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
N••••••• L••••• A•••••••• I•••
Legal name N••••••• L••••• A•••••••• I••
Latest filing Aug 5, 2026
First filing on the tape Jun 27, 2025 · 4 filings
SEC status approved since Jul 25, 2025
RAUM
$259M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$259M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$86.3M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$259M as of Aug 5, 2026
Jun 27, 2025$132M then
HNW client RAUM$232M as of Aug 5, 2026
Jun 27, 2025$99.2M then
State-registered IARs (5.B.3)3 as of Aug 5, 2026
Jun 27, 20253 then
Employees (5.A)5 as of Aug 5, 2026
Jun 27, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 5, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $86.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $763,577derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$232M90%
- Individuals$26.7M10%
- Individual clients
- 72reported
- HNW clients
- 51reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 339reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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 |
|---|---|---|---|---|
| M••••• E••• L•••••••Certified Financial Planner, Chartered Financial Analyst | Seattle, Wa | Aug 15, 2013 | 14 y | 2 |
| K••••••• K•••••••• D••••• | Seattle, Wa | Mar 16, 2022 | 21 y | 2 |
| B•••• L••• W•••••••Certified Financial Planner | Seattle, Wa | Sep 12, 2025 | 32 y | 2 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- G••••••• S••••• G••••• to F•••• P••••••• W•••••• L••Nov 11, 2025 · RIA to RIA
Joined, latest
- B•••• L••• W••••••• from L••Sep 12, 2025 · RIA to RIA
- K••••••• K•••••••• D••••• from P•••• S••••••••• L••Mar 16, 2022 · Affiliated broker-dealer or bank to independent RIA
- M••••• E••• L••••••• from P••••••••Aug 15, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••••• M•••••• E••• · Ccocontrolsince 05/2013 · 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 |
|---|---|---|---|---|---|
| Seattle, Wa · principal | 3 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 270 to 339Oct 21, 2025 to Mar 25, 2026
- HNW clients · 31 to 51Oct 21, 2025 to Mar 25, 2026
- Individual clients · 83 to 72Oct 21, 2025 to Mar 25, 2026
- Employees · 3 to 5Oct 21, 2025 to Mar 25, 2026
- Financial planning clients · 101-250 to 1-10Oct 21, 2025 to Mar 25, 2026
- Discretionary RAUM · $132M to $259MOct 21, 2025 to Mar 25, 2026
- HNW RAUM · $99.2M to $232MOct 21, 2025 to Mar 25, 2026
- Individual RAUM · $32.5M to $26.7MOct 21, 2025 to Mar 25, 2026
- RAUM · $132M to $259MOct 21, 2025 to Mar 25, 2026
Signals
2 dated events
- N••••••• L••••• A•••••••• I••• reported RAUM $258.9M, up 97% from $131.7M (2025-10-21 to 2026-03-25)Mar 25, 2026 · RAUM change · derived
- G••••••• S••••• G••••• left N••••••• L••••• A•••••••• I••• for F•••• P••••••• W•••••• L•• (registered 2026-08-28)Nov 11, 2025 · Advisor changed firm · 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••••://WWW.NLRIA.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 206-203-6638reportedpublic record, Form ADV, Aug 5, 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
- $86.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026