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

M•••••• F••••• L••

Former SEC-registered adviserEverett, WashingtonCRD 155442SEC 801-71935IAPD
Latest filing Jan 31, 2019
First filing on the tape Jan 30, 2012 · 11 filings
RAUM
$54.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$54.3M as of Jan 31, 2019
Jan 30, 2012$40.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Jan 31, 2019
Jan 30, 20120 then
Employees (5.A)6 as of Jan 31, 2019
Jan 11, 20137 then
Private funds: no history
RAUM -11% over the last fiscal year-9.0% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jan 31, 2019; every figure names its basis
RAUM per advisor
$18.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$18.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-11%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$54.3M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • E••••• B••••• K•••• · Managing Membercontrol
    since 09/2010 · owns 75% or more
  • B••••• R•••••• W••••• · Member
    since 09/2010 · owns 10% to 25%
  • H••••••••• K•••••• R•• · Chief Compliance Officer
    since 11/2010 · owns 10% to 25%
Related persons
Schedule D 7.A
Advisers that list M•••••• F••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Discretionary RAUM · $61.4M to $54.3M
    Mar 4, 2018 to Jan 31, 2019
  • RAUM · $61.4M to $54.3M
    Mar 4, 2018 to Jan 31, 2019
  • Other offices · unset to 1.0
    Jan 5, 2017 to Mar 4, 2018
  • Discretionary RAUM · $59.1M to $61.4M
    Jan 5, 2017 to Mar 4, 2018
  • RAUM · $59.1M to $61.4M
    Jan 5, 2017 to Mar 4, 2018
  • Insurance-licensed employees · 5 to 3
    Mar 24, 2016 to Jan 5, 2017
  • State-registered IARs · 5 to 3
    Mar 24, 2016 to Jan 5, 2017
  • Discretionary RAUM · $72.0M to $59.1M
    Mar 24, 2016 to Jan 5, 2017
  • RAUM · $72.0M to $59.1M
    Mar 24, 2016 to Jan 5, 2017
  • Advisory employees · 7 to 6
    Jan 20, 2015 to Jan 26, 2016
  • Employees · 7 to 6
    Jan 20, 2015 to Jan 26, 2016
  • Insurance-licensed employees · 6 to 5
    Jan 20, 2015 to Jan 26, 2016
  • State-registered IARs · 6 to 5
    Jan 20, 2015 to Jan 26, 2016
  • Discretionary RAUM · $74.2M to $72.0M
    Jan 20, 2015 to Jan 26, 2016
  • RAUM · $74.2M to $72.0M
    Jan 20, 2015 to Jan 26, 2016
  • Insurance-licensed employees · 3 to 6
    Aug 12, 2014 to Jan 20, 2015
  • State-registered IARs · 3 to 6
    Aug 12, 2014 to Jan 20, 2015
  • Discretionary RAUM · $62.5M to $74.2M
    Aug 12, 2014 to Jan 20, 2015
  • RAUM · $62.5M to $74.2M
    Aug 12, 2014 to Jan 20, 2015
  • Discretionary RAUM · $53.4M to $62.5M
    Jan 11, 2013 to Jan 8, 2014
  • RAUM · $53.4M to $62.5M
    Jan 11, 2013 to Jan 8, 2014
  • Advisory employees · unset to 7.0
    Jan 30, 2012 to Jan 11, 2013
  • Employees · unset to 7.0
    Jan 30, 2012 to Jan 11, 2013
  • Insurance-licensed employees · 4 to 3
    Jan 30, 2012 to Jan 11, 2013
  • State-registered IARs · 0 to 3
    Jan 30, 2012 to Jan 11, 2013
  • Discretionary RAUM · $40.4M to $53.4M
    Jan 30, 2012 to Jan 11, 2013
  • RAUM · $40.4M to $53.4M
    Jan 30, 2012 to Jan 11, 2013
Signals
No event on the tape.
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