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
T••••• F••••••••• L••
Latest filing Mar 2, 2026
First filing on the tape Mar 29, 2012 · 32 filings
SEC status approved since Oct 21, 2010
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.3B individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$670M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$1.3B as of Mar 2, 2026
Mar 29, 2012$97.1M then
HNW client RAUM$1.3B as of Mar 2, 2026
Jan 25, 2018$201M then
State-registered IARs (5.B.3)2 as of Mar 2, 2026
Mar 29, 20120 then
Employees (5.A)3 as of Mar 2, 2026
Feb 7, 20131 then
Private funds: no history
RAUM +43% over the last fiscal year+37% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 2, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $670MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 135derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $2.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +43%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $265,000, 26 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)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.3B100%
- Individuals$4.6M0.3%
- Individual clients
- 19reported
- HNW clients
- 250reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 530reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $265,000 for 26 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• D•••• P•••• | Bellevue, Wa | Jun 3, 2015 | 33 y | 0 |
| T••••• M•••••• S••••••Chartered Financial Analyst | Bellevue, Wa | May 21, 2018 | 36 y | 3 |
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
- G•••••• J••••• Z•••••• to Z•••••• F••••••••• L••Dec 2, 2015 · Other
Joined, latest
- T••••• M•••••• S•••••• from R••••• W• B•••• • C•• I•••••••••May 21, 2018 · RIA to RIA
- G•••••• J••••• Z•••••• from C••••• A•••••• N••••••• L••Oct 21, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••• J••••• D•••• · Chief Compliance Officercontrolsince 06/2015 · owns 25% to 50%
- S••••••• T•••••• M•••••• · Member & Ciocontrolsince 01/2020 · owns 10% to 25%
- T•••••• R••••••• H••••• · Managing Membercontrolsince 08/2010 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Bellevue, Wa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 2, 2026RAUM (Item 5.F) moved from $937,470,662 to $1,340,535,838 (+43.0%) between the annual amendments of 2025-02-18 and 2026-03-02; the peer median change was +17.0% (1298 comparable advisers, 90.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,298) · 90% percentile
What changed
consecutive filings, newest first
- Accounts · 517 to 530Feb 18, 2025 to Feb 18, 2026
- HNW clients · 247 to 250Feb 18, 2025 to Feb 18, 2026
- Individual clients · 16 to 19Feb 18, 2025 to Feb 18, 2026
- Assets in custody · $370,000 to $265,000Feb 18, 2025 to Feb 18, 2026
- Discretionary RAUM · $937M to $1.3BFeb 18, 2025 to Feb 18, 2026
- HNW RAUM · $932M to $1.3BFeb 18, 2025 to Feb 18, 2026
- Individual RAUM · $5.1M to $4.6MFeb 18, 2025 to Feb 18, 2026
- Non-discretionary RAUM · $770,283 to $809,022Feb 18, 2025 to Feb 18, 2026
- RAUM · $937M to $1.3BFeb 18, 2025 to Feb 18, 2026
- Accounts · 410 to 517Feb 2, 2024 to Feb 18, 2025
- HNW clients · 177 to 247Feb 2, 2024 to Feb 18, 2025
- Individual clients · 21 to 16Feb 2, 2024 to Feb 18, 2025
- Assets in custody · $340,000 to $370,000Feb 2, 2024 to Feb 18, 2025
- Financial planning clients · unset to Feb 2, 2024 to Feb 18, 2025
- Discretionary RAUM · $748M to $937MFeb 2, 2024 to Feb 18, 2025
- HNW RAUM · $742M to $932MFeb 2, 2024 to Feb 18, 2025
- Individual RAUM · $6.0M to $5.1MFeb 2, 2024 to Feb 18, 2025
- Non-discretionary RAUM · $513,016 to $770,283Feb 2, 2024 to Feb 18, 2025
- RAUM · $748M to $937MFeb 2, 2024 to Feb 18, 2025
- Accounts · 321 to 410Feb 13, 2023 to Feb 2, 2024
- HNW clients · 128 to 177Feb 13, 2023 to Feb 2, 2024
- Individual clients · 18 to 21Feb 13, 2023 to Feb 2, 2024
- Assets in custody · $315,000 to $340,000Feb 13, 2023 to Feb 2, 2024
- Discretionary RAUM · $520M to $748MFeb 13, 2023 to Feb 2, 2024
- HNW RAUM · $515M to $742MFeb 13, 2023 to Feb 2, 2024
- Individual RAUM · $5.5M to $6.0MFeb 13, 2023 to Feb 2, 2024
- Non-discretionary RAUM · $411,200 to $513,016Feb 13, 2023 to Feb 2, 2024
- RAUM · $521M to $748MFeb 13, 2023 to Feb 2, 2024
- Accounts · 294 to 321Feb 18, 2022 to Feb 13, 2023
- HNW clients · 110 to 128Feb 18, 2022 to Feb 13, 2023
- Individual clients · 23 to 18Feb 18, 2022 to Feb 13, 2023
- Assets in custody · $344,800 to $315,000Feb 18, 2022 to Feb 13, 2023
- Discretionary RAUM · $647M to $520MFeb 18, 2022 to Feb 13, 2023
- HNW RAUM · $635M to $515MFeb 18, 2022 to Feb 13, 2023
- Individual RAUM · $11.6M to $5.5MFeb 18, 2022 to Feb 13, 2023
- Non-discretionary RAUM · $426,300 to $411,200Feb 18, 2022 to Feb 13, 2023
- RAUM · $647M to $521MFeb 18, 2022 to Feb 13, 2023
- Accounts · 256 to 294Mar 17, 2021 to Feb 18, 2022
- HNW clients · 87 to 110Mar 17, 2021 to Feb 18, 2022
- Individual clients · 22 to 23Mar 17, 2021 to Feb 18, 2022
Signals
5 dated events
- T••••• F••••••••• L•• reported RAUM $1.3B, up 43% from $937.5M (2025-02-18 to 2026-02-18)Feb 18, 2026 · RAUM change · derived
- T••••• F••••••••• L•• reported RAUM $937.5M, up 25% from $748.3M (2024-02-02 to 2025-02-18)Feb 18, 2025 · RAUM change · derived
- T••••• F••••••••• L•• reported RAUM $748.3M, up 44% from $520.6M (2023-02-13 to 2024-02-02)Feb 2, 2024 · RAUM change · derived
- T••••• F••••••••• L•• reported RAUM $647.1M, up 61% from $401.4M (2021-03-17 to 2022-02-18)Feb 18, 2022 · RAUM change · derived
- T••••• F••••••••• L•• reported RAUM $321.3M, up 46% from $220.4M (2019-07-02 to 2020-03-27)Mar 27, 2020 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 425-533-0797reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- T•••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 425-533-0797reportedpublic record, Form ADV, Mar 2, 2026
- Contact form
- t•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $670Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026