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Former SEC-registered adviserFormer SEC adviser2 private funds· Redmond, Washington

Former SEC-registered adviser, based in Redmond, Washington, reporting $142M of regulatory assets.

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

Last reported RAUM
$142M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-1.1%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 22 Form ADV filings for this adviser, the latest 6 months ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 226665 · SEC 801-100373 · 22 filingsShow
CRD 226665SEC 801-100373First filing on the tape Jun 8, 2015, latest Mar 17, 2026SEC status approved since Jun 12, 2015IAPD
RAUM
$142M
reported, Item 5.F
Discretionary
44%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$142M as of Mar 17, 2026
Mar 30, 2016$103M then
HNW client RAUM$35,944 as of Apr 1, 2020
Mar 29, 2018$121,301 then
State-registered IARs (5.B.3)1 as of Mar 17, 2026
Mar 30, 20161 then
Employees (5.A)2 as of Mar 17, 2026
Mar 30, 20161 then
Private funds2 as of Mar 17, 2026
Mar 30, 20161 then
RAUM -1.1% over the last fiscal year+1.5% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
RAUM per advisor
$142MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$11.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
44%derivedof RAUM
Institutional
0.0%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
-1.1%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
$27.2M, 2 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)
  • compensates persons for client referrals (8.G.1)
  • 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
  • Other investment advisers$115M81%
  • Pooled investment vehicles$27.2M19%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
12reported
Financial planning clients
reported
Wrap fee programs
$0 sponsored, $36.1M managedreported
Custody of client assets
$27.2M for 2 clientsreported
Compensation
% of AUM, performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••••• S••• P••••••• C••••••••• S•••• L•••Hedge Fund$9.9M9May 28, 2024
      S••••••• S••• P••••••• L•••Hedge Fund$3.6M9Jun 8, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• M••••••• J••••• · Managing Membercontrol
        since 02/2015 · owns 75% or more
      • C•••••••• M•••••• N•••• · Chief Operating Officer And Chief Compliance Officercontrol
        since 03/2018 · owns 5% to 10%
      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 · 14 to 12
        Apr 22, 2025 to Mar 17, 2026
      • Assets in custody · $24.7M to $27.2M
        Apr 22, 2025 to Mar 17, 2026
      • Discretionary RAUM · $55.7M to $63.2M
        Apr 22, 2025 to Mar 17, 2026
      • Non-discretionary RAUM · $88.0M to $79.0M
        Apr 22, 2025 to Mar 17, 2026
      • Pooled vehicle RAUM · $24.7M to $27.2M
        Apr 22, 2025 to Mar 17, 2026
      • RAUM · $144M to $142M
        Apr 22, 2025 to Mar 17, 2026
      • Wrap assets (manager) · $31.0M to $36.1M
        Apr 22, 2025 to Mar 17, 2026
      • Accounts · 12 to 14
        May 28, 2024 to Apr 22, 2025
      • Assets in custody · $12.7M to $24.7M
        May 28, 2024 to Apr 22, 2025
      • Financial planning clients · unset to
        May 28, 2024 to Apr 22, 2025
      • Discretionary RAUM · $83.5M to $55.7M
        May 28, 2024 to Apr 22, 2025
      • Non-discretionary RAUM · $41.9M to $88.0M
        May 28, 2024 to Apr 22, 2025
      • Pooled vehicle RAUM · $12.7M to $24.7M
        May 28, 2024 to Apr 22, 2025
      • RAUM · $125M to $144M
        May 28, 2024 to Apr 22, 2025
      • Wrap assets (manager) · $29.2M to $31.0M
        May 28, 2024 to Apr 22, 2025
      • Advisory activities · 4 to 3
        Mar 29, 2024 to May 28, 2024
      • Pooled vehicle clients · 1 to 2
        Mar 29, 2024 to May 28, 2024
      • Assets in custody · $3.6M to $12.7M
        Mar 29, 2024 to May 28, 2024
      • Private funds · 1 to 2
        Mar 29, 2024 to May 28, 2024
      • Discretionary RAUM · $62.1M to $83.5M
        Mar 29, 2024 to May 28, 2024
      • Non-discretionary RAUM · $69.9M to $41.9M
        Mar 29, 2024 to May 28, 2024
      • Pooled vehicle RAUM · $3.6M to $12.7M
        Mar 29, 2024 to May 28, 2024
      • RAUM · $132M to $125M
        Mar 29, 2024 to May 28, 2024
      • Wrap assets (manager) · $27.1M to $29.2M
        Mar 29, 2024 to May 28, 2024
      • Accounts · 13 to 12
        Mar 12, 2024 to Mar 29, 2024
      • Assets in custody · $4.7M to $3.6M
        Mar 12, 2024 to Mar 29, 2024
      • Discretionary RAUM · $60.9M to $62.1M
        Mar 12, 2024 to Mar 29, 2024
      • Non-discretionary RAUM · $75.1M to $69.9M
        Mar 12, 2024 to Mar 29, 2024
      • Pooled vehicle RAUM · $4.7M to $3.6M
        Mar 12, 2024 to Mar 29, 2024
      • RAUM · $136M to $132M
        Mar 12, 2024 to Mar 29, 2024
      • Wrap assets (manager) · $24.2M to $27.1M
        Mar 12, 2024 to Mar 29, 2024
      • Accounts · 14 to 13
        Mar 31, 2022 to Mar 13, 2023
      • Assets in custody · $9.4M to $4.7M
        Mar 31, 2022 to Mar 13, 2023
      • Discretionary RAUM · $98.8M to $60.9M
        Mar 31, 2022 to Mar 13, 2023
      • Non-discretionary RAUM · $116M to $75.1M
        Mar 31, 2022 to Mar 13, 2023
      • Pooled vehicle RAUM · $9.4M to $4.7M
        Mar 31, 2022 to Mar 13, 2023
      • RAUM · $215M to $136M
        Mar 31, 2022 to Mar 13, 2023
      • Wrap assets (manager) · $26.5M to $24.2M
        Mar 31, 2022 to Mar 13, 2023
      • Accounts · 12 to 14
        Mar 29, 2021 to Mar 31, 2022
      • Assets in custody · $10.7M to $9.4M
        Mar 29, 2021 to Mar 31, 2022
      Signals
      2 dated events
      • ••• Locked
        Jul 1, 2026 · Left the SEC roster · derived
      • ••• Locked
        Jun 8, 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.
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026