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N•••• F•••• M•••••••••

Former SEC-registered adviserFormer SEC adviser· Seattle, Washington

Former SEC-registered adviser, based in Seattle, Washington, reporting $781M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$781M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+2.4%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 9 Form ADV filings for this adviser, the latest 10.6 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 160296 · SEC 801-74274 · 9 filingsShow
CRD 160296SEC 801-74274Legal name N•••• F•••• M••••••••• L••First filing on the tape Feb 15, 2012, latest Mar 28, 2016IAPD
RAUM
$781M
reported, Item 5.F
Discretionary
89%
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$781M as of Mar 28, 2016
Apr 1, 2013$654M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2016
Apr 1, 20130 then
Employees (5.A)3 as of Mar 28, 2016
Apr 1, 20133 then
Private funds: no history
RAUM +2.4% over the last fiscal year+6.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2016; 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
$97.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
89%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
+2.4%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for individuals, 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
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
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
      • F•••••• T•••••• N••••• · Chief Investment Officercontrol
        since 07/2003 · owns less than 5%
      • R•••••• J••••••• S•••• · Membercontrol
        since 02/2003 · owns 50% to 75%
      • R••••• C••••••••• F•••••••• · Chief Compliance Officercontrol
        since 01/2012 · owns less than 5%
      • C•••••• G•••• · Trusteecontrol
        since 04/2009 · owns F of Jhm N•••••••• M•••••• Trust
      • R•••••• J••••••• S•••• · Trusteecontrol
        since 04/2009 · owns F of J•• N•••••••• M•••••• T••••
      Entity owners
      • J•• N•••••••• M•••••• T•••• · Member
        direct · owns 25% to 50%
      • B•• M••••• N••• · Trustee
        indirect · owns F of J•• N•••••••• M•••••• T•••• · public reporting company
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $735M to $695M
        Sep 21, 2015 to Mar 28, 2016
      • Non-discretionary RAUM · $27.4M to $85.5M
        Sep 21, 2015 to Mar 28, 2016
      • RAUM · $763M to $781M
        Sep 21, 2015 to Mar 28, 2016
      • HQ city · KIRKLAND to SEATTLE
        Mar 24, 2015 to Sep 21, 2015
      • Discretionary RAUM · $718M to $735M
        Mar 21, 2014 to Mar 24, 2015
      • Non-discretionary RAUM · $25.0M to $27.4M
        Mar 21, 2014 to Mar 24, 2015
      • RAUM · $743M to $763M
        Mar 21, 2014 to Mar 24, 2015
      • Discretionary RAUM · $634M to $718M
        Apr 1, 2013 to Mar 21, 2014
      • Non-discretionary RAUM · $19.7M to $25.0M
        Apr 1, 2013 to Mar 21, 2014
      • RAUM · $654M to $743M
        Apr 1, 2013 to Mar 21, 2014
      • Discretionary RAUM · $614M to $634M
        Jan 11, 2013 to Apr 1, 2013
      • Non-discretionary RAUM · $16.7M to $19.7M
        Jan 11, 2013 to Apr 1, 2013
      • RAUM · $631M to $654M
        Jan 11, 2013 to Apr 1, 2013
      • Advisory employees · unset to 2.0
        May 9, 2012 to Jan 11, 2013
      • BD registered reps · unset to 0.0
        May 9, 2012 to Jan 11, 2013
      • Employees · unset to 3.0
        May 9, 2012 to Jan 11, 2013
      • State-registered IARs · unset to 0.0
        May 9, 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