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
Paul R. Ried Financial Group, LLC
Latest filing Mar 3, 2026
First filing on the tape Jul 6, 2018 · 23 filings
SEC status approved since Aug 3, 2018
RAUM
$1.3B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$1.3B individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$141M
derived; firm RAUM over IAPD count
Employees
12
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$1.3B as of Mar 3, 2026
Feb 20, 2019$610M then
HNW client RAUM$939M as of Mar 3, 2026
Feb 20, 2019$392M then
State-registered IARs (5.B.3)9 as of Mar 3, 2026
Feb 20, 20197 then
Employees (5.A)12 as of Mar 3, 2026
Feb 20, 20199 then
Private funds: no history
RAUM +19% over the last fiscal year+13% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Mar 3, 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
- $141MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 118derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $504,046derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 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
- +2.1%derived
- Compensation
- percentage of assets, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$939M74%
- Individuals$329M26%
- Charitable organizations$423,8510.0%
- Individual clients
- 658reported
- HNW clients
- 401reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 2,516reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- 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
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Adam Jordan | Bellevue, Wa | Aug 16, 2018 | 24 y | 2 |
| Jason Paul Miller | Bellevue, Wa | Aug 16, 2018 | 21 y | 2 |
| Kelly Andrew KolstadCertified Financial Planner | Bellevue, Wa | Aug 16, 2018 | 15 y | 3 |
| Timothy Ross KimmelCertified Financial Planner | Bellevue, Wa | Aug 16, 2018 | 34 y | 2 |
| Paul Richard RiedCertified Financial Planner | Bellevue, Wa | Aug 17, 2018 | 40 y | 2 |
| Stanley Theodore Woodrome | Bellevue, Wa | Jul 27, 2020 | 11 y | 0 |
| Georgia Ann Maloy | Bellevue, Wa | Apr 11, 2023 | 21 y | 1 |
| Kenneth Wayne PowellCertified Financial Planner | Bellevue, Wa | Oct 18, 2023 | 21 y | 0 |
| Daniel Yinfu Shen | Bellevue, Wa | Nov 17, 2025 | 10 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
- James Ross Mcbarron to Pacific Sage Partners, LLCSep 8, 2023 · RIA to RIA
- Darren Dindinger to Allworth Financial, L.P.Sep 13, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- Georgia Ann Maloy from Coldstream Wealth ManagementApr 11, 2023 · RIA to RIA
- Paul Richard Ried from Cetera Advisor Networks LLCAug 17, 2018 · Other
- Timothy Ross Kimmel from Cetera Advisor Networks LLCAug 16, 2018 · Other
- Adam Jordan from Cetera Advisor Networks LLCAug 16, 2018 · Other
- Darren Dindinger from Cetera Advisor Networks LLCAug 16, 2018 · Other
- Kelly Andrew Kolstad from Cetera Advisor Networks LLCAug 16, 2018 · Other
- Jason Paul Miller from Cetera Advisor Networks LLCAug 16, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from Cetera Advisor Networks LLCJun 29, 2023 · Bellevue, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Adam Jordan · Ccocontrolsince 05/2018 · owns less than 5%
- Richard Paul Ried · President/Ceocontrolsince 07/1986 · 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 |
|---|---|---|---|---|---|
| Bellevue, Wa · principal | 9 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 3, 2026RIED, PAUL, RICHARD (PRESIDENT/CEO) left Schedule A between the filings of 2018-07-06 and 2026-03-03peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 2,496 to 2,516Feb 24, 2025 to Mar 3, 2026
- Advisory employees · 9 to 8Feb 24, 2025 to Mar 3, 2026
- HNW clients · 347 to 401Feb 24, 2025 to Mar 3, 2026
- Individual clients · 690 to 658Feb 24, 2025 to Mar 3, 2026
- Employees · 10 to 12Feb 24, 2025 to Mar 3, 2026
- Discretionary RAUM · $1.1B to $1.3BFeb 24, 2025 to Mar 3, 2026
- HNW RAUM · $734M to $939MFeb 24, 2025 to Mar 3, 2026
- Individual RAUM · $327M to $329MFeb 24, 2025 to Mar 3, 2026
- Non-discretionary RAUM · $10.1M to $10.9MFeb 24, 2025 to Mar 3, 2026
- RAUM · $1.1B to $1.3BFeb 24, 2025 to Mar 3, 2026
- Accounts · 2,442 to 2,496Nov 18, 2024 to Feb 24, 2025
- Advisory employees · 7 to 9Nov 18, 2024 to Feb 24, 2025
- BD registered reps · 5 to 0Nov 18, 2024 to Feb 24, 2025
- HNW clients · 317 to 347Nov 18, 2024 to Feb 24, 2025
- Individual clients · 733 to 690Nov 18, 2024 to Feb 24, 2025
- Employees · 8 to 10Nov 18, 2024 to Feb 24, 2025
- Insurance-licensed employees · 5 to 0Nov 18, 2024 to Feb 24, 2025
- Financial planning clients · 0 to 0Nov 18, 2024 to Feb 24, 2025
- State-registered IARs · 7 to 9Nov 18, 2024 to Feb 24, 2025
- Discretionary RAUM · $972M to $1.1BNov 18, 2024 to Feb 24, 2025
- HNW RAUM · $637M to $734MNov 18, 2024 to Feb 24, 2025
- Individual RAUM · $343M to $327MNov 18, 2024 to Feb 24, 2025
- Non-discretionary RAUM · $8.8M to $10.1MNov 18, 2024 to Feb 24, 2025
- RAUM · $981M to $1.1BNov 18, 2024 to Feb 24, 2025
- Accounts · 2,308 to 2,442Mar 9, 2023 to Mar 22, 2024
- Charity clients · unset to 1.0Mar 9, 2023 to Mar 22, 2024
- HNW clients · 271 to 317Mar 9, 2023 to Mar 22, 2024
- Individual clients · 742 to 733Mar 9, 2023 to Mar 22, 2024
- Discretionary RAUM · $868M to $972MMar 9, 2023 to Mar 22, 2024
- HNW RAUM · $521M to $637MMar 9, 2023 to Mar 22, 2024
- Individual RAUM · $353M to $343MMar 9, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $8.0M to $8.8MMar 9, 2023 to Mar 22, 2024
- RAUM · $876M to $981MMar 9, 2023 to Mar 22, 2024
- Accounts · 2,241 to 2,308Mar 4, 2022 to Mar 9, 2023
- Advisory employees · 9 to 7Mar 4, 2022 to Mar 9, 2023
- BD registered reps · 7 to 5Mar 4, 2022 to Mar 9, 2023
- HNW clients · 321 to 271Mar 4, 2022 to Mar 9, 2023
- Individual clients · 687 to 742Mar 4, 2022 to Mar 9, 2023
- Employees · 10 to 8Mar 4, 2022 to Mar 9, 2023
- Insurance-licensed employees · 7 to 5Mar 4, 2022 to Mar 9, 2023
Signals
4 dated events
- James Ross Mcbarron left Paul R. Ried Financial Group, Llc for Pacific Sage Partners, Llc (registered 2023-10-02)Sep 8, 2023 · Advisor changed firm · fact
- 5 advisors left Cetera Advisor Networks LLC (Bellevue, WA) for Paul R. Ried Financial Group, LLC on the same dayJun 29, 2023 · Team lift-out · derived
- Darren Dindinger left Paul R. Ried Financial Group, Llc for Allworth Financial, L.P. (registered 2023-07-25)Sep 13, 2022 · Advisor changed firm · fact
- Paul R. Ried Financial Group, Llc filed its initial SEC registration (Form ADV)Jul 6, 2018 · 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
- info@paulried.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- georgianm@paulried.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- mylissas@paulried.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- oliverv@paulried.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- rochelles@paulried.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- tigeo@paulried.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 425-451-2453reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 425-646-6777reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/PAUL-RIED-FINANCIAL-GROUP-LLCreportedpublic record, Form ADV, Sep 17, 2026
- Website
- PAULRIED.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 425-646-6777reportedpublic record, Form ADV, Mar 3, 2026
- Contact form
- paulried.com/p/contact-usreportedpublished 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
- $141Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026