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
S••••••• W••••• M••••••••• L••
Latest filing Mar 4, 2022
First filing on the tape Feb 7, 2017 · 16 filings
RAUM
$175M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
100%
$175M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
2
$8.5M gross assets
History
16 filings and snapshots on the tape
RAUM$175M as of Mar 4, 2022
Mar 27, 2017$127M then
HNW client RAUM$155M as of Mar 4, 2022
Mar 29, 2018$111M then
State-registered IARs (5.B.3)3 as of Mar 4, 2022
Mar 27, 20172 then
Employees (5.A)3 as of Mar 4, 2022
Mar 27, 20173 then
Private funds2 as of Mar 4, 2022
Mar 29, 20181 then
RAUM +23% over the last fiscal year+10% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 4, 2022; every figure names its basis
- RAUM per advisor
- $58.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $425,687derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$155M88%
- Individuals$19.9M11%
- Charitable organizations$414,3440.2%
- Individual clients
- 73reported
- HNW clients
- 58reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 411reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
- A••••• D•••• P••••••••• to W•• I••••••••• M•••••••••Nov 18, 2022 · Other
- J••• S•••••• to H•••••••• A•••••••• L••Nov 18, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- A••••• D•••• P••••••••• from T•• P••••••••• G••••Nov 29, 2016 · Other
- J••• S•••••• from F•••••••• C•••••• M••••••••• L••Jun 5, 2014 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O••• S••••••• O••••••••• F••• I• L• | Hedge Fund | $7.6M | 30 | Jun 7, 2017 |
| S••••••• W••••• V• • C•••• E••••• F••• S••••• | Venture Capital Fund | $905,000 | 13 | Jun 14, 2021 |
Owners and control persons
Schedule A and B, latest filing
- A••••• J••• · Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- S••••••• J•••• S••••••• · Managing Membercontrolsince 04/2014 · owns 75% or more
Related persons
Schedule D 7.A
- O•• M••••••••• L••pooled vehicle sponsorn
- S••••••• W••••• C•••••• M••••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Bellevue, WA1 employees
- Eugene, OR1 employees
What changed
consecutive filings, newest first
- Accounts · 374 to 411Jun 14, 2021 to Mar 4, 2022
- Advisory activities · 7 to 6Jun 14, 2021 to Mar 4, 2022
- Charity clients · 3.0 to unsetJun 14, 2021 to Mar 4, 2022
- HNW clients · 34 to 58Jun 14, 2021 to Mar 4, 2022
- Individual clients · 97 to 73Jun 14, 2021 to Mar 4, 2022
- Pooled vehicle clients · 1.0 to unsetJun 14, 2021 to Mar 4, 2022
- Employees · 7 to 3Jun 14, 2021 to Mar 4, 2022
- Financial planning clients · 11-25 to 0Jun 14, 2021 to Mar 4, 2022
- Discretionary RAUM · $124M to $154MJun 14, 2021 to Mar 4, 2022
- HNW RAUM · $104M to $155MJun 14, 2021 to Mar 4, 2022
- Individual RAUM · $29.9M to $19.9MJun 14, 2021 to Mar 4, 2022
- Non-discretionary RAUM · $18.1M to $21.2MJun 14, 2021 to Mar 4, 2022
- Pooled vehicle RAUM · 7711276.0 to unsetJun 14, 2021 to Mar 4, 2022
- RAUM · $142M to $175MJun 14, 2021 to Mar 4, 2022
- Private funds · 1 to 2Apr 6, 2021 to Jun 14, 2021
- Accounts · 122 to 374Sep 1, 2020 to Mar 10, 2021
- Charity clients · 2 to 3Sep 1, 2020 to Mar 10, 2021
- HNW clients · 33 to 34Sep 1, 2020 to Mar 10, 2021
- Individual clients · 87 to 97Sep 1, 2020 to Mar 10, 2021
- Employees · 5 to 7Sep 1, 2020 to Mar 10, 2021
- Discretionary RAUM · $129M to $124MSep 1, 2020 to Mar 10, 2021
- HNW RAUM · $93.4M to $104MSep 1, 2020 to Mar 10, 2021
- Individual RAUM · $28.1M to $29.9MSep 1, 2020 to Mar 10, 2021
- Non-discretionary RAUM · $0 to $18.1MSep 1, 2020 to Mar 10, 2021
- Pooled vehicle RAUM · $7.3M to $7.7MSep 1, 2020 to Mar 10, 2021
- RAUM · $129M to $142MSep 1, 2020 to Mar 10, 2021
- Accounts · 133 to 122Mar 22, 2019 to Mar 30, 2020
- Charity clients · 13 to 2Mar 22, 2019 to Mar 30, 2020
- Corporate clients · 5.0 to unsetMar 22, 2019 to Mar 30, 2020
- HNW clients · 59 to 33Mar 22, 2019 to Mar 30, 2020
- Individual clients · 55 to 87Mar 22, 2019 to Mar 30, 2020
- Discretionary RAUM · $124M to $129MMar 22, 2019 to Mar 30, 2020
- HNW RAUM · $100.0M to $93.4MMar 22, 2019 to Mar 30, 2020
- Individual RAUM · $10.6M to $28.1MMar 22, 2019 to Mar 30, 2020
- Non-discretionary RAUM · $6.7M to $0Mar 22, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $6.2M to $7.3MMar 22, 2019 to Mar 30, 2020
- RAUM · $130M to $129MMar 22, 2019 to Mar 30, 2020
- Accounts · 127 to 133Oct 19, 2018 to Mar 22, 2019
- Charity clients · 11 to 13Oct 19, 2018 to Mar 22, 2019
- HNW clients · 46 to 59Oct 19, 2018 to Mar 22, 2019
Signals
5 dated events
- J••• S•••••• left S••••••• W••••• M••••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-09-02)Nov 18, 2022 · Advisor changed firm · fact
- James Phuc Hua no longer registered at S••••••• W••••• M••••••••• L••; no later IA registration on IAPDNov 18, 2022 · Advisor departure · fact
- A••••• D•••• P••••••••• left S••••••• W••••• M••••••••• L•• for W•• I••••••••• M••••••••• (registered 2024-08-06)Nov 18, 2022 · Advisor changed firm · fact
- J••• A•••• (Chief Compliance Officer) appeared on Schedule A of S••••••• W••••• M••••••••• L••Mar 4, 2022 · Control person joined · fact
- S••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 7, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••••• W••••• M••••••••• L•• · Venture Capitalshared crd · organization
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