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
B•••••• • P•••••••• I•••
Latest filing Feb 4, 2026
First filing on the tape Jun 25, 2015 · 22 filings
SEC status approved since Jul 2, 2015
RAUM
$2.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
34%
$950M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$2.8B
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$2.8B as of Feb 4, 2026
Mar 30, 2016$1.3B then
HNW client RAUM$950M as of Feb 4, 2026
Mar 29, 2018$1.2B then
State-registered IARs (5.B.3)1 as of Feb 4, 2026
Mar 30, 20161 then
Employees (5.A)2 as of Feb 4, 2026
Mar 30, 20163 then
Private funds: no history
RAUM +7.2% over the last fiscal year+9.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $2.8BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $7.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $6.7M, 182 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)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$1.4B50%
- High-net-worth individuals$950M34%
- Charitable organizations$426M15%
- Individual clients
- n/areported
- HNW clients
- 218reported
- Pension plan clients
- n/areported
- Charitable clients
- 10reported
- Accounts
- 360reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.7M for 182 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.34 fund_share=0.0 institutional_share=0.15 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• A••••• B••••••Chartered Financial Consultant | Clyde Hill, Wa | Oct 14, 2015 | 41 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J••••••• A••••• B•••••• from K•• F•••••••• S•••••••• I••Oct 14, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• J•••••••• A••••• · President & Ccocontrolsince 06/2015 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 385 to 360Nov 10, 2025 to Feb 4, 2026
- Charity clients · 24 to 10Nov 10, 2025 to Feb 4, 2026
- Corporate clients · 130 to 132Nov 10, 2025 to Feb 4, 2026
- HNW clients · 231 to 218Nov 10, 2025 to Feb 4, 2026
- Assets in custody · $6.7M to $6.7MNov 10, 2025 to Feb 4, 2026
- Discretionary RAUM · $2.6B to $2.8BNov 10, 2025 to Feb 4, 2026
- HNW RAUM · $1.1B to $950MNov 10, 2025 to Feb 4, 2026
- RAUM · $2.6B to $2.8BNov 10, 2025 to Feb 4, 2026
- HQ city · SEATTLE to Feb 4, 2025 to Nov 10, 2025
- HQ state · WA to Feb 4, 2025 to Nov 10, 2025
- Accounts · 453 to 385Mar 8, 2024 to Feb 4, 2025
- Charity clients · 17 to 24Mar 8, 2024 to Feb 4, 2025
- HNW clients · 306 to 231Mar 8, 2024 to Feb 4, 2025
- Assets in custody · $16.8M to $6.7MMar 8, 2024 to Feb 4, 2025
- Financial planning clients · 1-10 to 1-10Mar 8, 2024 to Feb 4, 2025
- Discretionary RAUM · $2.3B to $2.6BMar 8, 2024 to Feb 4, 2025
- HNW RAUM · $992M to $1.1BMar 8, 2024 to Feb 4, 2025
- RAUM · $2.3B to $2.6BMar 8, 2024 to Feb 4, 2025
- Accounts · 376 to 453Feb 15, 2024 to Mar 8, 2024
- Charity clients · 20 to 17Feb 15, 2024 to Mar 8, 2024
- Corporate clients · 129 to 130Feb 15, 2024 to Mar 8, 2024
- HNW clients · 227 to 306Feb 15, 2024 to Mar 8, 2024
- Assets in custody · $8.9M to $16.8MFeb 15, 2024 to Mar 8, 2024
- Discretionary RAUM · $2.1B to $2.3BFeb 15, 2024 to Mar 8, 2024
- HNW RAUM · $895M to $992MFeb 15, 2024 to Mar 8, 2024
- RAUM · $2.1B to $2.3BFeb 15, 2024 to Mar 8, 2024
- Other offices · 2 to 0Mar 14, 2023 to Jun 2, 2023
- Accounts · 370 to 376Mar 10, 2022 to Feb 24, 2023
- Corporate clients · 123 to 129Mar 10, 2022 to Feb 24, 2023
- Assets in custody · $34.0M to $8.9MMar 10, 2022 to Feb 24, 2023
- Discretionary RAUM · $2.5B to $2.1BMar 10, 2022 to Feb 24, 2023
- HNW RAUM · $1.0B to $895MMar 10, 2022 to Feb 24, 2023
- RAUM · $2.5B to $2.1BMar 10, 2022 to Feb 24, 2023
- Accounts · 372 to 370Apr 22, 2021 to Mar 10, 2022
- Advisory activities · 5 to 4Apr 22, 2021 to Mar 10, 2022
- Charity clients · 24 to 20Apr 22, 2021 to Mar 10, 2022
- Corporate clients · 121 to 123Apr 22, 2021 to Mar 10, 2022
- Assets in custody · $9.8M to $34.0MApr 22, 2021 to Mar 10, 2022
- Other offices · 0 to 2Apr 22, 2021 to Mar 10, 2022
- Discretionary RAUM · $2.1B to $2.5BApr 22, 2021 to Mar 10, 2022
Signals
1 dated events
- B•••••• • P•••••••• I••• filed its initial SEC registration (Form ADV)Jun 25, 2015 · 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
- Principal office phone
- 206-547-5000reportedpublic record, Form ADV, Feb 4, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $2.8Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026