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
T•••• F•••••••• P••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Nov 21, 2025 · 2 filings
SEC status approved since Jan 5, 2026
RAUM
$117M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$117M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$39.1M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$117M as of Mar 11, 2026
Nov 21, 2025$104M then
HNW client RAUM$72.4M as of Mar 11, 2026
Nov 21, 2025$65.9M then
State-registered IARs (5.B.3)3 as of Mar 11, 2026
Nov 21, 20253 then
Employees (5.A)4 as of Mar 11, 2026
Nov 21, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 11, 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
- $39.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $193,621derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 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, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$72.4M62%
- Individuals$45.0M38%
- Individual clients
- 105reported
- HNW clients
- 52reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 606reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• D•••• C•••••••••Certified Financial Planner | Bellingham, Wa | Nov 20, 2015 | 14 y | 1 |
| E•••••••• A•• S••••• | Bellingham, Wa | Jun 8, 2017 | 24 y | 0 |
| C•••• L•••••• | Bellingham, Wa | Jul 31, 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• J•••• D•••• · Member/Chief Compliance Officer/Lead Financial Plannercontrolsince 04/2017 · owns 75% or more
- S•••••• E••••••••• A•• · Member/Lead Financial Plannercontrolsince 04/2017 · 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 |
|---|---|---|---|---|---|
| Bellingham, Wa · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 11, 2026selection of other advisers (Item 5.G.7): no on the filing of 2025-11-21, yes on the filing of 2026-03-11peers: independent wealth managers, $100M to $500M (5,678)
- custody status changedChange between filings · filing Mar 11, 2026custody of client assets (Item 9.A): yes on the filing of 2025-11-21, no on the filing of 2026-03-11peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 150 to 606Nov 21, 2025 to Mar 11, 2026
- Advisory activities · 4 to 5Nov 21, 2025 to Mar 11, 2026
- HNW clients · 51 to 52Nov 21, 2025 to Mar 11, 2026
- Individual clients · 99 to 105Nov 21, 2025 to Mar 11, 2026
- Assets in custody · 46522720.0 to unsetNov 21, 2025 to Mar 11, 2026
- Custody of client assets · true to falseNov 21, 2025 to Mar 11, 2026
- Other offices · 1 to 2Nov 21, 2025 to Mar 11, 2026
- Discretionary RAUM · $104M to $117MNov 21, 2025 to Mar 11, 2026
- HNW RAUM · $65.9M to $72.4MNov 21, 2025 to Mar 11, 2026
- Individual RAUM · $38.0M to $45.0MNov 21, 2025 to Mar 11, 2026
- RAUM · $104M to $117MNov 21, 2025 to Mar 11, 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 phone
- 360-399-6486reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- trailfp.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (360) 399-6486reportedpublic record, Form ADV, Mar 11, 2026
- Contact form
- trailfp.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
- $39.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026