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

A••••• A•••• M••••••••• L••

Former SEC-registered adviserCRD 151620SEC 801-70631IAPD
Latest filing Oct 3, 2024
First filing on the tape Mar 1, 2012 · 34 filings
RAUM
$52.4M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$52.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$52.4M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$83.0M as of Mar 19, 2024
Mar 23, 2012$183M then
HNW client RAUM$83.0M as of Mar 19, 2024
Mar 13, 2018$201M then
State-registered IARs (5.B.3)1 as of Mar 19, 2024
Mar 23, 20120 then
Employees (5.A)1 as of Mar 19, 2024
Mar 27, 20131 then
Private funds: no history
RAUM -76% over the last fiscal year-39% a year over threeIARs 2 to 1offices 1 to 0
Practice profile
derived from the filing of Oct 3, 2024; every figure names its basis
RAUM per advisor
$52.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.0MderivedHNW RAUM over HNW clients
Average account
$4.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-61%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$52.4M100%
Individual clients
n/areported
HNW clients
13reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
13reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•••• M••••• T••••••Pullman, WaSep 16, 202017 y0
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • T••••••• J••••• M••••• · Manager, Chief Compliance Officercontrol
      since 08/2009 · owns 75% or more
    • C•••• C•••••• C•••••••• · Member
      since 09/2009 · owns 10% to 25%
    • S••••••••• D••• R• · Member
      since 09/2009 · owns 10% to 25%
    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
    • Discretionary RAUM · $83.0M to $0
      Sep 13, 2024 to Oct 3, 2024
    • HNW RAUM · $83.0M to $52.4M
      Sep 13, 2024 to Oct 3, 2024
    • Non-discretionary RAUM · $0 to $52.4M
      Sep 13, 2024 to Oct 3, 2024
    • RAUM · $83.0M to $52.4M
      Sep 13, 2024 to Oct 3, 2024
    • Advisory activities · 5 to 4
      Mar 22, 2024 to Sep 13, 2024
    • Discretionary RAUM · $83.0M to $83.0M
      Mar 22, 2024 to Sep 13, 2024
    • HNW RAUM · $83.0M to $83.0M
      Mar 22, 2024 to Sep 13, 2024
    • RAUM · $83.0M to $83.0M
      Mar 22, 2024 to Sep 13, 2024
    • Accounts · 20 to 13
      Dec 15, 2023 to Mar 19, 2024
    • Charity clients · 0.0 to unset
      Dec 15, 2023 to Mar 19, 2024
    • Corporate clients · 0.0 to unset
      Dec 15, 2023 to Mar 19, 2024
    • HNW clients · 11 to 13
      Dec 15, 2023 to Mar 19, 2024
    • Individual clients · 5.0 to unset
      Dec 15, 2023 to Mar 19, 2024
    • Pension plan clients · 0.0 to unset
      Dec 15, 2023 to Mar 19, 2024
    • Pooled vehicle clients · 0.0 to unset
      Dec 15, 2023 to Mar 19, 2024
    • Assets in custody · 64198844.0 to unset
      Dec 15, 2023 to Mar 19, 2024
    • Custody of client assets · true to false
      Dec 15, 2023 to Mar 19, 2024
    • Discretionary RAUM · $0 to $83.0M
      Dec 15, 2023 to Mar 19, 2024
    • HNW RAUM · $212M to $83.0M
      Dec 15, 2023 to Mar 19, 2024
    • Individual RAUM · 2780588.0 to unset
      Dec 15, 2023 to Mar 19, 2024
    • Non-discretionary RAUM · $215M to $0
      Dec 15, 2023 to Mar 19, 2024
    • Pension RAUM · 0.0 to unset
      Dec 15, 2023 to Mar 19, 2024
    • Pooled vehicle RAUM · 0.0 to unset
      Dec 15, 2023 to Mar 19, 2024
    • RAUM · $215M to $83.0M
      Dec 15, 2023 to Mar 19, 2024
    • Advisory employees · 2 to 1
      Jun 30, 2023 to Dec 15, 2023
    • Employees · 2 to 1
      Jun 30, 2023 to Dec 15, 2023
    • State-registered IARs · 2 to 1
      Jun 30, 2023 to Dec 15, 2023
    • Other offices · 1 to 0
      Jun 30, 2023 to Dec 15, 2023
    • HNW clients · 12 to 11
      Nov 16, 2022 to Mar 7, 2023
    • Individual clients · 7 to 5
      Nov 16, 2022 to Mar 7, 2023
    • Assets in custody · $135M to $64.2M
      Nov 16, 2022 to Mar 7, 2023
    • HNW RAUM · $203M to $212M
      Nov 16, 2022 to Mar 7, 2023
    • Individual RAUM · $8.0M to $2.8M
      Nov 16, 2022 to Mar 7, 2023
    • Non-discretionary RAUM · $211M to $215M
      Nov 16, 2022 to Mar 7, 2023
    • RAUM · $211M to $215M
      Nov 16, 2022 to Mar 7, 2023
    • HNW clients · 14 to 12
      Jul 28, 2021 to Mar 16, 2022
    • Individual clients · 3 to 7
      Jul 28, 2021 to Mar 16, 2022
    • Assets in custody · unset to 135451930.0
      Jul 28, 2021 to Mar 16, 2022
    • Custody of client assets · false to true
      Jul 28, 2021 to Mar 16, 2022
    • Employees · 3 to 2
      Jul 28, 2021 to Mar 16, 2022
    Signals
    1 dated events
    • A••••• A•••• M••••••••• L•• reported RAUM $83.0M, down 61% from $215.1M (2023-12-15 to 2024-03-19)
      Mar 19, 2024 · RAUM change · derived
    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
    $52.4Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026