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

T•• C•••••• W••••• A•••••••• L••

Former SEC-registered adviserSpokane, WashingtonCRD 159802SEC 801-73030IAPD
Latest filing Mar 14, 2023
First filing on the tape Jan 5, 2012 · 43 filings
RAUM
$913M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
90%
$824M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$913M as of Mar 14, 2023
Feb 27, 2013$130M then
HNW client RAUM$632M as of Mar 14, 2023
Mar 15, 2018$175M then
State-registered IARs (5.B.3)10 as of Mar 14, 2023
Feb 27, 20138 then
Employees (5.A)14 as of Mar 14, 2023
Feb 27, 201312 then
Private funds: no history
RAUM +23% over the last fiscal year+26% a year over threeIARs 10 to 10
Practice profile
derived from the filing of Mar 14, 2023; every figure names its basis
RAUM per advisor
$91.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
92derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$388,374derivedRAUM over accounts (5.F.2.f)
Discretionary
90%derivedof RAUM
Institutional
9.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
10.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+23%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+12%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$344M, 392 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.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$632M69%
  • Individuals$192M21%
  • Pension and profit-sharing plans$88.8M9.7%
Individual clients
707reported
HNW clients
209reported
Pension plan clients
43reported
Charitable clients
n/areported
Accounts
2,351reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$344M for 392 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
  • M••••••••• T••••••• M••• · Managing Member, Chief Executive Officer, Chief Compliance Officer & Chief Investment Officercontrol
    since 06/2013 · owns 75% or more
  • T•••• J••••• C•••••••• · Member And Vice Presidentcontrol
    since 02/2015 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Spokane, Wa · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 1,849 to 2,351
    Oct 24, 2022 to Mar 14, 2023
  • HNW clients · 190 to 209
    Oct 24, 2022 to Mar 14, 2023
  • Individual clients · 627 to 707
    Oct 24, 2022 to Mar 14, 2023
  • Pension plan clients · 40 to 43
    Oct 24, 2022 to Mar 14, 2023
  • Assets in custody · $283M to $344M
    Oct 24, 2022 to Mar 14, 2023
  • Discretionary RAUM · $701M to $824M
    Oct 24, 2022 to Mar 14, 2023
  • HNW RAUM · $522M to $632M
    Oct 24, 2022 to Mar 14, 2023
  • Individual RAUM · $179M to $192M
    Oct 24, 2022 to Mar 14, 2023
  • Non-discretionary RAUM · $43.9M to $88.8M
    Oct 24, 2022 to Mar 14, 2023
  • Pension RAUM · $43.9M to $88.8M
    Oct 24, 2022 to Mar 14, 2023
  • RAUM · $745M to $913M
    Oct 24, 2022 to Mar 14, 2023
  • Accounts · 2,249 to 1,849
    May 19, 2021 to Mar 14, 2022
  • HNW clients · 211 to 190
    May 19, 2021 to Mar 14, 2022
  • Individual clients · 783 to 627
    May 19, 2021 to Mar 14, 2022
  • Pension plan clients · 24 to 40
    May 19, 2021 to Mar 14, 2022
  • Assets in custody · $316M to $283M
    May 19, 2021 to Mar 14, 2022
  • Discretionary RAUM · $763M to $701M
    May 19, 2021 to Mar 14, 2022
  • HNW RAUM · $533M to $522M
    May 19, 2021 to Mar 14, 2022
  • Individual RAUM · $230M to $179M
    May 19, 2021 to Mar 14, 2022
  • Non-discretionary RAUM · $35.2M to $43.9M
    May 19, 2021 to Mar 14, 2022
  • Pension RAUM · $35.2M to $43.9M
    May 19, 2021 to Mar 14, 2022
  • RAUM · $798M to $745M
    May 19, 2021 to Mar 14, 2022
  • Accounts · 1,528 to 2,249
    Nov 24, 2020 to Mar 25, 2021
  • HNW clients · 116 to 211
    Nov 24, 2020 to Mar 25, 2021
  • Individual clients · 595 to 783
    Nov 24, 2020 to Mar 25, 2021
  • Pension plan clients · 23 to 24
    Nov 24, 2020 to Mar 25, 2021
  • Assets in custody · $174M to $316M
    Nov 24, 2020 to Mar 25, 2021
  • Discretionary RAUM · $424M to $763M
    Nov 24, 2020 to Mar 25, 2021
  • HNW RAUM · $276M to $533M
    Nov 24, 2020 to Mar 25, 2021
  • Individual RAUM · $148M to $230M
    Nov 24, 2020 to Mar 25, 2021
  • Non-discretionary RAUM · $28.5M to $35.2M
    Nov 24, 2020 to Mar 25, 2021
  • Pension RAUM · $28.5M to $35.2M
    Nov 24, 2020 to Mar 25, 2021
  • RAUM · $452M to $798M
    Nov 24, 2020 to Mar 25, 2021
  • Accounts · 1,447 to 1,528
    May 16, 2019 to Mar 30, 2020
  • Advisory employees · 11 to 10
    May 16, 2019 to Mar 30, 2020
  • HNW clients · 64 to 116
    May 16, 2019 to Mar 30, 2020
  • Individual clients · 1,101 to 595
    May 16, 2019 to Mar 30, 2020
  • Pension plan clients · 15 to 23
    May 16, 2019 to Mar 30, 2020
  • Assets in custody · $262M to $174M
    May 16, 2019 to Mar 30, 2020
  • Employees · 13 to 14
    May 16, 2019 to Mar 30, 2020
Signals
13 dated events
  • J•••• C•••••••• T••• left T•• C•••••• W••••• A•••••••• L•• for H•••••••• A•••••••• L•• (registered 2023-06-23)
    Nov 29, 2023 · Advisor changed firm · fact
  • J•• W••••• H••••••• left T•• C•••••• W••••• A•••••••• L•• for H•••••••• A•••••••• L•• (registered 2023-06-23)
    Nov 29, 2023 · Advisor changed firm · fact
  • R••• F••••• left T•• C•••••• W••••• A•••••••• L•• for H•••••••• A•••••••• L•• (registered 2023-06-23)
    Nov 29, 2023 · Advisor changed firm · fact
  • R••••• C•••• B•••••• left T•• C•••••• W••••• A•••••••• L•• for H•••••••• A•••••••• L•• (registered 2023-07-23)
    Nov 29, 2023 · Advisor changed firm · fact
  • M•• B•••••• left T•• C•••••• W••••• A•••••••• L•• for H•••••••• A•••••••• L•• (registered 2023-06-23)
    Nov 29, 2023 · Advisor changed firm · fact
  • T•••••• M••• M•••••••• left T•• C•••••• W••••• A•••••••• L•• for H•••••••• A•••••••• L•• (registered 2023-06-23)
    Nov 29, 2023 · Advisor changed firm · fact
  • D•••• G••••• left T•• C•••••• W••••• A•••••••• L•• for H•••••••• A•••••••• L•• (registered 2023-06-23)
    Nov 29, 2023 · Advisor changed firm · fact
  • B••••••• K••••• left T•• C•••••• W••••• A•••••••• L•• for H•••••••• A•••••••• L•• (registered 2023-06-23)
    Nov 29, 2023 · Advisor changed firm · fact
  • T•• C•••••• W••••• A•••••••• L••'s advisors moved to H•••••••• A•••••••• L•• (Spokane, WA): 8 of 8 registered, on the same day
    Nov 29, 2023 · Firm absorbed (people side) · derived
  • S••• N••• S•••••• left T•• C•••••• W••••• A•••••••• L•• for E•••••••• C•••••• M••••••••• L•• (registered 2022-12-12)
    Nov 21, 2022 · Advisor changed firm · fact
  • J•••• L•••• D•••••• left T•• C•••••• W••••• A•••••••• L•• for L•• F•••••••• L•• (registered 2022-09-14)
    Feb 16, 2022 · Advisor changed firm · fact
  • T•• C•••••• W••••• A•••••••• L•• reported RAUM $798.0M, up 76% from $452.3M (2020-11-24 to 2021-03-25)
    Mar 25, 2021 · RAUM change · derived
  • T•• C•••••• W••••• A•••••••• L•• reported RAUM $452.3M, up 32% from $343.7M (2019-05-16 to 2020-03-30)
    Mar 30, 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.
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