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

E•••••••• P•••••• P••••••• M••••••••• C••••••• I•••

Former SEC-registered adviserSeattle, WashingtonCRD 160783SEC 801-73332IAPD
Latest filing Mar 28, 2018
First filing on the tape Feb 10, 2012 · 8 filings
RAUM
$277M
reported, Item 5.F
Discretionary
100%
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$277M gross assets
History
8 filings and snapshots on the tape
RAUM$277M as of Mar 28, 2018
Apr 1, 2013$700M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2018
Apr 1, 20130 then
Employees (5.A)4 as of Mar 28, 2018
Apr 1, 20139 then
Private funds2 as of Mar 28, 2018
Apr 1, 20132 then
RAUM -9.7% over the last fiscal year-27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2018; 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
$139MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
-9.7%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$277M, 2 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)
  • 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 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
  • Pooled investment vehicles$277M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$277M for 2 clientsreported
Compensation
% of AUM, performancereported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E•••••••• P•••••• P••••••• I•• L•••Private Equity Fund$61.9M45Feb 10, 2012
      E•••••••• P•••••• P•••••••• L•••Private Equity Fund$30.0M54Feb 10, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• T••••••• D••••• · Co-Presidentcontrol
        since 02/2004 · owns 25% to 50%
      • B••••••• T••••••• J•• · Chief Compliance Officer And Chief Financial Officercontrol
        since 03/2012 · owns less than 5%
      • M•••••• T•••••• J•••• · Co-Presidentcontrol
        since 02/2004 · owns 25% to 50%
      • N•••••••• M••••••• A•••••• · Secretary And Vice Presidentcontrol
        since 02/2004 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • E•••••••• P•••••• P••••••• G•• L••
        pooled vehicle sponsorn
      • E•••••••• P•••••• P••••••• I• G•• L•••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 8 to 4
        Mar 29, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 29, 2017 to Mar 28, 2018
      • Assets in custody · $307M to $277M
        Mar 29, 2017 to Mar 28, 2018
      • Employees · 8 to 4
        Mar 29, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 29, 2017 to Mar 28, 2018
      • Discretionary RAUM · $307M to $277M
        Mar 29, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 277203654.0
        Mar 29, 2017 to Mar 28, 2018
      • RAUM · $307M to $277M
        Mar 29, 2017 to Mar 28, 2018
      • Assets in custody · $700M to $307M
        Apr 21, 2016 to Mar 29, 2017
      • Discretionary RAUM · $700M to $307M
        Apr 21, 2016 to Mar 29, 2017
      • RAUM · $700M to $307M
        Apr 21, 2016 to Mar 29, 2017
      • Advisory employees · 10 to 8
        Mar 30, 2015 to Mar 30, 2016
      • Employees · 10 to 8
        Mar 30, 2015 to Mar 30, 2016
      • Advisory employees · 9 to 10
        Apr 1, 2013 to Mar 28, 2014
      • Employees · 9 to 10
        Apr 1, 2013 to Mar 28, 2014
      • Advisory employees · unset to 9.0
        Feb 10, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Feb 10, 2012 to Apr 1, 2013
      • Employees · unset to 9.0
        Feb 10, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Feb 10, 2012 to Apr 1, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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