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Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $155M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$155M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0
0 joined, 0 left
IAPD registration history
RAUM change, 1 year
+26%
Form ADV, consecutive annual filings
Private clients
88%
of RAUM, $137M
Form ADV
See where advisers wentSee teams that moved
More
Advisors (1)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

  1. +26.5%
    RAUM, one year

    RAUM $122M to $155M (+26.5%) on the Form ADV filed 3 Apr 2026, while advisors on the filing held at 1.

    The one filed measure of whether clients are staying.

    FactForm ADV Item 5History →
Every filed figure, and the identifiersCRD 174429 · SEC 801-131458 · 7 filingsShow
CRD 174429SEC 801-131458First filing on the tape Oct 11, 2024, latest Apr 3, 2026SEC status approved since Nov 13, 2024IAPD
RAUM
$155M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
88%
$137M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$155M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape

RAUM +26% over the last fiscal year · the tape starts Oct 11, 2024

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$155M as of Apr 3, 2026
Jan 2, 2025$109M then
HNW client RAUM$113M as of Apr 3, 2026
Jan 2, 2025$78.0M then
State-registered IARs (5.B.3)1 as of Apr 3, 2026
Jan 2, 20251 then
Employees (5.A)1 as of Apr 3, 2026
Jan 2, 20251 then
Private funds: no history
RAUM +26% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Apr 3, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure2 rulesShow
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)
RAUM per advisor
$155MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
74derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.5MderivedHNW RAUM over HNW clients
Average account
$2.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year
+26%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.7%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$38.1M, 50 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)
  • 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

73% high-net-worth individuals, 15% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow
  • High-net-worth individuals$113M73%
  • Individuals$23.6M15%
  • Corporations and businesses$18.0M12%
Individual clients
42reported
HNW clients
32reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
78reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$38.1M for 50 clientsreported
Compensation
% of AUM, fixedreported
Class basis
RAUM: 88% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
0 left over 36 months
0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      1 on IAPD today; the longest tenured first
      NameBranchHere sinceIn industryPrior firms
      T••••• A•••••• B•••••Kirkland, WaMar 5, 201530 y0
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• T•••••• A•••••• · President And Chief Compliance Officercontrol
        since 03/2015 · 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.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • low discretionary shareStatic outlier · filing Apr 3, 2026
        discretionary share of RAUM of 0% against a peer median of 100% (5683 comparable advisers, 0.0th percentile, 33.7 robust deviations)
        peers: independent wealth managers, $100M to $500M (5,683) · 0.0% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 74 to 78
        Mar 31, 2025 to Mar 9, 2026
      • HNW clients · 27 to 32
        Mar 31, 2025 to Mar 9, 2026
      • Individual clients · 43 to 42
        Mar 31, 2025 to Mar 9, 2026
      • Assets in custody · $29.1M to $38.1M
        Mar 31, 2025 to Mar 9, 2026
      • HNW RAUM · $87.6M to $113M
        Mar 31, 2025 to Mar 9, 2026
      Full history · 25 changes
      • Individual RAUM · $21.6M to $23.6M
        Mar 31, 2025 to Mar 9, 2026
      • Non-discretionary RAUM · $122M to $155M
        Mar 31, 2025 to Mar 9, 2026
      • RAUM · $122M to $155M
        Mar 31, 2025 to Mar 9, 2026
      • Accounts · 75 to 74
        Jan 2, 2025 to Mar 31, 2025
      • Advisory activities · 2 to 3
        Jan 2, 2025 to Mar 31, 2025
      • Charity clients · 0.0 to unset
        Jan 2, 2025 to Mar 31, 2025
      • Corporate clients · 0.0 to unset
        Jan 2, 2025 to Mar 31, 2025
      • HNW clients · 23 to 27
        Jan 2, 2025 to Mar 31, 2025
      • Individual clients · 37 to 43
        Jan 2, 2025 to Mar 31, 2025
      • Pension plan clients · 5.0 to unset
        Jan 2, 2025 to Mar 31, 2025
      • Pooled vehicle clients · 0.0 to unset
        Jan 2, 2025 to Mar 31, 2025
      • Assets in custody · $67,947 to $29.1M
        Jan 2, 2025 to Mar 31, 2025
      • Financial planning clients · 51-100 to 51-100
        Jan 2, 2025 to Mar 31, 2025
      • HNW RAUM · $78.0M to $87.6M
        Jan 2, 2025 to Mar 31, 2025
      • Individual RAUM · $19.0M to $21.6M
        Jan 2, 2025 to Mar 31, 2025
      • Non-discretionary RAUM · $109M to $122M
        Jan 2, 2025 to Mar 31, 2025
      • Pension RAUM · 12000000.0 to unset
        Jan 2, 2025 to Mar 31, 2025
      • RAUM · $109M to $122M
        Jan 2, 2025 to Mar 31, 2025
      • HQ city · unset to
        Dec 5, 2024 to Jan 2, 2025
      • HQ state · unset to
        Dec 5, 2024 to Jan 2, 2025
      Signals
      1 dated events
      • ••• Locked
        Oct 11, 2024 · 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
      ••• Lockedreportedpublished by the firm, firm site, Sep 24, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Apr 3, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Apr 3, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      $155Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026