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
O•••••• W••••• M••••••••• L••
Latest filing Jan 20, 2025
First filing on the tape Jan 25, 2012 · 17 filings
SEC status approved since Jan 16, 2020
RAUM
$209M
reported, Item 5.F
Discretionary
77%
of RAUM
Private clients
77%
$162M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$209M as of Jan 20, 2025
Jan 25, 2012$30.5M then
HNW client RAUM$148M as of Jan 20, 2025
Feb 10, 2021$16.5M then
State-registered IARs (5.B.3)1 as of Jan 20, 2025
Jan 25, 20120 then
Employees (5.A)2 as of Jan 20, 2025
Feb 10, 20212 then
Private funds: no history
RAUM +7.4% over the last fiscal year+3.5% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 20, 2025; every figure names its basis
- RAUM per advisor
- $209MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 102derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $625,068derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 77%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, selection of other advisers, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$148M73%
- Pension and profit-sharing plans$40.7M20%
- Individuals$14.0M6.9%
- Individual clients
- 27reported
- HNW clients
- 75reported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 335reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- E••• R•••••• C••••• to M•••• F•••••••• A•••••••Jun 18, 2025 · RIA to RIA
Joined, latest
- E••• R•••••• C••••• from E••••• J••••Nov 8, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• E•••• R•••••• · Chief Compliance Officer & Ownercontrolsince 10/2010 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Bothell, Wa · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 324 to 335Feb 14, 2024 to Jan 20, 2025
- HNW clients · 70 to 75Feb 14, 2024 to Jan 20, 2025
- Individual clients · 30 to 27Feb 14, 2024 to Jan 20, 2025
- Discretionary RAUM · $144M to $162MFeb 14, 2024 to Jan 20, 2025
- HNW RAUM · $127M to $148MFeb 14, 2024 to Jan 20, 2025
- Individual RAUM · $17.3M to $14.0MFeb 14, 2024 to Jan 20, 2025
- Non-discretionary RAUM · $50.9M to $47.3MFeb 14, 2024 to Jan 20, 2025
- Pension RAUM · $36.3M to $40.7MFeb 14, 2024 to Jan 20, 2025
- RAUM · $195M to $209MFeb 14, 2024 to Jan 20, 2025
- Accounts · 336 to 324Jan 26, 2023 to Feb 14, 2024
- HNW clients · 63 to 70Jan 26, 2023 to Feb 14, 2024
- Individual clients · 38 to 30Jan 26, 2023 to Feb 14, 2024
- Discretionary RAUM · $120M to $144MJan 26, 2023 to Feb 14, 2024
- HNW RAUM · $72.5M to $127MJan 26, 2023 to Feb 14, 2024
- Individual RAUM · $47.7M to $17.3MJan 26, 2023 to Feb 14, 2024
- Non-discretionary RAUM · $34.9M to $50.9MJan 26, 2023 to Feb 14, 2024
- Pension RAUM · $31.7M to $36.3MJan 26, 2023 to Feb 14, 2024
- RAUM · $155M to $195MJan 26, 2023 to Feb 14, 2024
- Accounts · 310 to 336Jan 17, 2022 to Jan 26, 2023
- HNW clients · 69 to 63Jan 17, 2022 to Jan 26, 2023
- Individual clients · 33 to 38Jan 17, 2022 to Jan 26, 2023
- Discretionary RAUM · $148M to $120MJan 17, 2022 to Jan 26, 2023
- HNW RAUM · $134M to $72.5MJan 17, 2022 to Jan 26, 2023
- Individual RAUM · $14.3M to $47.7MJan 17, 2022 to Jan 26, 2023
- Non-discretionary RAUM · $40.3M to $34.9MJan 17, 2022 to Jan 26, 2023
- Pension RAUM · $37.1M to $31.7MJan 17, 2022 to Jan 26, 2023
- RAUM · $189M to $155MJan 17, 2022 to Jan 26, 2023
- Accounts · 99 to 310Feb 10, 2021 to Jan 14, 2022
- HNW clients · 57 to 69Feb 10, 2021 to Jan 14, 2022
- Individual clients · 38 to 33Feb 10, 2021 to Jan 14, 2022
- Discretionary RAUM · $119M to $148MFeb 10, 2021 to Jan 14, 2022
- HNW RAUM · $16.5M to $134MFeb 10, 2021 to Jan 14, 2022
- Individual RAUM · $102M to $14.3MFeb 10, 2021 to Jan 14, 2022
- Non-discretionary RAUM · $31.4M to $40.3MFeb 10, 2021 to Jan 14, 2022
- Pension RAUM · $31.4M to $37.1MFeb 10, 2021 to Jan 14, 2022
- RAUM · $150M to $189MFeb 10, 2021 to Jan 14, 2022
- Accounts · 106 to 99Feb 10, 2021 to Feb 10, 2021
- HNW clients · 42 to 57Feb 10, 2021 to Feb 10, 2021
- Individual clients · 62 to 38Feb 10, 2021 to Feb 10, 2021
- Discretionary RAUM · $84.7M to $119MFeb 10, 2021 to Feb 10, 2021
Signals
3 dated events
- O•••••• W••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-06-02, RAUM $209.4M)Jul 1, 2025 · Left the SEC roster · derived
- E••• R•••••• C••••• left O•••••• W••••• M••••••••• L•• for M•••• F•••••••• A••••••• (registered 2025-06-13)Jun 18, 2025 · Advisor changed firm · fact
- O•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 17, 2019 · 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