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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

SEC-registered adviser

H••••••• P•••••• C•••••• C••••

Other adviserBellevue, WashingtonCRD 157778SEC 801-73240IAPD
Latest filing Jan 30, 2026
First filing on the tape Feb 9, 2012 · 19 filings
SEC status approved since Feb 23, 2012
RAUM
$333M
reported, Item 5.F
Discretionary
0.0%
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$333M as of Jan 30, 2026
Mar 27, 2013$182M then
HNW client RAUM$0 as of Jan 30, 2026
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Jan 30, 2026
Mar 27, 20130 then
Employees (5.A)1 as of Jan 30, 2026
Mar 27, 20131 then
Private funds: no history
RAUM +13% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 30, 2026; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$333MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$333M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L••• G•••• S•••••• · Chief Compliance Officercontrol
        since 02/2012 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • low discretionary shareStatic outlier · filing Jan 30, 2026
        discretionary share of RAUM of 0% against a peer median of 100% (212 comparable advisers, 0.0th percentile, 33.7 robust deviations)
        peers: other advisers, $100M to $500M (212) · 0.0% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Non-discretionary RAUM · $296M to $333M
        Feb 11, 2025 to Jan 30, 2026
      • RAUM · $296M to $333M
        Feb 11, 2025 to Jan 30, 2026
      • Financial planning clients · unset to
        Mar 20, 2024 to Feb 11, 2025
      • Non-discretionary RAUM · $275M to $296M
        Mar 20, 2024 to Feb 11, 2025
      • RAUM · $275M to $296M
        Mar 20, 2024 to Feb 11, 2025
      • Non-discretionary RAUM · $244M to $275M
        Feb 24, 2023 to Mar 20, 2024
      • RAUM · $244M to $275M
        Feb 24, 2023 to Mar 20, 2024
      • Non-discretionary RAUM · $300M to $244M
        Jan 26, 2022 to Feb 24, 2023
      • RAUM · $300M to $244M
        Jan 26, 2022 to Feb 24, 2023
      • Non-discretionary RAUM · $284M to $300M
        Feb 18, 2021 to Jan 26, 2022
      • RAUM · $284M to $300M
        Feb 18, 2021 to Jan 26, 2022
      • Non-discretionary RAUM · $308M to $284M
        Sep 2, 2020 to Feb 18, 2021
      • RAUM · $308M to $284M
        Sep 2, 2020 to Feb 18, 2021
      • HQ city · SEATTLE to BELLEVUE
        Mar 4, 2020 to Sep 2, 2020
      • Non-discretionary RAUM · $258M to $308M
        Mar 19, 2019 to Mar 4, 2020
      • RAUM · $258M to $308M
        Mar 19, 2019 to Mar 4, 2020
      • Non-discretionary RAUM · $289M to $258M
        Mar 28, 2018 to Mar 19, 2019
      • RAUM · $289M to $258M
        Mar 28, 2018 to Mar 19, 2019
      • Charity clients · unset to 0.0
        Mar 13, 2017 to Mar 28, 2018
      • Corporate clients · unset to 1.0
        Mar 13, 2017 to Mar 28, 2018
      • HNW clients · unset to 0.0
        Mar 13, 2017 to Mar 28, 2018
      • Individual clients · unset to 0.0
        Mar 13, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 0.0
        Mar 13, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 13, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 13, 2017 to Mar 28, 2018
      • HNW RAUM · unset to 0.0
        Mar 13, 2017 to Mar 28, 2018
      • Individual RAUM · unset to 0.0
        Mar 13, 2017 to Mar 28, 2018
      • Non-discretionary RAUM · $244M to $289M
        Mar 13, 2017 to Mar 28, 2018
      • Pension RAUM · unset to 0.0
        Mar 13, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 13, 2017 to Mar 28, 2018
      • RAUM · $244M to $289M
        Mar 13, 2017 to Mar 28, 2018
      • Non-discretionary RAUM · $228M to $244M
        Mar 21, 2016 to Mar 13, 2017
      • RAUM · $228M to $244M
        Mar 21, 2016 to Mar 13, 2017
      • Non-discretionary RAUM · $229M to $228M
        Jun 25, 2015 to Mar 21, 2016
      • RAUM · $229M to $228M
        Jun 25, 2015 to Mar 21, 2016
      • Non-discretionary RAUM · $217M to $229M
        Mar 25, 2014 to Mar 27, 2015
      • RAUM · $217M to $229M
        Mar 25, 2014 to Mar 27, 2015
      • Non-discretionary RAUM · $182M to $217M
        Aug 22, 2013 to Mar 25, 2014
      • RAUM · $182M to $217M
        Aug 22, 2013 to Mar 25, 2014
      • Advisory employees · unset to 1.0
        Feb 9, 2012 to Mar 27, 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.
      How to reach
      public business contact points only, each with its source
      Principal office phone
      206-340-2800reportedpublic record, Form ADV, Jan 30, 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
      Other 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