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.

Former SEC-registered adviser

Columbia Pacific Wealth Management

Former SEC-registered adviserSeattle, WashingtonCRD 156225SEC 801-72122IAPD
Legal name Cpwm, LLC
Latest filing Mar 31, 2023
First filing on the tape Mar 30, 2012 · 35 filings
RAUM
$6.7B
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
88%
$5.9B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
44
30 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
4
$539M gross assets
History
35 filings and snapshots on the tape
RAUM$6.7B as of Mar 31, 2023
Mar 30, 2012$446M then
HNW client RAUM$4.7B as of Mar 31, 2023
Mar 29, 2018$2.8B then
State-registered IARs (5.B.3)30 as of Mar 31, 2023
Mar 30, 20120 then
Employees (5.A)44 as of Mar 31, 2023
Apr 2, 20135 then
Private funds4 as of Mar 31, 2023
Mar 30, 20121 then
RAUM +10% over the last fiscal year+14% a year over threeIARs 30 to 30
Practice profile
derived from the filing of Mar 31, 2023; every figure names its basis
RAUM per advisor
$223MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
30derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$19.8MderivedHNW RAUM over HNW clients
Average account
$1.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
80%derivedof RAUM
Institutional
3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
10.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+10%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-17%derived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
Financial planning clients
1,000reportedItem 5.H
Custody
$4.8B, 903 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)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$4.7B70%
  • Individuals$1.2B17%
  • Pooled investment vehicles$535M8.0%
  • Charitable organizations$147M2.2%
  • Corporations and businesses$78.9M1.2%
  • Pension and profit-sharing plans$53.4M0.8%
Individual clients
674reported
HNW clients
238reported
Pension plan clients
9reported
Charitable clients
9reported
Accounts
6,489reported
Financial planning clients
1,000reported
Wrap fee programs
noreported
Custody of client assets
$4.8B for 903 clientsreported
Compensation
% of AUM, fixedreported
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
    • Ashton Derek Crump · President, Chief Investment Officer, Chief Operating Officercontrol
      since 05/2015 · owns less than 5%
    • Triston Larry Nakamura · Chief Compliance Officercontrol
      since 01/2023 · owns less than 5%
    • Wood Alan Spragins · General Counselcontrol
      since 08/2012 · owns less than 5%
    Entity owners
    • Ci Private Wealth, LLC · Owner
      direct · owns 75% or more
    • Ci Financial Corp · Owner
      indirect · owns 75% or more of Ci US Holdings Inc · public reporting company
    • Ci US Holdings Inc · Owner
      indirect · owns 75% or more of Cipw Holdings, LLC
    • Ci US, LLC · Owner
      indirect · owns 75% or more of Cipw Holdings, LLC
    • Cipw Holdings, LLC · Owner
      indirect · owns 75% or more of Ci Private Wealth, LLC
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • San Francisco, CA4 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 4,850 to 6,489
      Mar 1, 2023 to Mar 31, 2023
    • Advisory employees · 27 to 30
      Mar 1, 2023 to Mar 31, 2023
    • Charity clients · 14 to 9
      Mar 1, 2023 to Mar 31, 2023
    • Corporate clients · 10 to 8
      Mar 1, 2023 to Mar 31, 2023
    • HNW clients · 561 to 238
      Mar 1, 2023 to Mar 31, 2023
    • Individual clients · 541 to 674
      Mar 1, 2023 to Mar 31, 2023
    • Pension plan clients · 10 to 9
      Mar 1, 2023 to Mar 31, 2023
    • Assets in custody · $4.8B to $4.8B
      Mar 1, 2023 to Mar 31, 2023
    • Employees · 39 to 44
      Mar 1, 2023 to Mar 31, 2023
    • Discretionary RAUM · $3.8B to $5.3B
      Mar 1, 2023 to Mar 31, 2023
    • HNW RAUM · $5.1B to $4.7B
      Mar 1, 2023 to Mar 31, 2023
    • Individual RAUM · $172M to $1.2B
      Mar 1, 2023 to Mar 31, 2023
    • Non-discretionary RAUM · $2.3B to $1.3B
      Mar 1, 2023 to Mar 31, 2023
    • Pension RAUM · $16.6M to $53.4M
      Mar 1, 2023 to Mar 31, 2023
    • Pooled vehicle RAUM · $572M to $535M
      Mar 1, 2023 to Mar 31, 2023
    • RAUM · $6.1B to $6.7B
      Mar 1, 2023 to Mar 31, 2023
    • Accounts · 851 to 4,850
      Mar 11, 2022 to Mar 30, 2022
    • Advisory employees · 25 to 27
      Mar 11, 2022 to Mar 30, 2022
    • Charity clients · 13 to 14
      Mar 11, 2022 to Mar 30, 2022
    • Corporate clients · 5 to 10
      Mar 11, 2022 to Mar 30, 2022
    • HNW clients · 583 to 561
      Mar 11, 2022 to Mar 30, 2022
    • Individual clients · 237 to 541
      Mar 11, 2022 to Mar 30, 2022
    • Pooled vehicle clients · 3 to 4
      Mar 11, 2022 to Mar 30, 2022
    • Assets in custody · $3.8B to $4.8B
      Mar 11, 2022 to Mar 30, 2022
    • Employees · 40 to 39
      Mar 11, 2022 to Mar 30, 2022
    • State-registered IARs · 25 to 30
      Mar 11, 2022 to Mar 30, 2022
    • Private funds · 3 to 4
      Mar 11, 2022 to Mar 30, 2022
    • Discretionary RAUM · $3.0B to $3.8B
      Mar 11, 2022 to Mar 30, 2022
    • HNW RAUM · $4.2B to $5.1B
      Mar 11, 2022 to Mar 30, 2022
    • Individual RAUM · $159M to $172M
      Mar 11, 2022 to Mar 30, 2022
    • Non-discretionary RAUM · $2.1B to $2.3B
      Mar 11, 2022 to Mar 30, 2022
    • Pension RAUM · $149M to $16.6M
      Mar 11, 2022 to Mar 30, 2022
    • Pooled vehicle RAUM · $365M to $572M
      Mar 11, 2022 to Mar 30, 2022
    • RAUM · $5.1B to $6.1B
      Mar 11, 2022 to Mar 30, 2022
    • Succession · true to false
      Jan 25, 2022 to Mar 11, 2022
    • BD registered reps · 1 to 0
      Nov 2, 2021 to Jan 25, 2022
    • Employees · 36 to 40
      Nov 2, 2021 to Jan 25, 2022
    • Succession · false to true
      Nov 2, 2021 to Jan 25, 2022
    • Accounts · 822 to 851
      Feb 23, 2021 to Mar 31, 2021
    • Advisory employees · 24 to 25
      Feb 23, 2021 to Mar 31, 2021
    Signals
    14 dated events
    • James Mathew Frits left Columbia Pacific Wealth Management for Usi Advisors (registered 2017-04-27)
      Aug 31, 2023 · Advisor changed firm · fact
    • Kory Christiaan Lackey left Columbia Pacific Wealth Management for Corient (registered 2023-02-20)
      Jul 7, 2023 · Advisor changed firm · fact
    • Rodney Allen Bench left Columbia Pacific Wealth Management for M Holdings Securities, Inc. (registered 2017-04-10)
      Feb 6, 2023 · Advisor changed firm · fact
    • Triston Larry Nakamura (Chief Compliance Officer) appeared on Schedule A of Columbia Pacific Wealth Management
      Jan 31, 2023 · Control person joined · fact
    • Alexander David Morrow left Columbia Pacific Wealth Management for Faire Capital Group (registered 2022-12-21)
      Aug 15, 2022 · Advisor changed firm · fact
    • Petra Ljubic-Lane left Columbia Pacific Wealth Management for Beacon Pointe Advisors, Llc (registered 2022-07-29)
      Jun 8, 2022 · Advisor changed firm · fact
    • Ha Nguyen left Columbia Pacific Wealth Management for Moser Wealth Advisors (registered 2022-06-15)
      Mar 23, 2022 · Advisor changed firm · fact
    • Columbia Pacific Wealth Management reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Jan 25, 2022 · Succession (Item 4) · fact
    • Bryant Alexander Washburn (Manager/Member) no longer on Schedule A of Columbia Pacific Wealth Management (listed 2021-11-02, absent 2022-01-25)
      Jan 25, 2022 · Control person left · inference
    • Ray Daniel Baty (Member) no longer on Schedule A of Columbia Pacific Wealth Management (listed 2021-11-02, absent 2022-01-25)
      Jan 25, 2022 · Control person left · inference
    • Andrew Peder Schmitz (Manager/Member) no longer on Schedule A of Columbia Pacific Wealth Management (listed 2021-11-02, absent 2022-01-25)
      Jan 25, 2022 · Control person left · inference
    • Logan Stanley Baty (Managing Member) no longer on Schedule A of Columbia Pacific Wealth Management (listed 2021-11-02, absent 2022-01-25)
      Jan 25, 2022 · Control person left · inference
    • Scott Ward Tyler Gaspard (Member) no longer on Schedule A of Columbia Pacific Wealth Management (listed 2018-07-05, absent 2019-03-29)
      Mar 29, 2019 · Control person left · inference
    • Timothy Brandon Mckerney (Member/ Director Of Operations) no longer on Schedule A of Columbia Pacific Wealth Management (listed 2018-07-05, absent 2019-03-29)
      Mar 29, 2019 · Control person left · inference
    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