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
S••••••• F•••••••• L••
Latest filing Aug 13, 2026
First filing on the tape Aug 19, 2025 · 5 filings
SEC status approved since Sep 22, 2025
RAUM
$125M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$125M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$31.3M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$125M as of Aug 13, 2026
Aug 19, 2025$109M then
HNW client RAUM$105M as of Aug 13, 2026
Aug 19, 2025$89.7M then
State-registered IARs (5.B.3)4 as of Aug 13, 2026
Aug 19, 20253 then
Employees (5.A)7 as of Aug 13, 2026
Aug 19, 20255 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 13, 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
- RAUM per advisor
- $31.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $308,311derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 0.8derived5 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 feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminars, otherreportedItem 5.G
- Custody
- $58.3M, 89 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)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$105M84%
- Individuals$20.3M16%
- Individual clients
- 38reported
- HNW clients
- 48reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 406reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $58.3M for 89 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| R•••••• J••••••Certified Financial Planner | Austin, Tx | Apr 30, 2018 | 12 y | 1 |
| J•••• M• G•••••Certified Financial Planner | Austin, Tx | Mar 25, 2019 | 10 y | 1 |
| A•••••••• M•••• S••••Certified Financial Planner | Elmhurst, Il | Mar 9, 2022 | 10 y | 0 |
| M•••• B•• C•••••••Certified Financial Planner | Columbus, Oh | Aug 22, 2022 | 12 y | 2 |
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
- J•••• M• G••••• from E••••• J••••Mar 25, 2019 · Affiliated broker-dealer or bank to independent RIA
- R•••••• J•••••• from M•••••••Apr 30, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• R••••••• J•••••• · Managing Member, Ccocontrolsince 04/2016 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Austin, Tx | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 392 to 406Aug 19, 2025 to Feb 24, 2026
- Advisory employees · 2 to 4Aug 19, 2025 to Feb 24, 2026
- HNW clients · 34 to 48Aug 19, 2025 to Feb 24, 2026
- Individual clients · 47 to 38Aug 19, 2025 to Feb 24, 2026
- Assets in custody · unset to 58264512.0Aug 19, 2025 to Feb 24, 2026
- Custody of client assets · false to trueAug 19, 2025 to Feb 24, 2026
- Employees · 5 to 7Aug 19, 2025 to Feb 24, 2026
- State-registered IARs · 3 to 4Aug 19, 2025 to Feb 24, 2026
- Other offices · 3 to 4Aug 19, 2025 to Feb 24, 2026
- Discretionary RAUM · $109M to $125MAug 19, 2025 to Feb 24, 2026
- HNW RAUM · $89.7M to $105MAug 19, 2025 to Feb 24, 2026
- Individual RAUM · $19.1M to $20.3MAug 19, 2025 to Feb 24, 2026
- RAUM · $109M to $125MAug 19, 2025 to Feb 24, 2026
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
- Firm profile
- linkedin.com/company/seedsafe-financial-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 360-602-1274reportedpublic record, Form ADV, Aug 13, 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
- $31.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026