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.
SEC-registered adviser
Middleton & Company
Latest filing Apr 24, 2026
First filing on the tape Oct 1, 2024 · 10 filings
SEC status approved since Oct 31, 2024
RAUM
$131M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$131M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$65.7M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$131M as of Apr 24, 2026
Mar 14, 2025$110M then
HNW client RAUM$90.0M as of Apr 24, 2026
Mar 14, 2025$77.4M then
State-registered IARs (5.B.3)2 as of Apr 24, 2026
Mar 14, 20252 then
Employees (5.A)4 as of Apr 24, 2026
Mar 14, 20254 then
Private funds: no history
RAUM +19% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Apr 24, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $65.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $338,445derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $30.3M, 50 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)
- 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
- High-net-worth individuals$90.0M69%
- Individuals$41.3M31%
- Individual clients
- 72reported
- HNW clients
- 43reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 388reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $30.3M for 50 clientsreported
- Compensation
- % of AUM, 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Taylor Colby AndersonCertified Financial Planner | Vancouver, Wa | Jun 16, 2017 | 10 y | 0 |
| Kailie Middleton AbascalCertified Financial Planner | Vancouver, Wa | Jan 12, 2018 | 10 y | 1 |
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
- Kailie Middleton Abascal from Alaska Wealth AdvisorsJan 12, 2018 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Middleton Kailie Abascal · Co-President, Financial Plannercontrolsince 01/2018 · owns 25% to 50%
- Colby Taylor Anderson · Co-President, Financial Plannercontrolsince 01/2018 · owns 25% to 50%
- S George Middleton · Ownercontrolsince 07/2016 · owns 10% to 25%
- Marland Kingston Hollman · Chief Compliance Officersince 03/2023 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Vancouver, Wa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 357 to 388Mar 14, 2025 to Jan 23, 2026
- HNW clients · 44 to 43Mar 14, 2025 to Jan 23, 2026
- Individual clients · 71 to 72Mar 14, 2025 to Jan 23, 2026
- Discretionary RAUM · $110M to $131MMar 14, 2025 to Jan 23, 2026
- HNW RAUM · $77.4M to $90.0MMar 14, 2025 to Jan 23, 2026
- Individual RAUM · $32.6M to $41.3MMar 14, 2025 to Jan 23, 2026
- RAUM · $110M to $131MMar 14, 2025 to Jan 23, 2026
- Accounts · 370 to 357Dec 19, 2024 to Mar 14, 2025
- HNW clients · 45 to 44Dec 19, 2024 to Mar 14, 2025
- Individual clients · 72 to 71Dec 19, 2024 to Mar 14, 2025
- Financial planning clients · 101-250 to 101-250Dec 19, 2024 to Mar 14, 2025
- Discretionary RAUM · $115M to $110MDec 19, 2024 to Mar 14, 2025
- HNW RAUM · $80.7M to $77.4MDec 19, 2024 to Mar 14, 2025
- Individual RAUM · $34.2M to $32.6MDec 19, 2024 to Mar 14, 2025
- RAUM · $115M to $110MDec 19, 2024 to Mar 14, 2025
Signals
1 dated events
- Middleton & Company filed its initial SEC registration (Form ADV)Oct 1, 2024 · 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
- Business email
- clientservices@middletonand.coreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 360-524-3517reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/18204623reportedpublic record, Form ADV, Sep 17, 2026
- Website
- MIDDLETONAND.COreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (360) 524-3517reportedpublic record, Form ADV, Apr 24, 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
- $65.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026