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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Former SEC-registered adviser

P•••••• P•••• A•••••••• L••

Former SEC-registered adviserRenton, WashingtonCRD 283095SEC 801-108222IAPD
Latest filing May 2, 2017
First filing on the tape Jul 28, 2016 · 7 filings
RAUM
$37.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$37.3M as of May 2, 2017
Jul 28, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of May 2, 2017
Jul 28, 20160 then
Employees (5.A)3 as of May 2, 2017
Jul 28, 20161 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 2, 2017; every figure names its basis
RAUM per advisor
$18.6MderivedRAUM 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
$129,821derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 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, fixed feesreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
287reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • W•••••• N••••• · Chief Executive Officer, Chief Compliance Officer, And Managing Membercontrol
      since 09/2016 · 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 · 0 to 287
      Oct 5, 2016 to Mar 31, 2017
    • Advisory employees · 1 to 2
      Oct 5, 2016 to Mar 31, 2017
    • Advisory activities · 3 to 4
      Oct 5, 2016 to Mar 31, 2017
    • Assets in custody · 0.0 to unset
      Oct 5, 2016 to Mar 31, 2017
    • Custody of client assets · true to false
      Oct 5, 2016 to Mar 31, 2017
    • Employees · 4 to 3
      Oct 5, 2016 to Mar 31, 2017
    • Financial planning clients · unset to 101-250
      Oct 5, 2016 to Mar 31, 2017
    • State-registered IARs · 1 to 2
      Oct 5, 2016 to Mar 31, 2017
    • Discretionary RAUM · $0 to $37.3M
      Oct 5, 2016 to Mar 31, 2017
    • RAUM · $0 to $37.3M
      Oct 5, 2016 to Mar 31, 2017
    • Business name · F•••• A•••••••• L•• to P•••••• P•••• A•••••••• L••
      Sep 23, 2016 to Oct 5, 2016
    • Legal name · F•••• A•••••••• L•• to P•••••• P•••• A•••••••• L••
      Sep 23, 2016 to Oct 5, 2016
    • Succession · true to false
      Sep 23, 2016 to Oct 5, 2016
    • Advisory employees · 0 to 1
      Jul 28, 2016 to Sep 23, 2016
    • Advisory activities · 1 to 3
      Jul 28, 2016 to Sep 23, 2016
    • Assets in custody · unset to 0.0
      Jul 28, 2016 to Sep 23, 2016
    • Custody of client assets · false to true
      Jul 28, 2016 to Sep 23, 2016
    • Employees · 1 to 4
      Jul 28, 2016 to Sep 23, 2016
    • HQ city · ENGLEWOOD to RENTON
      Jul 28, 2016 to Sep 23, 2016
    • HQ state · NJ to WA
      Jul 28, 2016 to Sep 23, 2016
    • State-registered IARs · 0 to 1
      Jul 28, 2016 to Sep 23, 2016
    • Succession · false to true
      Sep 23, 2016 to Sep 23, 2016
    Signals
    2 dated events
    • F•••• A•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Sep 23, 2016 · Succession (Item 4) · fact
    • F•••• A•••••••• L•• filed its initial SEC registration (Form ADV)
      Jul 28, 2016 · 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
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026