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.
SEC-registered adviser
Blue Water Wealth
Legal name Blue Water Wealth, Inc.
Latest filing Sep 3, 2026
First filing on the tape Jul 13, 2012 · 30 filings
SEC status approved since Apr 6, 2018
RAUM
$473M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$472M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$47.3M
derived; firm RAUM over IAPD count
Employees
15
12 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$473M as of Jul 1, 2026
Mar 27, 2019$155M then
HNW client RAUM$404M as of Jul 1, 2026
Mar 27, 2019$60.0M then
State-registered IARs (5.B.3)12 as of Jul 1, 2026
Mar 27, 20194 then
Employees (5.A)15 as of Jul 1, 2026
Mar 27, 20197 then
Private funds: no history
RAUM +23% over the last fiscal year+27% a year over threeIARs 11 to 12offices 1 to 2
Practice profile
derived from the filing of Sep 3, 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
- RAUM per advisor
- $47.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $392,042derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 3.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +9.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$404M86%
- Individuals$67.6M14%
- Corporations and businesses$876,7350.2%
- Individual clients
- 185reported
- HNW clients
- 218reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,206reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Nancy Lynn CongdonCertified Financial Planner | Reno, Nv | Aug 7, 2012 | 33 y | 1 |
| Merlin Arbor | Portland, Or | Jun 4, 2019 | 11 y | 0 |
| Jadyn Custis Kerns-Funk | Portland, Or | Sep 18, 2020 | 11 y | 0 |
| Cherish Annhee SutullCertified Financial Planner, Chartered Financial Analyst | Seattle, Wa | Jun 16, 2021 | 28 y | 3 |
| David Michael Ream | Portland, Or | Apr 23, 2022 | 27 y | 0 |
| Martin Daniel Link | Portland, Or | Jun 17, 2022 | 17 y | 0 |
| Kristen Alana Rajotte | Portland, Or | Sep 17, 2022 | 15 y | 0 |
| Kristine Jean Stawinski | Portland, Or | Jun 28, 2023 | 22 y | 5 |
| Jordan Seth Ney | Portland, Or | Dec 17, 2024 | 12 y | 0 |
| Jada Christine Fouch | Portland, Or | Oct 29, 2025 | 11 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 headcount2 left over 36 months
Left, latest
- Ayden Justin Al-Shimary to Apella WealthDec 31, 2024 · RIA to RIA
- Pierson Bennett Zahn to Coldstream Wealth ManagementNov 26, 2024 · RIA to RIA
- Melissa Louise Leonard to Cairn Financial PlanningMay 9, 2023 · RIA to a newly registered adviser
- Leslie Brooks Rosenberg to Humanize WealthJan 27, 2023 · RIA to a state-registered adviser
- Christopher Lee-Haas Sittner to Cs Wealth ManagementMar 10, 2022 · Other
- Hayley Pamela Haslett to Lake Road Advisors, LLCMar 8, 2022 · RIA to RIA
- Eric Arndt to Cwm, LLCAug 11, 2021 · RIA to affiliated broker-dealer or bank
- Jeffrey Gale to Willamette Financial Advisors, LLCDec 31, 2020 · RIA to RIA
- Gabriella Alana Richard to LPL Financial LLCJun 21, 2019 · RIA to affiliated broker-dealer or bank
- Kyle David Dodrill to Empirical Wealth ManagementFeb 1, 2019 · RIA to RIA
- Amy Groshong Walls to Cambridge Investment Research Advisors, Inc.Oct 26, 2016 · Other
- Simon Nikolas Rupard to Ameriprise Financial Services, LLCDec 10, 2012 · Other
Joined, latest
- Kristine Jean Stawinski from Cetera Investment Advisers LLCJun 28, 2023 · Affiliated broker-dealer or bank to independent RIA
- Melissa Louise Leonard from FacetMar 20, 2023 · RIA to RIA
- Cherish Annhee Sutull from Paracle Advisors LLCJun 16, 2021 · RIA to RIA
- Leslie Brooks Rosenberg from Paracle Advisors LLCJun 15, 2021 · RIA to RIA
- Eric Arndt from Bluespring Wealth Management, LLCSep 1, 2020 · RIA to RIA
- Jeffrey Gale from Cambridge Investment Research Advisors, Inc.Sep 18, 2018 · Affiliated broker-dealer or bank to independent RIA
- Kyle David Dodrill from Signator Investors, Inc.Sep 1, 2017 · Other
- Amy Groshong Walls from Ameriprise Financial Services, LLCSep 17, 2013 · Other
- Nancy Lynn Congdon from Ameriprise Financial Services, LLCAug 7, 2012 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lynn Nancy Congdon · President And Chief Compliance Officercontrolsince 08/2012 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Portland, Or · principal | 9 | 1 | 0 | ||
| Seattle, Wa | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Seattle, WA5 employees
What changed
consecutive filings, newest first
- Financial planning clients · 251-500 to 251-500Jul 1, 2026 to Sep 3, 2026
- Related adviser · false to unsetJul 1, 2026 to Sep 3, 2026
- Related bank · false to unsetJul 1, 2026 to Sep 3, 2026
- Related broker-dealer · false to unsetJul 1, 2026 to Sep 3, 2026
- Related insurance company · false to unsetJul 1, 2026 to Sep 3, 2026
- Succession · false to unsetJul 1, 2026 to Sep 3, 2026
- Other offices · 1 to 2Mar 2, 2026 to Jul 1, 2026
- Accounts · 1,078 to 1,206Dec 8, 2025 to Mar 2, 2026
- Advisory employees · 11 to 12Dec 8, 2025 to Mar 2, 2026
- Charity clients · 1 to 0Dec 8, 2025 to Mar 2, 2026
- HNW clients · 199 to 218Dec 8, 2025 to Mar 2, 2026
- Individual clients · 181 to 185Dec 8, 2025 to Mar 2, 2026
- Employees · 14 to 15Dec 8, 2025 to Mar 2, 2026
- State-registered IARs · 11 to 12Dec 8, 2025 to Mar 2, 2026
- Discretionary RAUM · $384M to $473MDec 8, 2025 to Mar 2, 2026
- HNW RAUM · $321M to $404MDec 8, 2025 to Mar 2, 2026
- Individual RAUM · $61.3M to $67.6MDec 8, 2025 to Mar 2, 2026
- RAUM · $384M to $473MDec 8, 2025 to Mar 2, 2026
- Accounts · 1,021 to 1,078Mar 27, 2024 to Feb 27, 2025
- Advisory employees · 12 to 11Mar 27, 2024 to Feb 27, 2025
- Charity clients · unset to 1.0Mar 27, 2024 to Feb 27, 2025
- Corporate clients · unset to 1.0Mar 27, 2024 to Feb 27, 2025
- HNW clients · 110 to 199Mar 27, 2024 to Feb 27, 2025
- Individual clients · 250 to 181Mar 27, 2024 to Feb 27, 2025
- Employees · 17 to 14Mar 27, 2024 to Feb 27, 2025
- Financial planning clients · 251-500 to 251-500Mar 27, 2024 to Feb 27, 2025
- Discretionary RAUM · $317M to $384MMar 27, 2024 to Feb 27, 2025
- HNW RAUM · $196M to $321MMar 27, 2024 to Feb 27, 2025
- Individual RAUM · $120M to $61.3MMar 27, 2024 to Feb 27, 2025
- RAUM · $317M to $384MMar 27, 2024 to Feb 27, 2025
- Accounts · 939 to 1,021Aug 2, 2023 to Mar 27, 2024
- Advisory employees · 11 to 12Aug 2, 2023 to Mar 27, 2024
- Charity clients · 1.0 to unsetAug 2, 2023 to Mar 27, 2024
- Corporate clients · 1.0 to unsetAug 2, 2023 to Mar 27, 2024
- HNW clients · 135 to 110Aug 2, 2023 to Mar 27, 2024
- Individual clients · 202 to 250Aug 2, 2023 to Mar 27, 2024
- Discretionary RAUM · $233M to $317MAug 2, 2023 to Mar 27, 2024
- HNW RAUM · $168M to $196MAug 2, 2023 to Mar 27, 2024
- Individual RAUM · $64.2M to $120MAug 2, 2023 to Mar 27, 2024
- RAUM · $233M to $317MAug 2, 2023 to Mar 27, 2024
Signals
8 dated events
- Ayden Justin Al-Shimary left Blue Water Wealth for Apella Wealth (registered 2025-01-14)Dec 31, 2024 · Advisor changed firm · fact
- Pierson Bennett Zahn left Blue Water Wealth for Coldstream Wealth Management (registered 2024-12-04)Nov 26, 2024 · Advisor changed firm · fact
- Melissa Louise Leonard left Blue Water Wealth for Cairn Financial Planning (registered 2024-01-02)May 9, 2023 · Advisor changed firm · fact
- Leslie Brooks Rosenberg left Blue Water Wealth for Humanize Wealth (registered 2023-07-14)Jan 27, 2023 · Advisor changed firm · fact
- Christopher Lee-Haas Sittner left Blue Water Wealth for Cs Wealth Management (registered 2022-09-21)Mar 10, 2022 · Advisor changed firm · fact
- Hayley Pamela Haslett left Blue Water Wealth for Lake Road Advisors, Llc (registered 2022-03-30)Mar 8, 2022 · Advisor changed firm · fact
- Alana Gabriella Richard (Chief Compliance Officer) no longer on Schedule A of Blue Water Wealth (listed 2019-06-03, absent 2019-06-21)Jun 21, 2019 · Control person left · inference
- Blue Water Wealth filed its initial SEC registration (Form ADV)Jul 13, 2012 · 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
- Business phone
- 206-292-2103reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 503-296-8700reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- BLUEWATERWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 503-296-8700reportedpublic record, Form ADV, Sep 3, 2026
- Contact form
- bluewaterwealth.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $47.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026