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 Jul 30, 2026
First filing on the tape Apr 28, 2022 · 17 filings
SEC status approved since May 27, 2022
RAUM
$211M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
100%
$211M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$42.2M
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$211M as of Jul 30, 2026
Feb 9, 2023$116M then
HNW client RAUM$126M as of Jul 30, 2026
Feb 9, 2023$55.5M then
State-registered IARs (5.B.3)6 as of Jul 30, 2026
Feb 9, 20234 then
Employees (5.A)9 as of Jul 30, 2026
Feb 9, 20236 then
Private funds: no history
RAUM +24% over the last fiscal year+22% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Jul 30, 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
- $42.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $268,221derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%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
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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 an insurance broker or agent (6.A.6)
- 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$126M60%
- Individuals$85.0M40%
- Individual clients
- 180reported
- HNW clients
- 68reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 786reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• L• A•••• | Lake Stevens, Wa | Apr 27, 2018 | 27 y | 1 |
| C••• E•••• S•••••••Certified Financial Planner, Chartered Financial Consultant | Chicago, Il | May 7, 2018 | 17 y | 2 |
| M•••••• J••• B•••••••• | Lake Stevens, Wa | Dec 10, 2019 | 10 y | 0 |
| E••••• F••••• | Lake Stevens, Wa | Dec 11, 2023 | 14 y | 1 |
| L•••• A•••• C••••• | Boise, Id | Sep 12, 2025 | 19 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 headcount1 left over 36 months
Left, latest
- J•••••• F•••• M••••• to W•••••••••Apr 10, 2024 · RIA to a state-registered adviser
Joined, latest
- E••••• F••••• from C••• F•••••••• S•••••••• L•••Dec 11, 2023 · Affiliated broker-dealer or bank to independent RIA
- C••• E•••• S••••••• from P••• A••••• S••••••••• L••May 7, 2018 · Affiliated broker-dealer or bank to independent RIA
- P••• L• A•••• from P••• A••••• S••••••••• L••Apr 27, 2018 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from P••• A••••• S••••••••• L••May 3, 2018 · Mill Creek, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• P•••• L• · Ceocontrolsince 03/2015 · owns less than 5%
- S•••••••• C•••• E•••• · President & Chief Compliance Officercontrolsince 02/2018 · owns less than 5%
- A••••• P•••• L• · Ownercontrolsince 01/2021 · owns 50% to 75% of G••••• R••••• L••
- M•••••• J••••••• F•••• · Ownercontrolsince 01/2021 · owns 75% or more of T••• C•••••• L••
- S•••••••• C•••• E•••• · Ownercontrolsince 01/2021 · owns 25% to 50% of C••••• L••
Entity owners
- C••••• L•• · Ownerdirect · owns 25% to 50%
- G••••• R••••• L•• · Ownerdirect · owns 50% to 75%
- T••• C•••••• L•• · Ownerdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Lake Stevens, Wa | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 697 to 786Nov 11, 2025 to Mar 6, 2026
- HNW clients · 81 to 68Nov 11, 2025 to Mar 6, 2026
- Individual clients · 144 to 180Nov 11, 2025 to Mar 6, 2026
- Discretionary RAUM · $150M to $179MNov 11, 2025 to Mar 6, 2026
- HNW RAUM · $104M to $126MNov 11, 2025 to Mar 6, 2026
- Individual RAUM · $65.6M to $85.0MNov 11, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $20.2M to $31.9MNov 11, 2025 to Mar 6, 2026
- RAUM · $170M to $211MNov 11, 2025 to Mar 6, 2026
- Advisory employees · 6 to 7Aug 28, 2025 to Nov 11, 2025
- Employees · 8 to 9Aug 28, 2025 to Nov 11, 2025
- State-registered IARs · 5 to 6Aug 28, 2025 to Nov 11, 2025
- Advisory employees · 5 to 6Jul 25, 2025 to Aug 28, 2025
- Employees · 7 to 8Jul 25, 2025 to Aug 28, 2025
- Financial planning clients · 251-500 to 251-500Apr 29, 2025 to Jul 25, 2025
- Accounts · 747 to 697Jan 13, 2025 to Apr 29, 2025
- HNW clients · 52 to 81Jan 13, 2025 to Apr 29, 2025
- Individual clients · 655 to 144Jan 13, 2025 to Apr 29, 2025
- Discretionary RAUM · $125M to $150MJan 13, 2025 to Apr 29, 2025
- HNW RAUM · $78.5M to $104MJan 13, 2025 to Apr 29, 2025
- Individual RAUM · $63.6M to $65.6MJan 13, 2025 to Apr 29, 2025
- Non-discretionary RAUM · $17.5M to $20.2MJan 13, 2025 to Apr 29, 2025
- RAUM · $142M to $170MJan 13, 2025 to Apr 29, 2025
- Wrap assets (manager) · $116M to $0Jan 13, 2025 to Apr 29, 2025
- HQ city · unset to Jul 15, 2024 to Jan 13, 2025
- HQ state · unset to Jul 15, 2024 to Jan 13, 2025
- HQ city · LAKE STEVENS to unsetMar 19, 2024 to Jul 3, 2024
- HQ state · WA to unsetMar 19, 2024 to Jul 3, 2024
- Wrap assets (manager) · $0 to $116MMar 19, 2024 to Jul 3, 2024
- Wrap assets (sponsor) · $142M to $0Mar 19, 2024 to Jul 3, 2024
- Accounts · 760 to 747Jan 5, 2024 to Mar 19, 2024
- HNW clients · 72 to 52Jan 5, 2024 to Mar 19, 2024
- Individual clients · 262 to 655Jan 5, 2024 to Mar 19, 2024
- Discretionary RAUM · $99.9M to $125MJan 5, 2024 to Mar 19, 2024
- HNW RAUM · $55.5M to $78.5MJan 5, 2024 to Mar 19, 2024
- Individual RAUM · $60.2M to $63.6MJan 5, 2024 to Mar 19, 2024
- Non-discretionary RAUM · $15.8M to $17.5MJan 5, 2024 to Mar 19, 2024
- RAUM · $116M to $142MJan 5, 2024 to Mar 19, 2024
- Wrap assets (sponsor) · $116M to $142MJan 5, 2024 to Mar 19, 2024
- Advisory employees · 4 to 5Feb 9, 2023 to Jan 5, 2024
- Employees · 6 to 7Feb 9, 2023 to Jan 5, 2024
Signals
3 dated events
- J•••••• F•••• M••••• left S•••• F••••••••• L•• for Windmiller (registered 2024-07-18)Apr 10, 2024 · Advisor changed firm · fact
- F•••• J•••••• M••••• (Owner) appeared on Schedule A of S•••• F••••••••• L••Dec 14, 2022 · Control person joined · fact
- S•••• F••••••••• L•• filed its initial SEC registration (Form ADV)Apr 28, 2022 · 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 phone
- 425-332-6568reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 425-698-1997reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/3042616reportedpublic record, Form ADV, Sep 18, 2026
- Website
- SFGWA.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 425-332-6568reportedpublic record, Form ADV, Jul 30, 2026
- Contact form
- sfgway.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- sfgway.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- $42.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026