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
S•••••• W••••• A•••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Mar 4, 2022 · 9 filings
SEC status approved since Apr 11, 2022
RAUM
$184M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$178M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$61.5M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$184M as of Mar 23, 2026
Mar 22, 2023$165M then
HNW client RAUM$144M as of Mar 23, 2026
Mar 22, 2023$105M then
State-registered IARs (5.B.3)3 as of Mar 23, 2026
Mar 22, 20234 then
Employees (5.A)4 as of Mar 23, 2026
Mar 22, 20236 then
Private funds: no history
RAUM -11% over the last fiscal year+3.7% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 23, 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
- $61.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -20%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $1.5M, 102 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$144M78%
- Individuals$33.8M18%
- Charitable organizations$6.1M3.3%
- Corporations and businesses$69,3150.0%
- Individual clients
- 103reported
- HNW clients
- 61reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 166reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.5M for 102 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| E••• J• S•••••••Certified Financial Planner | Spokane, Wa | Nov 26, 2014 | 15 y | 2 |
| S•••• W• W••••••• | Spokane, Wa | Jul 17, 2020 | 11 y | 0 |
| D•••• S•• B••• | Spokane, Wa | Dec 1, 2022 | 34 y | 2 |
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 headcount1 left over 36 months
Left, latest
- T••• M•••••• K••••• to S••••••••• C••••••• F•••••••• S••••••• L••Jul 1, 2025 · RIA to RIA
Joined, latest
- D•••• S•• B••• from M••••• A•••••••• L••Dec 1, 2022 · Affiliated broker-dealer or bank to independent RIA
- T••• M•••••• K••••• from L•• F•••••••• L••May 31, 2017 · Other
- E••• J• S••••••• from E•••••• W••••• A•••••••• I•••Nov 26, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• T•••• M•••••• · Member, Coocontrolsince 01/2021 · owns 50% to 75%
- S•••••••• E•••• J• · Member, Cco, Ceocontrolsince 10/2014 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Spokane, Wa · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Spokane, WA2 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 23, 2026HNW share of RAUM moved from 62.0% to 78.0% between the annual amendments of 2025-03-17 and 2026-03-23peers: independent wealth managers, $100M to $500M (5,676)
- account count collapseChange between filings · filing Mar 23, 2026accounts (Item 5.F.2.f) moved from 601.0 to 166.0 (-72.0%) between the annual amendments of 2025-03-17 and 2026-03-23; the peer median change was +5.0% (3687 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 0.8% percentile
What changed
consecutive filings, newest first
- Accounts · 601 to 166Jul 1, 2025 to Mar 23, 2026
- Corporate clients · 0.0 to unsetJul 1, 2025 to Mar 23, 2026
- HNW clients · 52 to 61Jul 1, 2025 to Mar 23, 2026
- Individual clients · 152 to 103Jul 1, 2025 to Mar 23, 2026
- Assets in custody · $6.2M to $1.5MJul 1, 2025 to Mar 23, 2026
- Employees · 5 to 4Jul 1, 2025 to Mar 23, 2026
- Discretionary RAUM · $207M to $184MJul 1, 2025 to Mar 23, 2026
- HNW RAUM · $128M to $144MJul 1, 2025 to Mar 23, 2026
- Individual RAUM · $73.0M to $33.8MJul 1, 2025 to Mar 23, 2026
- RAUM · $207M to $184MJul 1, 2025 to Mar 23, 2026
- Advisory employees · 4 to 3Mar 17, 2025 to Jul 1, 2025
- Employees · 6 to 5Mar 17, 2025 to Jul 1, 2025
- Financial planning clients · 101-250 to 101-250Mar 17, 2025 to Jul 1, 2025
- State-registered IARs · 4 to 3Mar 17, 2025 to Jul 1, 2025
- Accounts · 570 to 601Mar 25, 2024 to Mar 17, 2025
- HNW clients · 54 to 52Mar 25, 2024 to Mar 17, 2025
- Individual clients · 147 to 152Mar 25, 2024 to Mar 17, 2025
- Assets in custody · $8.2M to $6.2MMar 25, 2024 to Mar 17, 2025
- Employees · 5 to 6Mar 25, 2024 to Mar 17, 2025
- Discretionary RAUM · $185M to $207MMar 25, 2024 to Mar 17, 2025
- HNW RAUM · $117M to $128MMar 25, 2024 to Mar 17, 2025
- Individual RAUM · $62.3M to $73.0MMar 25, 2024 to Mar 17, 2025
- RAUM · $185M to $207MMar 25, 2024 to Mar 17, 2025
- Accounts · 187 to 570Oct 5, 2023 to Mar 25, 2024
- HNW clients · 50 to 54Oct 5, 2023 to Mar 25, 2024
- Individual clients · 136 to 147Oct 5, 2023 to Mar 25, 2024
- Assets in custody · $4.9M to $8.2MOct 5, 2023 to Mar 25, 2024
- Employees · 6 to 5Oct 5, 2023 to Mar 25, 2024
- Discretionary RAUM · $165M to $185MOct 5, 2023 to Mar 25, 2024
- HNW RAUM · $105M to $117MOct 5, 2023 to Mar 25, 2024
- Individual RAUM · $54.8M to $62.3MOct 5, 2023 to Mar 25, 2024
- RAUM · $165M to $185MOct 5, 2023 to Mar 25, 2024
- Accounts · 62 to 187Dec 3, 2022 to Mar 22, 2023
- Advisory employees · 3 to 4Dec 3, 2022 to Mar 22, 2023
- HNW clients · 30 to 50Dec 3, 2022 to Mar 22, 2023
- Individual clients · 31 to 136Dec 3, 2022 to Mar 22, 2023
- Assets in custody · $474,910 to $4.9MDec 3, 2022 to Mar 22, 2023
- Employees · 3 to 6Dec 3, 2022 to Mar 22, 2023
- Financial planning clients · 26-50 to 101-250Dec 3, 2022 to Mar 22, 2023
- State-registered IARs · 3 to 4Dec 3, 2022 to Mar 22, 2023
Signals
2 dated events
- T••• M•••••• K••••• left S•••••• W••••• A•••••••• L•• for S••••••••• C••••••• F•••••••• S••••••• L•• (registered 2025-06-20)Jul 1, 2025 · Advisor changed firm · fact
- S•••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 4, 2022 · 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 email
- info@s••••••wealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 509-270-2886reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H••••://S••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 509-270-2886reportedpublic record, Form ADV, Mar 23, 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
- $61.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026