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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SEC-registered adviser
O••• A•••••••
Legal name O••• A•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape May 21, 2025 · 3 filings
SEC status approved since May 12, 2025
RAUM
$174M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
94%
$163M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$34.8M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$174M as of Mar 27, 2026
May 21, 2025$122M then
HNW client RAUM$127M as of Mar 27, 2026
May 21, 2025$56.7M then
State-registered IARs (5.B.3)5 as of Mar 27, 2026
May 21, 20253 then
Employees (5.A)6 as of Mar 27, 2026
May 21, 20254 then
Private funds1 as of Mar 27, 2026
May 21, 20251 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $34.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $456,767derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 4.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, publicationsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$127M73%
- Individuals$35.6M20%
- Pension and profit-sharing plans$8.3M4.8%
- Pooled investment vehicles$2.7M1.5%
- Individual clients
- 124reported
- HNW clients
- 60reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 381reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.94 fund_share=0.02 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• P••• H•• | Bellevue, Wa | Aug 13, 2012 | 19 y | 1 |
| B•• G•• L• | Bellevue, Wa | Nov 1, 2021 | 10 y | 0 |
| S•••••• N•••••••• K•••Certified Financial Planner | Bellevue, Wa | Oct 18, 2024 | 15 y | 1 |
| J••••• K••• M••• Y•••• | Bellevue, Wa | Jul 13, 2025 | 11 y | 0 |
| C•••••••• J••• H•• | Bellevue, Wa | Aug 11, 2025 | 10 y | 0 |
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 headcount0 left over 36 months
Left, latest
- K••••••• K• K•••• to K•••• C••••••Mar 19, 2021 · RIA to a state-registered adviser
Joined, latest
- S•••••• N•••••••• K••• from R••••••••• W••••• C••••••• L••Oct 18, 2024 · Other
- K••••••• K• K•••• from V••• F•••••••• A•••••••• I•••Feb 1, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••• J••••• P••• · Principalcontrolsince 04/2012 · owns 50% to 75%
- L•• B••• G•• · Chief Compliance Officer, Director Of Operatoinscontrolsince 01/2022 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bellevue, Wa · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 27, 2026pension consulting (Item 5.G.6): yes on the filing of 2026-01-07, no on the filing of 2026-03-27peers: independent wealth managers, $100M to $500M (5,678)
- business activity changedChange between filings · filing Mar 27, 2026selection of other advisers (Item 5.G.7): no on the filing of 2026-01-07, yes on the filing of 2026-03-27peers: independent wealth managers, $100M to $500M (5,678)
- business activity changedChange between filings · filing Mar 27, 2026financial planning (Item 5.G.1): no on the filing of 2026-01-07, yes on the filing of 2026-03-27peers: independent wealth managers, $100M to $500M (5,678)
- custody status changedChange between filings · filing Mar 27, 2026custody of client assets (Item 9.A): yes on the filing of 2026-01-07, no on the filing of 2026-03-27peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 344 to 381Jan 7, 2026 to Mar 27, 2026
- Advisory employees · 3 to 5Jan 7, 2026 to Mar 27, 2026
- Advisory activities · 3 to 5Jan 7, 2026 to Mar 27, 2026
- Charity clients · 0.0 to unsetJan 7, 2026 to Mar 27, 2026
- Corporate clients · 6.0 to unsetJan 7, 2026 to Mar 27, 2026
- HNW clients · 59 to 60Jan 7, 2026 to Mar 27, 2026
- Individual clients · 162 to 124Jan 7, 2026 to Mar 27, 2026
- Assets in custody · 1112126.0 to unsetJan 7, 2026 to Mar 27, 2026
- Custody of client assets · true to falseJan 7, 2026 to Mar 27, 2026
- Employees · 4 to 6Jan 7, 2026 to Mar 27, 2026
- Financial planning clients · to 1-10Jan 7, 2026 to Mar 27, 2026
- State-registered IARs · 3 to 5Jan 7, 2026 to Mar 27, 2026
- Discretionary RAUM · $115M to $166MJan 7, 2026 to Mar 27, 2026
- HNW RAUM · $56.7M to $127MJan 7, 2026 to Mar 27, 2026
- Individual RAUM · $52.0M to $35.6MJan 7, 2026 to Mar 27, 2026
- Non-discretionary RAUM · $6.1M to $8.3MJan 7, 2026 to Mar 27, 2026
- Pension RAUM · $6.1M to $8.3MJan 7, 2026 to Mar 27, 2026
- Pooled vehicle RAUM · $1.1M to $2.7MJan 7, 2026 to Mar 27, 2026
- RAUM · $122M to $174MJan 7, 2026 to Mar 27, 2026
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
- Business email
- i•••@o•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 425-835-3276reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- o•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 425-835-3276reportedpublic record, Form ADV, Mar 27, 2026
- Team page
- o•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $34.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026