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

V••••••• L••

Former SEC-registered adviserBellevue, WashingtonCRD 151858SEC 801-96174IAPD
Latest filing Nov 24, 2020
First filing on the tape Apr 15, 2015 · 29 filings
RAUM
$456M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
100%
$456M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
9 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$456M as of Apr 2, 2020
Feb 11, 2016$220M then
HNW client RAUM$237M as of Apr 2, 2020
Mar 22, 2018$211M then
State-registered IARs (5.B.3)8 as of Apr 2, 2020
Feb 11, 20167 then
Employees (5.A)14 as of Apr 2, 2020
Feb 11, 201612 then
Private funds: no history
RAUM +20% over the last fiscal year+14% a year over threeIARs 11 to 9offices 3 to 0
Practice profile
derived from the filing of Nov 24, 2020; every figure names its basis
RAUM per advisor
$50.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
109derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$207,548derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
9.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
-27%derivedItem 5.B.3 between annual amendments
Client growth, one year
+50%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, publications, educational seminarsreportedItem 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
  • 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$237M52%
  • Individuals$219M48%
Individual clients
851reported
HNW clients
126reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2,196reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C•••• T•••••• C•••••• · Managing Member, Principal And Chief Compliance Officercontrol
      since 09/2009 · owns 50% to 75%
    • M•••••••• D•••••• A••••••• · Member And Principalcontrol
      since 09/2009 · owns 10% to 25%
    • E••••• M•••••••• J•• · Member
      since 04/2019 · owns less than 5%
    • H••••••• W•••••• · Member
      since 06/2014 · owns 5% to 10%
    • M•••••••• K••••• D••• · Member
      since 02/2020 · owns less than 5%
    • M•••••• K••• M•••••• · Member
      since 01/2016 · owns 5% to 10%
    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
    • Advisory employees · 8 to 9
      Jun 30, 2020 to Nov 24, 2020
    • Employees · 14 to 15
      Jun 30, 2020 to Nov 24, 2020
    • State-registered IARs · 8 to 9
      Jun 30, 2020 to Nov 24, 2020
    • Accounts · 1,901 to 2,196
      Mar 4, 2020 to Apr 2, 2020
    • HNW clients · 133 to 126
      Mar 4, 2020 to Apr 2, 2020
    • Individual clients · 549 to 851
      Mar 4, 2020 to Apr 2, 2020
    • Discretionary RAUM · $433M to $433M
      Mar 4, 2020 to Apr 2, 2020
    • HNW RAUM · $256M to $237M
      Mar 4, 2020 to Apr 2, 2020
    • Individual RAUM · $199M to $219M
      Mar 4, 2020 to Apr 2, 2020
    • Non-discretionary RAUM · $22.4M to $22.4M
      Mar 4, 2020 to Apr 2, 2020
    • RAUM · $456M to $456M
      Mar 4, 2020 to Apr 2, 2020
    • Accounts · 1,878 to 1,901
      Nov 26, 2019 to Mar 4, 2020
    • Advisory employees · 7 to 8
      Nov 26, 2019 to Mar 4, 2020
    • Advisory activities · 5 to 4
      Nov 26, 2019 to Mar 4, 2020
    • Charity clients · unset to 0.0
      Nov 26, 2019 to Mar 4, 2020
    • Corporate clients · unset to 0.0
      Nov 26, 2019 to Mar 4, 2020
    • HNW clients · 95 to 133
      Nov 26, 2019 to Mar 4, 2020
    • Individual clients · 555 to 549
      Nov 26, 2019 to Mar 4, 2020
    • Pension plan clients · unset to 0.0
      Nov 26, 2019 to Mar 4, 2020
    • Pooled vehicle clients · unset to 0.0
      Nov 26, 2019 to Mar 4, 2020
    • Employees · 13 to 14
      Nov 26, 2019 to Mar 4, 2020
    • State-registered IARs · 7 to 8
      Nov 26, 2019 to Mar 4, 2020
    • Discretionary RAUM · $360M to $433M
      Nov 26, 2019 to Mar 4, 2020
    • HNW RAUM · $172M to $256M
      Nov 26, 2019 to Mar 4, 2020
    • Individual RAUM · $210M to $199M
      Nov 26, 2019 to Mar 4, 2020
    • Non-discretionary RAUM · $21.0M to $22.4M
      Nov 26, 2019 to Mar 4, 2020
    • Pension RAUM · unset to 0.0
      Nov 26, 2019 to Mar 4, 2020
    • Pooled vehicle RAUM · unset to 0.0
      Nov 26, 2019 to Mar 4, 2020
    • RAUM · $381M to $456M
      Nov 26, 2019 to Mar 4, 2020
    • Advisory employees · 8 to 7
      Jul 2, 2019 to Nov 26, 2019
    • Employees · 14 to 13
      Jul 2, 2019 to Nov 26, 2019
    • State-registered IARs · 8 to 7
      Jul 2, 2019 to Nov 26, 2019
    • Advisory employees · 10 to 8
      Jun 12, 2019 to Jul 2, 2019
    • Employees · 16 to 14
      Jun 12, 2019 to Jul 2, 2019
    • State-registered IARs · 10 to 8
      Jun 12, 2019 to Jul 2, 2019
    • Other offices · 3 to 0
      Jun 12, 2019 to Jul 2, 2019
    • Advisory employees · 9 to 10
      May 13, 2019 to Jun 12, 2019
    • Employees · 15 to 16
      May 13, 2019 to Jun 12, 2019
    • State-registered IARs · 9 to 10
      May 13, 2019 to Jun 12, 2019
    • Advisory employees · 10 to 9
      Mar 21, 2019 to May 13, 2019
    Signals
    2 dated events
    • V••••••• L•• reported RAUM $415.4M, up 35% from $308.7M (2017-08-30 to 2018-03-22)
      Mar 22, 2018 · RAUM change · derived
    • V••••••• L•• filed its initial SEC registration (Form ADV)
      Apr 15, 2015 · 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