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
A••••••• C••••••• L••
Latest filing Jan 30, 2026
First filing on the tape Apr 26, 2018 · 19 filings
SEC status approved since May 29, 2018
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$385M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.5B as of Jan 30, 2026
Mar 20, 2019$169M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Jan 30, 2026
Mar 20, 20193 then
Employees (5.A)5 as of Jan 30, 2026
Mar 20, 20194 then
Private funds2 as of Jan 30, 2026
Mar 20, 20191 then
RAUM +9.5% over the last fiscal year+19% a year over threeIARs 3 to 4offices 0 to 1
Practice profile
derived from the filing of Jan 30, 2026; every figure names its basis
- RAUM per advisor
- $385MderivedRAUM 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
- $90.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 25%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%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 individuals, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
- 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
- Pooled investment vehicles$871M57%
- Charitable organizations$363M24%
- Other investment advisers$271M18%
- Investment companies$19.2M1.2%
- Insurance companies$15.8M1.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 17reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.75 institutional_share=0.25 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••• S•••••••Chartered Financial Analyst | Las Vegas, Nv | Jun 20, 2016 | 26 y | 1 |
| D••••• G•••• M••••••••Chartered Financial Analyst | Bellevue, Wa | Jun 20, 2016 | 17 y | 2 |
| T••••• E•••• P•••••••• | Bellevue, Wa | Sep 14, 2016 | 33 y | 1 |
| J••••• K•••• S•••••••• | Bellevue, Wa | Aug 1, 2025 | 13 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
- T••••• E•••• P•••••••• from G• C•••••• I••Sep 14, 2016 · Other
- T••• S••••••• from G• C•••••• I••Jun 20, 2016 · Other
- D••••• G•••• M•••••••• from G• C•••••• I••Jun 20, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from G• C•••••• I••Apr 4, 2016 · Bellevue, Wa
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••• F••• I• L• | Hedge Fund | $350M | 32 | Apr 26, 2018 |
| A••••••• F••• I••• L• | Hedge Fund | $285M | 2 | May 11, 2021 |
Owners and control persons
Schedule A and B, latest filing
- M••••••••• D•••••• G•••• · Founder And Managing Partnercontrolsince 04/2016 · owns 25% to 50%
- P••••••••• T•••••• E•••• · Chief Compliance Officercontrolsince 10/2016 · owns 10% to 25%
- S•••••••• T••• · Founder And Managing Partnercontrolsince 04/2016 · owns 25% to 50%
Related persons
Schedule D 7.A
- A••••••• C•••••• G• I• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bellevue, Wa · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Jan 30, 2026institutional share of RAUM of 25% against a peer median of 0% (1506 comparable advisers, 98.0th percentile, 8.3 robust deviations)peers: asset managers, $1B to $5B (1,506) · 98% percentile
What changed
consecutive filings, newest first
- Advisory activities · 4 to 3Feb 13, 2025 to Jan 30, 2026
- Employees · 4 to 5Feb 13, 2025 to Jan 30, 2026
- State-registered IARs · 3 to 4Feb 13, 2025 to Jan 30, 2026
- Other offices · 0 to 1Feb 13, 2025 to Jan 30, 2026
- Discretionary RAUM · $1.4B to $1.5BFeb 13, 2025 to Jan 30, 2026
- Pooled vehicle RAUM · $802M to $871MFeb 13, 2025 to Jan 30, 2026
- RAUM · $1.4B to $1.5BFeb 13, 2025 to Jan 30, 2026
- Employees · 5 to 4May 1, 2024 to Feb 13, 2025
- Financial planning clients · unset to May 1, 2024 to Feb 13, 2025
- State-registered IARs · 4 to 3May 1, 2024 to Feb 13, 2025
- Discretionary RAUM · $1.1B to $1.4BMay 1, 2024 to Feb 13, 2025
- Pooled vehicle RAUM · $635M to $802MMay 1, 2024 to Feb 13, 2025
- RAUM · $1.1B to $1.4BMay 1, 2024 to Feb 13, 2025
- Accounts · 52 to 17Feb 17, 2023 to Mar 7, 2024
- Assets in custody · 503039471.0 to unsetFeb 17, 2023 to Mar 7, 2024
- Custody of client assets · true to falseFeb 17, 2023 to Mar 7, 2024
- Discretionary RAUM · $908M to $1.1BFeb 17, 2023 to Mar 7, 2024
- Pooled vehicle RAUM · $503M to $635MFeb 17, 2023 to Mar 7, 2024
- RAUM · $908M to $1.1BFeb 17, 2023 to Mar 7, 2024
- Accounts · 49 to 52Feb 22, 2022 to Feb 17, 2023
- Assets in custody · $501M to $503MFeb 22, 2022 to Feb 17, 2023
- Employees · 4 to 5Feb 22, 2022 to Feb 17, 2023
- Discretionary RAUM · $944M to $908MFeb 22, 2022 to Feb 17, 2023
- Pooled vehicle RAUM · $501M to $503MFeb 22, 2022 to Feb 17, 2023
- RAUM · $944M to $908MFeb 22, 2022 to Feb 17, 2023
- Accounts · 33 to 49Nov 12, 2021 to Feb 22, 2022
- Advisory employees · 4 to 3Nov 12, 2021 to Feb 22, 2022
- Charity clients · unset to 6.0Nov 12, 2021 to Feb 22, 2022
- Pooled vehicle clients · 1 to 2Nov 12, 2021 to Feb 22, 2022
- Assets in custody · unset to 501444028.0Nov 12, 2021 to Feb 22, 2022
- Custody of client assets · false to trueNov 12, 2021 to Feb 22, 2022
- Employees · 5 to 4Nov 12, 2021 to Feb 22, 2022
- Discretionary RAUM · $401M to $944MNov 12, 2021 to Feb 22, 2022
- Pooled vehicle RAUM · $171M to $501MNov 12, 2021 to Feb 22, 2022
- RAUM · $401M to $944MNov 12, 2021 to Feb 22, 2022
- Related adviser · true to falseNov 12, 2021 to Feb 22, 2022
- Private funds · 1 to 2Mar 22, 2021 to May 11, 2021
- Accounts · 29 to 33Feb 19, 2020 to Mar 22, 2021
- Advisory employees · 3 to 4Feb 19, 2020 to Mar 22, 2021
- Employees · 4 to 5Feb 19, 2020 to Mar 22, 2021
Signals
4 dated events
- A••••••• C••••••• L•• reported RAUM $1.4B, up 26% from $1.1B (2024-05-01 to 2025-02-13)Feb 13, 2025 · RAUM change · derived
- A••••••• C••••••• L•• reported RAUM $943.6M, up 135% from $400.7M (2021-11-12 to 2022-02-22)Feb 22, 2022 · RAUM change · derived
- A••••••• C••••••• L•• reported RAUM $400.7M, up 70% from $235.7M (2020-02-19 to 2021-03-22)Mar 22, 2021 · RAUM change · derived
- A••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Apr 26, 2018 · 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 425 455-8896reportedpublic record, Form ADV, Jan 30, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $385Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026