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
M••••• N••••• • C••• I•••
Latest filing Aug 17, 2026
First filing on the tape Dec 8, 2021 · 10 filings
SEC status approved since Jan 11, 2022
RAUM
$287M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$287M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$57.5M
derived; firm RAUM over IAPD count
Employees
9
4 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$287M as of Aug 17, 2026
Mar 14, 2023$159M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 17, 2026
Mar 14, 20230 then
Employees (5.A)9 as of Aug 17, 2026
Mar 14, 20237 then
Private funds: no history
RAUM +11% over the last fiscal year+22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- 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
- $57.5MderivedRAUM 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
- $680,910derivedRAUM 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
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
- is a broker-dealer (6.A.1)
- 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
- Individuals$287M100%
- Individual clients
- 422reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 422reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=8.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••• O••••• N••••• | Seattle, Wa | May 14, 2013 | 53 y | 0 |
| S••••• E•••• R••••• K••••• | Seattle, Wa | Jul 29, 2020 | 27 y | 0 |
| S•••• T••••• M•••••••• | Seattle, Wa | Nov 5, 2021 | 16 y | 0 |
| M•••••• E•••••• E•••••• | Seattle, Wa | Dec 26, 2025 | 13 y | 0 |
| J••• P•••• J••••• | Seattle, Wa | Feb 27, 2026 | 14 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
- A•••••••• M•••••• L•••• to U••• B•••••• I••••••••• I•••Apr 23, 2015 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••• M••••• O••••• J• · President/Ccocontrolsince 10/1970 · owns 75% or more
- K•••••• S••••• E•••• R••••• · Secretary/Treasurersince 10/2004 · owns less than 5%
- M••••••••• S•••• T••••• · Vice Presidentsince 04/2022 · owns less than 5%
- N•••••• V•••• A•• · Directorsince 02/1999 · owns less than 5%
- R•••••• F••••••• L•••• · Vice Presidentsince 12/2003 · 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 |
|---|---|---|---|---|---|
| Seattle, Wa · principal | 5 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Aug 17, 2026selection of other advisers (Item 5.G.7): no on the filing of 2026-03-03, yes on the filing of 2026-08-17peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory activities · 2 to 3Mar 3, 2026 to Aug 17, 2026
- Accounts · 392 to 422Nov 11, 2025 to Mar 3, 2026
- Advisory employees · 2 to 4Nov 11, 2025 to Mar 3, 2026
- BD registered reps · 6 to 8Nov 11, 2025 to Mar 3, 2026
- Individual clients · 392 to 422Nov 11, 2025 to Mar 3, 2026
- Employees · 7 to 9Nov 11, 2025 to Mar 3, 2026
- Discretionary RAUM · $260M to $287MNov 11, 2025 to Mar 3, 2026
- Individual RAUM · $260M to $287MNov 11, 2025 to Mar 3, 2026
- RAUM · $260M to $287MNov 11, 2025 to Mar 3, 2026
- Financial planning clients · 0 to 0Feb 4, 2025 to Nov 11, 2025
- Accounts · 337 to 392Jul 23, 2024 to Feb 4, 2025
- Individual clients · 330 to 392Jul 23, 2024 to Feb 4, 2025
- Discretionary RAUM · $208M to $260MJul 23, 2024 to Feb 4, 2025
- Individual RAUM · $208M to $260MJul 23, 2024 to Feb 4, 2025
- RAUM · $208M to $260MJul 23, 2024 to Feb 4, 2025
- Accounts · 273 to 337Mar 14, 2023 to Feb 29, 2024
- Individual clients · 273 to 330Mar 14, 2023 to Feb 29, 2024
- Discretionary RAUM · $159M to $208MMar 14, 2023 to Feb 29, 2024
- Individual RAUM · $159M to $208MMar 14, 2023 to Feb 29, 2024
- RAUM · $159M to $208MMar 14, 2023 to Feb 29, 2024
- Accounts · 155 to 273Jan 12, 2022 to Mar 14, 2023
- BD registered reps · 8 to 6Jan 12, 2022 to Mar 14, 2023
- Individual clients · 160 to 273Jan 12, 2022 to Mar 14, 2023
- Employees · 9 to 7Jan 12, 2022 to Mar 14, 2023
- Discretionary RAUM · $108M to $159MJan 12, 2022 to Mar 14, 2023
- Individual RAUM · $108M to $159MJan 12, 2022 to Mar 14, 2023
- RAUM · $108M to $159MJan 12, 2022 to Mar 14, 2023
Signals
1 dated events
- M••••• N••••• • C••• I••• filed its initial SEC registration (Form ADV)Dec 8, 2021 · 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
- compliance@martinnelsonco.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 206-682-6261reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-543-3332reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/martin-nelson-&-co.-inc.reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 206-682-6261reportedpublic record, Form ADV, Aug 17, 2026
- Team page
- martinnelsonco.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $57.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026