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
T••••• S••••• A•••••••• L••
Latest filing Apr 7, 2026
First filing on the tape Feb 26, 2026 · 2 filings
SEC status approved since Mar 26, 2026
RAUM
$108M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$105M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$54.2M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$108M as of Apr 7, 2026
Feb 26, 2026$108M then
HNW client RAUM$68.7M as of Apr 7, 2026
Feb 26, 2026$68.7M then
State-registered IARs (5.B.3)2 as of Apr 7, 2026
Feb 26, 20262 then
Employees (5.A)2 as of Apr 7, 2026
Feb 26, 20262 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 7, 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
- $54.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 85derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $263,285derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$68.7M63%
- Individuals$36.2M33%
- Charitable organizations$3.6M3.3%
- Individual clients
- 133reported
- HNW clients
- 36reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 412reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•• W•••Certified Financial Planner, Chartered Financial Analyst | Newton, Ma | Apr 27, 2016 | 22 y | 0 |
| D•• K••••••Certified Financial Planner, Chartered Financial Analyst | Mercer Island, Wa | Apr 27, 2016 | 10 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••• D•• · Managing Membercontrolsince 12/2015 · owns 25% to 50%
- W•••• W•• · Managing Member/Chief Compliance Officercontrolsince 09/2015 · owns 25% to 50%
- Y•••• Y••••••• · Membersince 09/2015 · owns 10% to 25%
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
One filing, no change to show.
Signals
No event on the tape.
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
- wei@triplesummit.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 415-212-6056reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 917-633-7418reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/7950941reportedpublic record, Form ADV, Sep 19, 2026
- Website
- triplesummit.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (917) 574-2670reportedpublic record, Form ADV, Apr 7, 2026
- Team page
- triplesummitadvisors.com/who-we-arereportedpublished 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
- $54.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026