 | 13 y | 0 |
| B•••••• K••••• | Seattle, Wa | Jan 8, 2026 | 10 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 headcount1 left over 36 months
Left, latest
- J••••••• Z•••• J••••• to C••••••• P•••••••• I•••Jan 8, 2024 · RIA to RIA
- R•••• J•••• N•••••• to R•••••• I•••••••••Feb 15, 2023 · Other
Joined, latest
- J••• L••••• D•• from U•• F•••••••• S••••••• I•••Aug 27, 2009 · Wirehouse to independent RIA
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••• C•••• I••••••••• F••• I• L•• | Other Private Fund | $10.5M | 55 | May 21, 2018 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• L••• · Director Of Advisory Servicescontrolsince 02/2013 · owns 10% to 25%
- D••• J•••• L••••• · Ceo And Chief Compliance Officercontrolsince 07/2009 · owns 75% or more
- N••••••••• N•••••• L••• · Director Of Operationscontrolsince 10/2022 · owns less than 5%
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 | 9 | 1 | 0 | ||
| Bellingham, Wa | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 921 to 977Nov 18, 2025 to Mar 1, 2026
- HNW clients · 73 to 91Nov 18, 2025 to Mar 1, 2026
- Individual clients · 140 to 141Nov 18, 2025 to Mar 1, 2026
- Assets in custody · $11.7M to $13.5MNov 18, 2025 to Mar 1, 2026
- Employees · 8 to 6Nov 18, 2025 to Mar 1, 2026
- Financial planning clients · 101-250 to 251-500Nov 18, 2025 to Mar 1, 2026
- State-registered IARs · 8 to 6Nov 18, 2025 to Mar 1, 2026
- Discretionary RAUM · $310M to $375MNov 18, 2025 to Mar 1, 2026
- HNW RAUM · $236M to $296MNov 18, 2025 to Mar 1, 2026
- Individual RAUM · $61.4M to $65.3MNov 18, 2025 to Mar 1, 2026
- Pooled vehicle RAUM · $11.6M to $13.5MNov 18, 2025 to Mar 1, 2026
- RAUM · $310M to $375MNov 18, 2025 to Mar 1, 2026
- Advisory employees · 4 to 5Feb 14, 2025 to Apr 9, 2025
- Employees · 5 to 8Feb 14, 2025 to Apr 9, 2025
- Financial planning clients · 101-250 to 101-250Feb 14, 2025 to Apr 9, 2025
- State-registered IARs · 5 to 8Feb 14, 2025 to Apr 9, 2025
- Accounts · 872 to 921Feb 27, 2024 to Feb 14, 2025
- Advisory employees · 3 to 4Feb 27, 2024 to Feb 14, 2025
- Corporate clients · 2 to 1Feb 27, 2024 to Feb 14, 2025
- HNW clients · 77 to 73Feb 27, 2024 to Feb 14, 2025
- Individual clients · 172 to 140Feb 27, 2024 to Feb 14, 2025
- Assets in custody · $10.5M to $11.7MFeb 27, 2024 to Feb 14, 2025
- Financial planning clients · 251-500 to 101-250Feb 27, 2024 to Feb 14, 2025
- State-registered IARs · 3 to 5Feb 27, 2024 to Feb 14, 2025
- Discretionary RAUM · $307M to $310MFeb 27, 2024 to Feb 14, 2025
- HNW RAUM · $225M to $236MFeb 27, 2024 to Feb 14, 2025
- Individual RAUM · $72.0M to $61.4MFeb 27, 2024 to Feb 14, 2025
- Non-discretionary RAUM · $804,198 to $0Feb 27, 2024 to Feb 14, 2025
- Pooled vehicle RAUM · $10.5M to $11.6MFeb 27, 2024 to Feb 14, 2025
- RAUM · $308M to $310MFeb 27, 2024 to Feb 14, 2025
- Accounts · 877 to 872Oct 17, 2023 to Feb 27, 2024
- Advisory employees · 5 to 3Oct 17, 2023 to Feb 27, 2024
- HNW clients · 74 to 77Oct 17, 2023 to Feb 27, 2024
- Individual clients · 173 to 172Oct 17, 2023 to Feb 27, 2024
- Assets in custody · $14.8M to $10.5MOct 17, 2023 to Feb 27, 2024
- Financial planning clients · 101-250 to 251-500Oct 17, 2023 to Feb 27, 2024
- State-registered IARs · 5 to 3Oct 17, 2023 to Feb 27, 2024
- Other offices · 1 to 0Oct 17, 2023 to Feb 27, 2024
- Discretionary RAUM · $280M to $307MOct 17, 2023 to Feb 27, 2024
- HNW RAUM · $203M to $225MOct 17, 2023 to Feb 27, 2024
Signals
4 dated events
- J••••••• Z•••• J••••• left B••• M••••••• C•••••• I••• for C••••••• P•••••••• I••• (registered 2024-02-14)Jan 8, 2024 · Advisor changed firm · fact
- L••• N••••• N•••••••• (Director Of Operations) appeared on Schedule A of B••• M••••••• C•••••• I•••Feb 27, 2023 · Control person joined · fact
- R•••• J•••• N•••••• left B••• M••••••• C•••••• I••• for R•••••• I••••••••• (registered 2023-06-21)Feb 15, 2023 · Advisor changed firm · fact
- B••• M••••••• C•••••• I••• filed its initial SEC registration (Form ADV)May 21, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B••• M••••••• C•••••• I••• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Business phone
- 206-690-2811reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/1981861reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 206-420-3713reportedpublic record, Form ADV, Mar 1, 2026
- Contact form
- bearmountaincapital.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $41.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026