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
P••••••• W•••••• L••
Latest filing Jul 22, 2026
First filing on the tape Dec 10, 2025 · 3 filings
SEC status approved since Dec 1, 2025
RAUM
$111M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$90.1M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$15.8M
derived; firm RAUM over IAPD count
Employees
8
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$111M as of Jul 22, 2026
Dec 10, 2025$100M then
HNW client RAUM$74.1M as of Jul 22, 2026
Dec 10, 2025$70.5M then
State-registered IARs (5.B.3)7 as of Jul 22, 2026
Dec 10, 20257 then
Employees (5.A)8 as of Jul 22, 2026
Dec 10, 20258 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 22, 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
- RAUM per advisor
- $15.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 11derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $363,670derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$74.1M67%
- Other investment advisers$20.4M18%
- Individuals$16.0M14%
- Charitable organizations$55,0650.0%
- Corporations and businesses$26,5510.0%
- Individual clients
- 38reported
- HNW clients
- 42reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 304reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.81 fund_share=0.18 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• M•••••• F•••••••Certified Financial Planner | Seattle, Wa | Apr 26, 2018 | 13 y | 0 |
| M••••• J•••• M••••• | Seattle, Wa | Apr 26, 2018 | 20 y | 1 |
| S•••• M• J•••• | Seattle, Wa | Dec 20, 2022 | 14 y | 0 |
| P••••••• N••• D• L• M•••• | Seattle, Wa | Jul 15, 2024 | 10 y | 0 |
| J•••• H• T•••• | Seattle, Wa | Feb 25, 2025 | 21 y | 0 |
| M•••••• W•••••• B••••••• | San Jose, Ca | Mar 6, 2025 | 28 y | 1 |
| V•••••• S•••••••••Certified Financial Planner | Seattle, Wa | Dec 5, 2025 | 11 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- V•••••• S••••••••• from C••••••••Dec 5, 2025 · Other
- M•••••• W•••••• B••••••• from C•••••• F••••••••Mar 6, 2025 · Other
- M••••• J•••• M••••• from A••••••••• F•••••••• S•••••••• L••Apr 26, 2018 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••••• E•••• M•••••• · Cco / Managing Principalcontrolsince 07/2017 · 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 |
|---|---|---|---|---|---|
| Seattle, Wa | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 278 to 304Dec 10, 2025 to Mar 29, 2026
- HNW clients · 41 to 42Dec 10, 2025 to Mar 29, 2026
- Individual clients · 37 to 38Dec 10, 2025 to Mar 29, 2026
- Financial planning clients · 26-50 to 51-100Dec 10, 2025 to Mar 29, 2026
- Discretionary RAUM · $100M to $111MDec 10, 2025 to Mar 29, 2026
- HNW RAUM · $70.5M to $74.1MDec 10, 2025 to Mar 29, 2026
- Individual RAUM · $11.9M to $16.0MDec 10, 2025 to Mar 29, 2026
- RAUM · $100M to $111MDec 10, 2025 to Mar 29, 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
- Business phone
- 425-749-5544reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/75597088reportedpublic record, Form ADV, Sep 19, 2026
- Website
- phildlm.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 971-716-1991reportedpublic record, Form ADV, Jul 22, 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
- $15.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026