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
F••• V•••••••• I••••••••• M••••••••• L••
Latest filing Feb 11, 2026
First filing on the tape Jan 5, 2018 · 12 filings
SEC status approved since Feb 1, 2018
RAUM
$237M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$236M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$59.3M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$237M as of Feb 11, 2026
Mar 30, 2019$111M then
HNW client RAUM$186M as of Feb 11, 2026
Mar 30, 2019$77.6M then
State-registered IARs (5.B.3)0 as of Feb 11, 2026
Mar 30, 20190 then
Employees (5.A)4 as of Feb 11, 2026
Mar 30, 20193 then
Private funds: no history
RAUM +28% over the last fiscal year+17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 11, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $59.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $404,649derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.5%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$186M78%
- Individuals$50.1M21%
- Pension and profit-sharing plans$1.5M0.6%
- Individual clients
- 111reported
- HNW clients
- 82reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 586reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| R••••• D•••••• P•••Certified Financial Planner | V••••••••, Wa | Nov 14, 2011 | 28 y | 1 |
| H•••• C•••• B•••••• | V••••••••, Wa | Aug 5, 2014 | 14 y | 0 |
| M•••••• E••••••Certified Financial Planner | V••••••••, Wa | May 19, 2016 | 19 y | 1 |
| A••••• M•••• S•••••••••Certified Financial Planner | V••••••••, Wa | Jul 26, 2022 | 13 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
- M•••••• E•••••• from F••••• I•••••••••May 19, 2016 · Other
- R••••• D•••••• P••• from A•••••• I••••••••• A•••••••• L••Nov 14, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••• R•••••• D•••••• · Investment Advisor/Ownercontrolsince 12/2010 · owns 50% to 75%
- B••••••• H••••• C•••• · Chief Compliance Officersince 08/2014 · owns less than 5%
- E••••••• M•••••• · Investment Advisor/Ownersince 01/2019 · owns 25% to 50%
- S••••••••• A•••••• M•••• · Advisor/Ownersince 01/2024 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| V••••••••, Wa · principal | 4 | 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
- affiliate changedChange between filings · filing Feb 11, 2026insurance affiliate (Item 7.A.10): no on the filing of 2025-09-09, yes on the filing of 2026-02-11peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 540 to 586Sep 9, 2025 to Feb 11, 2026
- HNW clients · 60 to 82Sep 9, 2025 to Feb 11, 2026
- Individual clients · 123 to 111Sep 9, 2025 to Feb 11, 2026
- Assets in custody · $37.7M to $46.7MSep 9, 2025 to Feb 11, 2026
- Discretionary RAUM · $186M to $237MSep 9, 2025 to Feb 11, 2026
- HNW RAUM · $127M to $186MSep 9, 2025 to Feb 11, 2026
- Individual RAUM · $57.6M to $50.1MSep 9, 2025 to Feb 11, 2026
- Pension RAUM · $1.2M to $1.5MSep 9, 2025 to Feb 11, 2026
- RAUM · $186M to $237MSep 9, 2025 to Feb 11, 2026
- Related insurance company · false to trueSep 9, 2025 to Feb 11, 2026
- Financial planning clients · 0 to 0Jan 31, 2025 to Sep 9, 2025
- Accounts · 516 to 540Mar 27, 2024 to Jan 31, 2025
- HNW clients · 62 to 60Mar 27, 2024 to Jan 31, 2025
- Individual clients · 114 to 123Mar 27, 2024 to Jan 31, 2025
- Pension plan clients · unset to 1.0Mar 27, 2024 to Jan 31, 2025
- Assets in custody · $37.4M to $37.7MMar 27, 2024 to Jan 31, 2025
- Discretionary RAUM · $166M to $186MMar 27, 2024 to Jan 31, 2025
- HNW RAUM · $119M to $127MMar 27, 2024 to Jan 31, 2025
- Individual RAUM · $46.6M to $57.6MMar 27, 2024 to Jan 31, 2025
- Pension RAUM · unset to 1174080.0Mar 27, 2024 to Jan 31, 2025
- RAUM · $166M to $186MMar 27, 2024 to Jan 31, 2025
- Accounts · 538 to 516Apr 3, 2023 to Mar 27, 2024
- HNW clients · 45 to 62Apr 3, 2023 to Mar 27, 2024
- Individual clients · 133 to 114Apr 3, 2023 to Mar 27, 2024
- Assets in custody · $31.1M to $37.4MApr 3, 2023 to Mar 27, 2024
- Financial planning clients · 1-10 to 0Apr 3, 2023 to Mar 27, 2024
- Organization form · Other (specify) to Limited Liability CompanyApr 3, 2023 to Mar 27, 2024
- Discretionary RAUM · $149M to $166MApr 3, 2023 to Mar 27, 2024
- HNW RAUM · $93.6M to $119MApr 3, 2023 to Mar 27, 2024
- Individual RAUM · $55.6M to $46.6MApr 3, 2023 to Mar 27, 2024
- RAUM · $149M to $166MApr 3, 2023 to Mar 27, 2024
- Accounts · 521 to 538Mar 9, 2022 to Apr 3, 2023
- Advisory employees · 3 to 4Mar 9, 2022 to Apr 3, 2023
- HNW clients · 53 to 45Mar 9, 2022 to Apr 3, 2023
- Individual clients · 113 to 133Mar 9, 2022 to Apr 3, 2023
- Assets in custody · $38.3M to $31.1MMar 9, 2022 to Apr 3, 2023
- Employees · 3 to 4Mar 9, 2022 to Apr 3, 2023
- Organization form · Limited Liability Company to Other (specify)Mar 9, 2022 to Apr 3, 2023
- Discretionary RAUM · $158M to $149MMar 9, 2022 to Apr 3, 2023
- HNW RAUM · $108M to $93.6MMar 9, 2022 to Apr 3, 2023
Signals
1 dated events
- F••• V•••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 5, 2018 · 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 360-823-0477reportedpublic record, Form ADV, Feb 11, 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
- $59.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026