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
Directional Financial Services
Legal name Directional Financial Services, LLC
Latest filing Mar 31, 2026
First filing on the tape Jun 16, 2014 · 23 filings
SEC status approved since Jun 27, 2014
RAUM
$11.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$11.5M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$2.9M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$11.5M as of Mar 31, 2026
Mar 30, 2015$1.4M then
HNW client RAUM$0 as of Mar 31, 2026
Mar 30, 2018$0 then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Mar 30, 20151 then
Employees (5.A)4 as of Mar 31, 2026
Mar 30, 20151 then
Private funds: no history
RAUM +27% over the last fiscal year+16% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $2.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 9derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $336,768derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -21%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $1.5M, 7 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$11.5M100%
- Individual clients
- 34reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 34reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.5M for 7 clientsreported
- 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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- Karina Bianca Bayani Dahilig to Badgley Phelps Wealth ManagersApr 19, 2021 · RIA to RIA
- James Allen Jones to Empirical Wealth ManagementJan 17, 2018 · Other
- Elliott Marvin Appel to Kindness Financial PlanningDec 15, 2017 · Other
- Joseph Martin Conachy to Osborne PartnersDec 15, 2017 · Other
- Karina Bianca Bayani Dahilig to Empirical Wealth ManagementDec 15, 2017 · Other
- Jeannie Esther Matza to Compass Investment Advisers, LLCDec 15, 2017 · Other
- Allyson Shea Eisenhower to Charles Schwab & Co., Inc.Jul 10, 2017 · Other
- Jack Donald Monteith to Advisory Services NetworkJan 5, 2017 · Other
- Julia Balitsky Sipple to Northwestern Mutual Investment Services,LLCSep 23, 2016 · Other
Joined, latest
- Karina Bianca Bayani Dahilig from Empirical Wealth ManagementDec 13, 2018 · RIA to RIA
- Jack Donald Monteith from Empirical Wealth ManagementOct 5, 2015 · Other
- Allyson Shea Eisenhower from Empirical Wealth ManagementOct 3, 2015 · Other
- Julia Balitsky Sipple from Empirical Wealth ManagementOct 3, 2015 · Other
- Elliott Marvin Appel from Empirical Wealth ManagementOct 3, 2015 · Other
- Joseph Martin Conachy from Empirical Wealth ManagementOct 3, 2015 · Other
- Jeannie Esther Matza from Empirical Wealth ManagementOct 3, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Wyatt Justin Buller · Chief Compliance Officercontrolsince 01/2021 · owns less than 5%
- Robert Kenneth Smith · Membercontrolsince 10/2010 · owns 50% to 75% of Empirical Wealth Management
Entity owners
- Empirical Wealth Management · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Empirical Wealth Managementinvestment adviseryRAUM $8.4B
- Empirical Insurance, LLCreal estaten
- Empirical Properties, LLCinvestment companyy
- Empirical Real Estate Services, Inc.investment companyy
- Secure Legacy Law Group, P.C.n
Advisers that list Directional Financial Services as a related person
- 152622 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Seattle, Wa · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 90 to 34Mar 27, 2025 to Mar 31, 2026
- Individual clients · 43 to 34Mar 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $9.0M to $11.5MMar 27, 2025 to Mar 31, 2026
- Individual RAUM · $9.0M to $11.5MMar 27, 2025 to Mar 31, 2026
- RAUM · $9.0M to $11.5MMar 27, 2025 to Mar 31, 2026
- Accounts · 80 to 90Mar 28, 2024 to Mar 27, 2025
- Advisory employees · 4 to 3Mar 28, 2024 to Mar 27, 2025
- Individual clients · 35 to 43Mar 28, 2024 to Mar 27, 2025
- Assets in custody · $8.8M to $1.5MMar 28, 2024 to Mar 27, 2025
- Employees · 6 to 4Mar 28, 2024 to Mar 27, 2025
- Insurance-licensed employees · 0 to 4Mar 28, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 27, 2025
- State-registered IARs · 5 to 4Mar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $9.3M to $9.0MMar 28, 2024 to Mar 27, 2025
- Individual RAUM · $9.3M to $9.0MMar 28, 2024 to Mar 27, 2025
- RAUM · $9.3M to $9.0MMar 28, 2024 to Mar 27, 2025
- Accounts · 74 to 80Mar 29, 2023 to Mar 28, 2024
- Advisory employees · 6 to 4Mar 29, 2023 to Mar 28, 2024
- Individual clients · 37 to 35Mar 29, 2023 to Mar 28, 2024
- Assets in custody · $1.0M to $8.8MMar 29, 2023 to Mar 28, 2024
- Employees · 7 to 6Mar 29, 2023 to Mar 28, 2024
- State-registered IARs · 4 to 5Mar 29, 2023 to Mar 28, 2024
- Other offices · 3 to 0Mar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $7.3M to $9.3MMar 29, 2023 to Mar 28, 2024
- Individual RAUM · $7.3M to $9.3MMar 29, 2023 to Mar 28, 2024
- RAUM · $7.3M to $9.3MMar 29, 2023 to Mar 28, 2024
- Accounts · 79 to 74Mar 31, 2022 to Mar 29, 2023
- Advisory employees · 7 to 6Mar 31, 2022 to Mar 29, 2023
- Individual clients · 39 to 37Mar 31, 2022 to Mar 29, 2023
- Assets in custody · $1.2M to $1.0MMar 31, 2022 to Mar 29, 2023
- Employees · 8 to 7Mar 31, 2022 to Mar 29, 2023
- Insurance-licensed employees · 6 to 0Mar 31, 2022 to Mar 29, 2023
- State-registered IARs · 6 to 4Mar 31, 2022 to Mar 29, 2023
- Other offices · 2 to 3Mar 31, 2022 to Mar 29, 2023
- Discretionary RAUM · $8.2M to $7.3MMar 31, 2022 to Mar 29, 2023
- Individual RAUM · $8.2M to $7.3MMar 31, 2022 to Mar 29, 2023
- RAUM · $8.2M to $7.3MMar 31, 2022 to Mar 29, 2023
- Accounts · 78 to 79Mar 31, 2021 to Mar 31, 2022
- Advisory employees · 8 to 7Mar 31, 2021 to Mar 31, 2022
- Individual clients · 43 to 39Mar 31, 2021 to Mar 31, 2022
Signals
11 dated events
- Lindsay Marie Farnsworth no longer registered at Directional Financial Services; no later IA registration on IAPDMar 20, 2024 · Advisor departure · fact
- John Thomas Miller no longer registered at Directional Financial Services; no later IA registration on IAPDMar 20, 2024 · Advisor departure · fact
- Patrick Michael Kelly (Chief Investment Officer) no longer on Schedule A of Directional Financial Services (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Andrew Ethan Broga (Member) no longer on Schedule A of Directional Financial Services (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- David Lorne Enquist (Chief Financial Officer And Member) no longer on Schedule A of Directional Financial Services (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Chelan Christina Jaime White (Chief Operating Officer) no longer on Schedule A of Directional Financial Services (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Wyatt Justin Buller (Chief Compliance Officer) appeared on Schedule A of Directional Financial ServicesFeb 10, 2021 · Control person joined · fact
- Chelan Christina Jaime White (Chief Operating Officer) appeared on Schedule A of Directional Financial ServicesMar 25, 2019 · Control person joined · fact
- Chong Hwa Park (Chief Operating Officer) no longer on Schedule A of Directional Financial Services (listed 2018-03-30, absent 2019-03-25)Mar 25, 2019 · Control person left · inference
- Directional Financial Services reported 5 state-registered advisory representatives, down from 19 (2017-03-29 to 2018-03-30)Mar 30, 2018 · Advisor headcount change · derived
- Directional Financial Services filed its initial SEC registration (Form ADV)Jun 16, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 206-508-3240reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-515-2157reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-923-4307reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- DIRECTIONALFS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 206-508-3240reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- directionalfs.com/contact-usreportedpublished by the firm, firm site, Sep 16, 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
- $2.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026