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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Former SEC-registered adviser

B•• W••••• A•••••••

Former SEC-registered adviserGig Harbor, WashingtonCRD 151507SEC 801-118204IAPD
Legal name B•••••• H••••• • J••••• I•••
Latest filing Feb 10, 2023
First filing on the tape Feb 10, 2020 · 9 filings
RAUM
$152M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$146M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$152M as of Feb 10, 2023
Mar 11, 2021$142M then
HNW client RAUM$130M as of Feb 10, 2023
Mar 11, 2021$123M then
State-registered IARs (5.B.3)2 as of Feb 10, 2023
Mar 11, 20213 then
Employees (5.A)3 as of Feb 10, 2023
Mar 11, 20213 then
Private funds: no history
RAUM -13% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 10, 2023; every figure names its basis
RAUM per advisor
$76.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
42derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$5.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-13%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-1.2%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$61.1M, 43 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$130M86%
  • Individuals$15.6M10%
  • Charitable organizations$6.0M3.9%
Individual clients
29reported
HNW clients
55reported
Pension plan clients
0reported
Charitable clients
2reported
Accounts
29reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$61.1M for 43 clientsreported
Compensation
% of AUM, fixedreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B•••••• G•••• A• · President/Chief Compliance Officercontrol
    since 10/2009 · owns 50% to 75%
  • H•••••• A••••• M•••••• · Vice Presidentcontrol
    since 10/2009 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 327 to 29
    Jan 26, 2022 to Feb 10, 2023
  • Advisory employees · 2 to 3
    Jan 26, 2022 to Feb 10, 2023
  • HNW clients · 54 to 55
    Jan 26, 2022 to Feb 10, 2023
  • Individual clients · 31 to 29
    Jan 26, 2022 to Feb 10, 2023
  • Assets in custody · $43.1M to $61.1M
    Jan 26, 2022 to Feb 10, 2023
  • Employees · 2 to 3
    Jan 26, 2022 to Feb 10, 2023
  • Discretionary RAUM · $174M to $152M
    Jan 26, 2022 to Feb 10, 2023
  • HNW RAUM · $149M to $130M
    Jan 26, 2022 to Feb 10, 2023
  • Individual RAUM · $18.5M to $15.6M
    Jan 26, 2022 to Feb 10, 2023
  • RAUM · $174M to $152M
    Jan 26, 2022 to Feb 10, 2023
  • Accounts · 262 to 327
    Mar 11, 2021 to Jan 26, 2022
  • Advisory employees · 3 to 2
    Mar 11, 2021 to Jan 26, 2022
  • HNW clients · 51 to 54
    Mar 11, 2021 to Jan 26, 2022
  • Individual clients · 26 to 31
    Mar 11, 2021 to Jan 26, 2022
  • Assets in custody · $30.3M to $43.1M
    Mar 11, 2021 to Jan 26, 2022
  • Employees · 3 to 2
    Mar 11, 2021 to Jan 26, 2022
  • State-registered IARs · 3 to 2
    Mar 11, 2021 to Jan 26, 2022
  • Discretionary RAUM · $142M to $174M
    Mar 11, 2021 to Jan 26, 2022
  • HNW RAUM · $123M to $149M
    Mar 11, 2021 to Jan 26, 2022
  • Individual RAUM · $13.1M to $18.5M
    Mar 11, 2021 to Jan 26, 2022
  • RAUM · $142M to $174M
    Mar 11, 2021 to Jan 26, 2022
  • Accounts · 261 to 262
    Nov 23, 2020 to Mar 11, 2021
  • HNW clients · 46 to 51
    Nov 23, 2020 to Mar 11, 2021
  • Individual clients · 34 to 26
    Nov 23, 2020 to Mar 11, 2021
  • Assets in custody · $27.1M to $30.3M
    Nov 23, 2020 to Mar 11, 2021
  • Discretionary RAUM · $127M to $142M
    Nov 23, 2020 to Mar 11, 2021
  • HNW RAUM · $105M to $123M
    Nov 23, 2020 to Mar 11, 2021
  • Individual RAUM · $16.5M to $13.1M
    Nov 23, 2020 to Mar 11, 2021
  • RAUM · $127M to $142M
    Nov 23, 2020 to Mar 11, 2021
  • Accounts · 265 to 261
    Jun 17, 2020 to Oct 30, 2020
  • HNW clients · 39 to 46
    Jun 17, 2020 to Oct 30, 2020
  • Individual clients · 36 to 34
    Jun 17, 2020 to Oct 30, 2020
  • Assets in custody · unset to 27068838.0
    Jun 17, 2020 to Oct 30, 2020
  • Custody of client assets · false to true
    Jun 17, 2020 to Oct 30, 2020
  • Discretionary RAUM · $114M to $127M
    Jun 17, 2020 to Oct 30, 2020
  • HNW RAUM · $87.7M to $105M
    Jun 17, 2020 to Oct 30, 2020
  • Individual RAUM · $21.7M to $16.5M
    Jun 17, 2020 to Oct 30, 2020
  • RAUM · $114M to $127M
    Jun 17, 2020 to Oct 30, 2020
  • Accounts · 264 to 265
    Apr 3, 2020 to Jun 17, 2020
  • Discretionary RAUM · $117M to $114M
    Apr 3, 2020 to Jun 17, 2020
Signals
3 dated events
  • G••• A• B••••• left B•• W••••• A••••••• for M•••••• W••••• M••••••••• L• (registered 2023-08-01)
    Aug 4, 2023 · Advisor changed firm · fact
  • G•••• N••••• C••••• left B•• W••••• A••••••• for E••••• J•••• (registered 2022-04-25)
    Jan 25, 2022 · Advisor changed firm · fact
  • B•• W••••• A••••••• filed its initial SEC registration (Form ADV)
    Feb 10, 2020 · 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.
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