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
N••••••• C•••••• R••••••••• S•••••••• I•••
Latest filing Mar 10, 2026
First filing on the tape Mar 22, 2013 · 26 filings
SEC status approved since Apr 2, 2013
RAUM
$304M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$30.4M
derived; firm RAUM over IAPD count
Employees
11
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$304M as of Mar 10, 2026
Mar 28, 2014$17.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)10 as of Mar 10, 2026
Mar 28, 20140 then
Employees (5.A)11 as of Mar 10, 2026
Mar 28, 20149 then
Private funds: no history
RAUM +16% over the last fiscal year+14% a year over threeIARs 10 to 10
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- retirement p••• adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $30.4MderivedRAUM 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
- $14.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 5.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, pension consulting, publications, educational seminars, otherreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$304M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 21reported
- Charitable clients
- n/areported
- Accounts
- 21reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 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
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 headcount1 left over 36 months
Left, latest
- L••• A•••••••• P•••••• G••••• to N••••••• C•••••• M••••••••• I•••Feb 24, 2025 · Other
- R•••••• P•••• C••••• to N••••••• C•••••• M••••••••• I•••Aug 8, 2017 · Other
Joined, latest
- R•••••• P•••• C••••• from L•• F•••••••• L••Aug 6, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- I••••••• J•••••••• L••• · Chief Operations Officercontrolsince 08/2020 · owns less than 5%
- W•••••• M•••••••• L••• · Chief Compliance Officercontrolsince 07/2020 · owns 10% to 25%
- W•••••• J••••• K••• · Managing Partner/President/Cfocontrolsince 01/2012 · owns 75% or more
Related persons
Schedule D 7.A
- N••••••• C•••••• M••••••••• I•••investment adviseryRAUM $527M
Advisers that list N••••••• C•••••• R••••••••• S•••••••• I••• as a related person
- 111379 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Spokane, Wa · principal | 10 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Post Falls, ID1 employees
What changed
consecutive filings, newest first
- Accounts · 22 to 21Jul 24, 2025 to Mar 10, 2026
- Pension plan clients · 22 to 21Jul 24, 2025 to Mar 10, 2026
- Discretionary RAUM · $263M to $304MJul 24, 2025 to Mar 10, 2026
- Pension RAUM · $263M to $304MJul 24, 2025 to Mar 10, 2026
- RAUM · $263M to $304MJul 24, 2025 to Mar 10, 2026
- Financial planning clients · 1-10 to 1-10Mar 24, 2025 to Jul 24, 2025
- Accounts · 23 to 22Dec 4, 2024 to Mar 24, 2025
- Pension plan clients · 23 to 22Dec 4, 2024 to Mar 24, 2025
- Discretionary RAUM · $232M to $263MDec 4, 2024 to Mar 24, 2025
- Pension RAUM · $232M to $263MDec 4, 2024 to Mar 24, 2025
- RAUM · $232M to $263MDec 4, 2024 to Mar 24, 2025
- Accounts · 21 to 23Apr 7, 2023 to Mar 20, 2024
- Pension plan clients · 21 to 23Apr 7, 2023 to Mar 20, 2024
- State-registered IARs · 0 to 10Apr 7, 2023 to Mar 20, 2024
- Discretionary RAUM · $203M to $232MApr 7, 2023 to Mar 20, 2024
- Pension RAUM · $203M to $232MApr 7, 2023 to Mar 20, 2024
- RAUM · $203M to $232MApr 7, 2023 to Mar 20, 2024
- Accounts · 22 to 21Mar 25, 2022 to Jan 5, 2023
- Advisory employees · 7 to 8Mar 25, 2022 to Jan 5, 2023
- Pension plan clients · 22 to 21Mar 25, 2022 to Jan 5, 2023
- Employees · 10 to 11Mar 25, 2022 to Jan 5, 2023
- Discretionary RAUM · $248M to $203MMar 25, 2022 to Jan 5, 2023
- Pension RAUM · $248M to $203MMar 25, 2022 to Jan 5, 2023
- RAUM · $248M to $203MMar 25, 2022 to Jan 5, 2023
- Accounts · 25 to 22Oct 22, 2021 to Mar 25, 2022
- Advisory employees · 6 to 7Oct 22, 2021 to Mar 25, 2022
- Advisory activities · 4 to 5Oct 22, 2021 to Mar 25, 2022
- Pension plan clients · 25 to 22Oct 22, 2021 to Mar 25, 2022
- Employees · 9 to 10Oct 22, 2021 to Mar 25, 2022
- Financial planning clients · 11-25 to 1-10Oct 22, 2021 to Mar 25, 2022
- Discretionary RAUM · $222M to $248MOct 22, 2021 to Mar 25, 2022
- Pension RAUM · $222M to $248MOct 22, 2021 to Mar 25, 2022
- RAUM · $222M to $248MOct 22, 2021 to Mar 25, 2022
- Other offices · 0 to 1Mar 25, 2021 to Oct 22, 2021
- Employees · 8 to 9Aug 18, 2020 to Mar 25, 2021
- Discretionary RAUM · $201M to $222MAug 18, 2020 to Mar 25, 2021
- Pension RAUM · $201M to $222MAug 18, 2020 to Mar 25, 2021
- RAUM · $201M to $222MAug 18, 2020 to Mar 25, 2021
- Employees · 9 to 8Jun 30, 2020 to Jul 21, 2020
- Accounts · 26 to 25Apr 17, 2019 to Jan 23, 2020
Signals
4 dated events
- L••• A•••••••• P•••••• G••••• left N••••••• C•••••• R••••••••• S•••••••• I••• for M•••• F•••••••• A••••••• (registered 2025-05-14)Feb 24, 2025 · Advisor changed firm · fact
- N••••••• C•••••• R••••••••• S•••••••• I••• reported 10 state-registered advisory representatives, up from 0 (2023-04-07 to 2024-03-20)Mar 20, 2024 · Advisor headcount change · derived
- L••• Jennifer Isotalo (Chief Operations Officer) appeared on Schedule A of N••••••• C•••••• R••••••••• S•••••••• I•••Aug 18, 2020 · Control person joined · fact
- C•••••• R••••••••• P••• S•••••••• I••• filed its initial SEC registration (Form ADV)Mar 22, 2013 · 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
- 509-456-2526reportedpublic record, Form ADV, Mar 10, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $30.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026