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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Former SEC-registered adviser
V••••••• R••• L••
Latest filing Feb 18, 2022
First filing on the tape Sep 11, 2014 · 37 filings
RAUM
$809M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$809M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$809M as of Feb 18, 2022
Feb 18, 2015$101M then
HNW client RAUM$583M as of Feb 18, 2022
Mar 27, 2018$325M then
State-registered IARs (5.B.3)11 as of Feb 18, 2022
Feb 18, 20154 then
Employees (5.A)12 as of Feb 18, 2022
Feb 18, 20156 then
Private funds: no history
RAUM +4.6% over the last fiscal year+14% a year over threeIARs 11 to 10
Practice profile
derived from the filing of Feb 18, 2022; every figure names its basis
- RAUM per advisor
- $80.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $356,353derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $147M, 292 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$583M72%
- Individuals$226M28%
- Corporations and businesses$267,4060.0%
- Individual clients
- 611reported
- HNW clients
- 214reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,271reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $147M for 292 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- D•••••• B•••••• C••••• to E•••••• F•••••••• E••••••May 6, 2022 · RIA to RIA
- B•••• A••••• J•••••• to E•••••• F•••••••• E••••••May 6, 2022 · RIA to RIA
- M•••••• E•••• B•••••• to E•••••• F•••••••• E••••••May 6, 2022 · RIA to RIA
- A••••• T•• to E•••••• F•••••••• E••••••May 6, 2022 · RIA to RIA
- M••• A•• M•••••••• F••••••• to E•••••• F•••••••• E••••••May 6, 2022 · RIA to RIA
- M••••• D••••• D•••••••• to E•••••• F•••••••• E••••••Apr 12, 2022 · RIA to RIA
- M••• D••• J••••• to T•• E••••••• T•••Feb 18, 2022 · RIA to a newly registered adviser
- R•••••• M••••••• to A••••••••• F•••••••• S•••••••• L••Jun 7, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- R•••••• M••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 12, 2018 · Wirehouse to independent RIA
- D•••••• B•••••• C••••• from A••••••••• B•••••• F•••••••• S••••••• I••Sep 5, 2017 · Other
- B•••• A••••• J•••••• from A••••••••• B•••••• F•••••••• S••••••• I••Sep 5, 2017 · Other
- M••• A•• M•••••••• F••••••• from A••••••••• B•••••• F•••••••• S••••••• I••Sep 5, 2017 · Other
- M••• D••• J••••• from A••••••••• B•••••• F•••••••• S••••••• I••Mar 29, 2017 · Other
- M•••••• E•••• B•••••• from V••• F•••••••• A•••••••• I•••Feb 8, 2017 · Other
- M••••• D••••• D•••••••• from L•• F•••••••• L••Oct 23, 2014 · Other
- A••••• T•• from L•• F•••••••• L••Sep 30, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for E•••••• F•••••••• E••••••May 6, 2022 · Bothell, Wa · Firm absorbed
- 4 joined from A••••••••• B•••••• F•••••••• S••••••• I••Feb 22, 2018 · Bellevue, Wa · Firm absorbed
- 2 joined from L•• F•••••••• L••Oct 29, 2015 · Bothell, Wa · t••• lift out
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• L••••• E•••••• · Evp, General Counsel, Secretarycontrolsince 06/2021 · owns less than 5%
- J••••• C••••••••• L•••• · Evpcontrolsince 06/2021 · owns less than 5%
- N•••••• J•••••• A••••• · Evp, Hr & Coocontrolsince 06/2021 · owns less than 5%
- O••••••••• K••••• S•••• · Evp, Head Of Workplacecontrolsince 06/2021 · owns less than 5%
- R••••••• L•••••••• M•••••• · Ceo/Presidentcontrolsince 06/2021 · owns less than 5%
- R••••• M••••• M•••••• · Evp & Cfocontrolsince 06/2021 · owns less than 5%
- R••••••• J•••••••• D•••• · Chief Compliance Officercontrolsince 06/2021 · owns less than 5%
Entity owners
- V••••••• I••••••••• M••••••••• L•• · Managing Memberdirect · owns 75% or more
- A••••••••• B•••••• H•••••••• L•• · Managing Memberindirect · owns 75% or more of V••••••• I••••••••• M••••••••• L••
- E•••••• F•••••••• E•••••• H••••••• I• L•• · Managing Memberindirect · owns 75% or more of E•••••• F•••••••• E•••••• H••••••• I••• L••
- E•••••• F•••••••• E•••••• H••••••• I• L•• · Sole Stockholderindirect · owns 75% or more of E•••••• F•••••••• E•••••• H••••••• I•• I•••
- E•••••• F•••••••• E•••••• H••••••• I•• I••• · Managing Memberindirect · owns 75% or more of E•••••• F•••••••• E•••••• I••••••••• L••
- E•••••• F•••••••• E•••••• H••••••• I••• L•• · Managing Memberindirect · owns 75% or more of E•••••• F•••••••• E•••••• H••••••• I•• L••
- E•••••• F•••••••• E•••••• H••••••• I•• L•• · Managing Memberindirect · owns 75% or more of T•• E•••••• F•••••••• E•••••• C•••••• L••
- E•••••• F•••••••• E•••••• I••••••••• L•• · Memberindirect · owns 25% to 50% of E•••••• F•••••••• E•••••• H••••••• I••• L••
- E•••••• F•••••••• E••••••• L••• · Memberindirect · owns 75% or more of E•••••• F•••••••• E•••••• H••••••• I• L••
- E•••••• F•••••••• E••••••• L•• · Managing Memberindirect · owns 75% or more of A••••••••• B•••••• H•••••••• L••
- H•• F••••• G•• L•• · General Partnerindirect · owns F of E•••••• F•••••••• E••••••• L•••
- T•• E•••••• F•••••••• E•••••• C•••••• L•• · Managing Memberindirect · owns 75% or more of E•••••• F•••••••• E••••••• L••
Related persons
Schedule D 7.A
- E•••••• F•••••••• S•••••••• L••real estaten
- E•••••• F•••••••• E••••••investment advisernRAUM $326B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,642 to 2,271Nov 4, 2021 to Feb 18, 2022
- Corporate clients · 2.0 to unsetNov 4, 2021 to Feb 18, 2022
- HNW clients · 285 to 214Nov 4, 2021 to Feb 18, 2022
- Individual clients · 599 to 611Nov 4, 2021 to Feb 18, 2022
- Assets in custody · $650M to $147MNov 4, 2021 to Feb 18, 2022
- Employees · 26 to 12Nov 4, 2021 to Feb 18, 2022
- Discretionary RAUM · $678M to $786MNov 4, 2021 to Feb 18, 2022
- HNW RAUM · $642M to $583MNov 4, 2021 to Feb 18, 2022
- Individual RAUM · $131M to $226MNov 4, 2021 to Feb 18, 2022
- Non-discretionary RAUM · $96.2M to $23.2MNov 4, 2021 to Feb 18, 2022
- RAUM · $774M to $809MNov 4, 2021 to Feb 18, 2022
- State-registered IARs · 11 to 10Feb 18, 2022 to Feb 18, 2022
- Succession · true to falseSep 16, 2021 to Nov 4, 2021
- Succession · false to trueJul 22, 2021 to Sep 16, 2021
- Related adviser · false to trueJan 20, 2021 to Jul 22, 2021
- Accounts · 2,588 to 2,642Dec 3, 2020 to Jan 20, 2021
- Advisory employees · 12 to 10Dec 3, 2020 to Jan 20, 2021
- Charity clients · 2.0 to unsetDec 3, 2020 to Jan 20, 2021
- Corporate clients · 1 to 2Dec 3, 2020 to Jan 20, 2021
- HNW clients · 187 to 285Dec 3, 2020 to Jan 20, 2021
- Individual clients · 659 to 599Dec 3, 2020 to Jan 20, 2021
- Assets in custody · $174M to $650MDec 3, 2020 to Jan 20, 2021
- Employees · 28 to 26Dec 3, 2020 to Jan 20, 2021
- State-registered IARs · 13 to 11Dec 3, 2020 to Jan 20, 2021
- Discretionary RAUM · $651M to $678MDec 3, 2020 to Jan 20, 2021
- HNW RAUM · $207M to $642MDec 3, 2020 to Jan 20, 2021
- Individual RAUM · $468M to $131MDec 3, 2020 to Jan 20, 2021
- Non-discretionary RAUM · $26.8M to $96.2MDec 3, 2020 to Jan 20, 2021
- RAUM · $678M to $774MDec 3, 2020 to Jan 20, 2021
- Accounts · 2,171 to 2,588Jul 1, 2020 to Aug 5, 2020
- Charity clients · 4 to 2Jul 1, 2020 to Aug 5, 2020
- HNW clients · 232 to 187Jul 1, 2020 to Aug 5, 2020
- Individual clients · 593 to 659Jul 1, 2020 to Aug 5, 2020
- Pension plan clients · 1.0 to unsetJul 1, 2020 to Aug 5, 2020
- Discretionary RAUM · $581M to $651MJul 1, 2020 to Aug 5, 2020
- HNW RAUM · $448M to $207MJul 1, 2020 to Aug 5, 2020
- Individual RAUM · $156M to $468MJul 1, 2020 to Aug 5, 2020
- Non-discretionary RAUM · $32.7M to $26.8MJul 1, 2020 to Aug 5, 2020
- Pension RAUM · 812000.0 to unsetJul 1, 2020 to Aug 5, 2020
- RAUM · $614M to $678MJul 1, 2020 to Aug 5, 2020
Signals
22 dated events
- B•••• A••••• J•••••• left V••••••• R••• L•• for E•••••• F•••••••• E•••••• (registered 2022-03-25)May 6, 2022 · Advisor changed firm · fact
- M•••••• E•••• B•••••• left V••••••• R••• L•• for E•••••• F•••••••• E•••••• (registered 2022-03-25)May 6, 2022 · Advisor changed firm · fact
- D•••••• B•••••• C••••• left V••••••• R••• L•• for E•••••• F•••••••• E•••••• (registered 2022-03-28)May 6, 2022 · Advisor changed firm · fact
- M••• A•• M•••••••• F••••••• left V••••••• R••• L•• for E•••••• F•••••••• E•••••• (registered 2022-03-25)May 6, 2022 · Advisor changed firm · fact
- A••••• T•• left V••••••• R••• L•• for E•••••• F•••••••• E•••••• (registered 2022-03-25)May 6, 2022 · Advisor changed firm · fact
- V••••••• R••• L••'s advisors moved to E•••••• F•••••••• E•••••• (Bothell, WA): 5 of 5 registered, on the same dayMay 6, 2022 · Firm absorbed (people side) · derived
- M••••• D••••• D•••••••• left V••••••• R••• L•• for E•••••• F•••••••• E•••••• (registered 2022-04-13)Apr 12, 2022 · Advisor changed firm · fact
- M••• D••• J••••• left V••••••• R••• L•• for T•• E••••••• T••• (registered 2024-07-23)Feb 18, 2022 · Advisor changed firm · fact
- V••••••• R••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Sep 16, 2021 · Succession (Item 4) · fact
- Leigh Christopher Jones (Evp) appeared on Schedule A of V••••••• R••• L••Jul 22, 2021 · Control person joined · fact
- Michael Lawrence Raffone (Ceo/President) appeared on Schedule A of V••••••• R••• L••Jul 22, 2021 · Control person joined · fact
- Emerson Lewis Antone (Evp, General Counsel, Secretary) appeared on Schedule A of V••••••• R••• L••Jul 22, 2021 · Control person joined · fact
- Susan Kelly O'Donnell (Evp, Head Of Workplace) appeared on Schedule A of V••••••• R••• L••Jul 22, 2021 · Control person joined · fact
- David Jonathan Robbins (Chief Compliance Officer) appeared on Schedule A of V••••••• R••• L••Jul 22, 2021 · Control person joined · fact
- Marques Mario Ramos (Evp & Cfo) appeared on Schedule A of V••••••• R••• L••Jul 22, 2021 · Control person joined · fact
- Arthur Joseph Nedder (Evp, Hr & Coo) appeared on Schedule A of V••••••• R••• L••Jul 22, 2021 · Control person joined · fact
- A••••• T•• (Owner) no longer on Schedule A of V••••••• R••• L•• (listed 2021-01-20, absent 2021-07-22)Jul 22, 2021 · Control person left · inference
- Delvin Marcus Dusenbury (Owner) no longer on Schedule A of V••••••• R••• L•• (listed 2021-01-20, absent 2021-07-22)Jul 22, 2021 · Control person left · inference
- Dean Mark Jaeger (Chief Operating Officer) no longer on Schedule A of V••••••• R••• L•• (listed 2021-01-20, absent 2021-07-22)Jul 22, 2021 · Control person left · inference
- Andrew Brian Johnson (Chief Investment Officer) no longer on Schedule A of V••••••• R••• L•• (listed 2021-01-20, absent 2021-07-22)Jul 22, 2021 · Control person left · inference
- Andrew Brian Johnson (Chief Investment Officer) appeared on Schedule A of V••••••• R••• L••Jan 20, 2021 · Control person joined · fact
- V••••••• I••••••••• M••••••••• C••• filed its initial SEC registration (Form ADV)Sep 11, 2014 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026