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
J••••• C•••••• A••••••• L••
Latest filing Mar 22, 2024
First filing on the tape Jun 5, 2017 · 20 filings
RAUM
$450M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
95%
$430M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$450M as of Mar 22, 2024
Mar 27, 2018$314M then
HNW client RAUM$382M as of Mar 22, 2024
Mar 27, 2018$246M then
State-registered IARs (5.B.3)3 as of Mar 22, 2024
Mar 27, 20184 then
Employees (5.A)6 as of Mar 22, 2024
Mar 27, 20188 then
Private funds: no history
RAUM +11% over the last fiscal year+5.6% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 22, 2024; every figure names its basis
- RAUM per advisor
- $150MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $750,564derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%derivedof RAUM
- Institutional
- 4.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Custody
- $163M, 109 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$382M85%
- Individuals$48.0M11%
- Charitable organizations$18.6M4.1%
- Pension and profit-sharing plans$1.1M0.2%
- Corporations and businesses$852,7320.2%
- Individual clients
- 94reported
- HNW clients
- 108reported
- Pension plan clients
- 1reported
- Charitable clients
- 2reported
- Accounts
- 600reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $163M for 109 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
Left, latest
- M•••••• D•••• J••••• to B••••• P••••• A•••••••• L••Oct 1, 2024 · RIA to RIA
- C••••••••• L•• B•••••• to B••••• P••••• A•••••••• L••Jun 6, 2024 · RIA to RIA
- D•••• A•••• M•••••• to B••••• P••••• A•••••••• L••Jun 6, 2024 · RIA to RIA
- M••••• D• K••••• to D••••• R••••••••• P••••••• I•••Aug 23, 2023 · RIA to RIA
- C••• B•••••• B••••• to S•• A••••••• L••Mar 16, 2023 · RIA to RIA
- G••••• R••••• L••• to T•• C•••••• G••••• L••Aug 27, 2021 · RIA to RIA
- T•••• A••• M••••• to M••••• G••••• A••••••• I•••Feb 8, 2021 · RIA to RIA
Joined, latest
- M••••• D• K••••• from C••••••••• W••••• M•••••••••Jul 5, 2023 · RIA to RIA
- C••• B•••••• B••••• from C•••••• S••••• • C••• I•••Mar 2, 2023 · Affiliated broker-dealer or bank to independent RIA
- D•••• A•••• M•••••• from F•••• C•••••• A••••••• S•••••••Mar 2, 2023 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• L•• B•••••• from C•••••• S••••• • C••• I•••May 19, 2022 · Affiliated broker-dealer or bank to independent RIA
- G••••• R••••• L••• from W••••••••• A•••••••May 9, 2021 · RIA to RIA
- T•••• A••• M••••• from K•• F•••••••• S•••••••• I••Aug 2, 2017 · Other
- M•••••• D•••• J••••• from K•• F•••••••• S•••••••• I••Aug 2, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for B••••• P••••• A•••••••• L••Jun 6, 2024 · Redmond, Wa
- 2 joined from K•• F•••••••• S•••••••• I••Oct 31, 2017 · Bellevue, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J•••••• M••••••• D•••• · Chief Compliance Officer, Member, And Investment Advisor Representativecontrolsince 03/2017 · 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 |
|---|---|---|---|---|---|
| Redmond, Wa · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 581 to 600Nov 3, 2023 to Mar 22, 2024
- Corporate clients · 3 to 4Nov 3, 2023 to Mar 22, 2024
- HNW clients · 125 to 108Nov 3, 2023 to Mar 22, 2024
- Individual clients · 71 to 94Nov 3, 2023 to Mar 22, 2024
- Assets in custody · $131M to $163MNov 3, 2023 to Mar 22, 2024
- Discretionary RAUM · $311M to $373MNov 3, 2023 to Mar 22, 2024
- HNW RAUM · $362M to $382MNov 3, 2023 to Mar 22, 2024
- Individual RAUM · $26.5M to $48.0MNov 3, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $95.0M to $77.6MNov 3, 2023 to Mar 22, 2024
- Pension RAUM · $960,572 to $1.1MNov 3, 2023 to Mar 22, 2024
- RAUM · $406M to $450MNov 3, 2023 to Mar 22, 2024
- Accounts · 594 to 581Nov 3, 2022 to Mar 29, 2023
- Advisory employees · 2 to 3Nov 3, 2022 to Mar 29, 2023
- Corporate clients · 2 to 3Nov 3, 2022 to Mar 29, 2023
- HNW clients · 129 to 125Nov 3, 2022 to Mar 29, 2023
- Pension plan clients · 2 to 1Nov 3, 2022 to Mar 29, 2023
- Assets in custody · $131M to $131MNov 3, 2022 to Mar 29, 2023
- Employees · 7 to 6Nov 3, 2022 to Mar 29, 2023
- State-registered IARs · 2 to 3Nov 3, 2022 to Mar 29, 2023
- Discretionary RAUM · $328M to $311MNov 3, 2022 to Mar 29, 2023
- HNW RAUM · $400M to $362MNov 3, 2022 to Mar 29, 2023
- Individual RAUM · $27.1M to $26.5MNov 3, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $119M to $95.0MNov 3, 2022 to Mar 29, 2023
- Pension RAUM · $1.1M to $960,572Nov 3, 2022 to Mar 29, 2023
- RAUM · $447M to $406MNov 3, 2022 to Mar 29, 2023
- Accounts · 551 to 594Sep 15, 2021 to Mar 25, 2022
- Advisory employees · 3 to 2Sep 15, 2021 to Mar 25, 2022
- HNW clients · 115 to 129Sep 15, 2021 to Mar 25, 2022
- Individual clients · 73 to 71Sep 15, 2021 to Mar 25, 2022
- Assets in custody · $103M to $131MSep 15, 2021 to Mar 25, 2022
- Employees · 10 to 7Sep 15, 2021 to Mar 25, 2022
- State-registered IARs · 3 to 2Sep 15, 2021 to Mar 25, 2022
- Discretionary RAUM · $260M to $328MSep 15, 2021 to Mar 25, 2022
- HNW RAUM · $331M to $400MSep 15, 2021 to Mar 25, 2022
- Individual RAUM · $28.0M to $27.1MSep 15, 2021 to Mar 25, 2022
- Non-discretionary RAUM · $123M to $119MSep 15, 2021 to Mar 25, 2022
- Pension RAUM · $6.1M to $1.1MSep 15, 2021 to Mar 25, 2022
- RAUM · $383M to $447MSep 15, 2021 to Mar 25, 2022
- Advisory employees · 2 to 3Mar 3, 2021 to Jul 22, 2021
- Employees · 8 to 10Mar 3, 2021 to Jul 22, 2021
Signals
7 dated events
- M•••••• D•••• J••••• left J••••• C•••••• A••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2024-06-18)Oct 1, 2024 · Advisor changed firm · fact
- C••••••••• L•• B•••••• left J••••• C•••••• A••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2024-06-12)Jun 6, 2024 · Advisor changed firm · fact
- D•••• A•••• M•••••• left J••••• C•••••• A••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2024-06-14)Jun 6, 2024 · Advisor changed firm · fact
- 2 advisors left J••••• C•••••• A••••••• L•• (Redmond, WA) for B••••• P••••• A•••••••• L•• on the same dayJun 6, 2024 · Team lift-out · derived
- M••••• D• K••••• left J••••• C•••••• A••••••• L•• for D••••• R••••••••• P••••••• I••• (registered 2023-10-19)Aug 23, 2023 · Advisor changed firm · fact
- C••• B•••••• B••••• left J••••• C•••••• A••••••• L•• for S•• A••••••• L•• (registered 2025-05-09)Mar 16, 2023 · Advisor changed firm · fact
- J••••• C•••••• A••••••• L•• filed its initial SEC registration (Form ADV)Jun 5, 2017 · ria f•••• adv filing · 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