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
A•••• P••• I••••••••• L••
Legal name A•••• P••• I••••••••• M••••••••• L••
Latest filing Mar 3, 2026
First filing on the tape Mar 13, 2019 · 16 filings
SEC status approved since Apr 15, 2019
RAUM
$336M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$336M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$84.0M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$336M as of Mar 3, 2026
Feb 4, 2020$156M then
HNW client RAUM$317M as of Mar 3, 2026
Feb 4, 2020$135M then
State-registered IARs (5.B.3)4 as of Mar 3, 2026
Feb 4, 20200 then
Employees (5.A)5 as of Mar 3, 2026
Feb 4, 20205 then
Private funds: no history
RAUM +21% over the last fiscal year+19% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $84.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $1.2M, 37 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$317M94%
- Individuals$18.6M5.5%
- Individual clients
- 34reported
- HNW clients
- 90reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 320reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2M for 37 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• S••• V•• A••• | Bainbridge Island, Wa | Jan 17, 2011 | 15 y | 0 |
| D••••• L••••••• R•••••Chartered Financial Analyst | Bainbridge Island, Wa | May 1, 2018 | 23 y | 3 |
| J•••• T••••• K••••• | Bainbridge Island, Wa | Aug 3, 2021 | 13 y | 0 |
| W•••••• M• B•••••••••Chartered Financial Analyst | Bainbridge Island, Wa | Jul 16, 2025 | 11 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- D••••• L••••••• R••••• from U••••• C•••••• F•••••••• A•••••••May 1, 2018 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• D•••••• L••••••• · Director Of Researchcontrolsince 07/2021 · owns 25% to 50%
- V•• A•••• B••••••• S••• · Chief Compliance Officercontrolsince 01/2015 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Bainbridge Island, Wa · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 313 to 320Jun 17, 2025 to Mar 3, 2026
- Advisory employees · 3 to 4Jun 17, 2025 to Mar 3, 2026
- HNW clients · 87 to 90Jun 17, 2025 to Mar 3, 2026
- Assets in custody · $1.2M to $1.2MJun 17, 2025 to Mar 3, 2026
- Employees · 4 to 5Jun 17, 2025 to Mar 3, 2026
- State-registered IARs · 3 to 4Jun 17, 2025 to Mar 3, 2026
- Discretionary RAUM · $279M to $336MJun 17, 2025 to Mar 3, 2026
- HNW RAUM · $261M to $317MJun 17, 2025 to Mar 3, 2026
- Individual RAUM · $17.9M to $18.6MJun 17, 2025 to Mar 3, 2026
- RAUM · $279M to $336MJun 17, 2025 to Mar 3, 2026
- Financial planning clients · 51-100 to 51-100Feb 21, 2025 to Jun 17, 2025
- Accounts · 278 to 313Apr 24, 2024 to Feb 21, 2025
- HNW clients · 82 to 87Apr 24, 2024 to Feb 21, 2025
- Individual clients · 35 to 34Apr 24, 2024 to Feb 21, 2025
- Assets in custody · $1.3M to $1.2MApr 24, 2024 to Feb 21, 2025
- Discretionary RAUM · $227M to $279MApr 24, 2024 to Feb 21, 2025
- HNW RAUM · $210M to $261MApr 24, 2024 to Feb 21, 2025
- Individual RAUM · $17.6M to $17.9MApr 24, 2024 to Feb 21, 2025
- RAUM · $227M to $279MApr 24, 2024 to Feb 21, 2025
- Accounts · 284 to 278Oct 5, 2023 to Feb 3, 2024
- Advisory employees · 4 to 3Oct 5, 2023 to Feb 3, 2024
- HNW clients · 69 to 82Oct 5, 2023 to Feb 3, 2024
- Individual clients · 49 to 35Oct 5, 2023 to Feb 3, 2024
- Assets in custody · $2.4M to $1.3MOct 5, 2023 to Feb 3, 2024
- Employees · 5 to 4Oct 5, 2023 to Feb 3, 2024
- State-registered IARs · 4 to 3Oct 5, 2023 to Feb 3, 2024
- Discretionary RAUM · $201M to $227MOct 5, 2023 to Feb 3, 2024
- HNW RAUM · $176M to $210MOct 5, 2023 to Feb 3, 2024
- Individual RAUM · $25.6M to $17.6MOct 5, 2023 to Feb 3, 2024
- RAUM · $201M to $227MOct 5, 2023 to Feb 3, 2024
- Accounts · 253 to 284Feb 15, 2022 to Jan 31, 2023
- HNW clients · 65 to 69Feb 15, 2022 to Jan 31, 2023
- Individual clients · 40 to 49Feb 15, 2022 to Jan 31, 2023
- Assets in custody · unset to 2406061.0Feb 15, 2022 to Jan 31, 2023
- Custody of client assets · false to trueFeb 15, 2022 to Jan 31, 2023
- State-registered IARs · 0 to 4Feb 15, 2022 to Jan 31, 2023
- Discretionary RAUM · $210M to $201MFeb 15, 2022 to Jan 31, 2023
- HNW RAUM · $188M to $176MFeb 15, 2022 to Jan 31, 2023
- Individual RAUM · $21.8M to $25.6MFeb 15, 2022 to Jan 31, 2023
- RAUM · $210M to $201MFeb 15, 2022 to Jan 31, 2023
Signals
3 dated events
- Leverett Daniel Rutter (Director Of Research) appeared on Schedule A of A•••• P••• I••••••••• L••Jul 20, 2021 · Control person joined · fact
- Allen Mark Byl (Chief Executive Officer) no longer on Schedule A of A•••• P••• I••••••••• L•• (listed 2019-04-17, absent 2020-02-04)Feb 4, 2020 · Control person left · inference
- A•••• P••• I••••••••• L•• filed its initial SEC registration (Form ADV)Mar 13, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/agate-pass-investment-management/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 206-842-5770reportedpublic record, Form ADV, Mar 3, 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
- $84.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026