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

C••••••••• W••••• S••••••••• I•••

Former SEC-registered adviserKennewick, WashingtonCRD 297491SEC 801-113703IAPD
Latest filing Jan 22, 2024
First filing on the tape Jun 27, 2018 · 13 filings
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$971M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$1.0B as of Jan 22, 2024
Jan 29, 2019$414M then
HNW client RAUM$677M as of Jan 22, 2024
Jan 29, 2019$222M then
State-registered IARs (5.B.3)6 as of Jan 22, 2024
Jan 29, 20193 then
Employees (5.A)14 as of Jan 22, 2024
Jan 29, 20198 then
Private funds: no history
RAUM +31% over the last fiscal year+9.3% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Jan 22, 2024; every figure names its basis
RAUM per advisor
$168MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
182derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$924,077derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+31%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.2%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, publications, educational seminarsreportedItem 5.G
Wrap fee program
$1.0BreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$677M67%
  • Individuals$294M29%
  • Charitable organizations$35.8M3.6%
Individual clients
794reported
HNW clients
296reported
Pension plan clients
n/areported
Charitable clients
5reported
Accounts
1,090reported
Financial planning clients
101-250reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • R••••••••• M••••••• H•••• · Chief Executive Officercontrol
    since 01/2022 · owns 75% or more
  • R••••••••• W••••••• G••• · Vice Presidentcontrol
    since 07/2015 · owns less than 5%
  • R•••• B•••• J•••• · President And Chief Compliance Officercontrol
    since 01/2021 · owns less than 5%
  • W••••• M••••••• D•••• · Chief Investment Officercontrol
    since 01/2021 · 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
OfficeAdvisorsJoinedLeftTeams outForming
Kennewick, Wa · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 1,026 to 1,090
    Aug 30, 2023 to Jan 22, 2024
  • Charity clients · unset to 5.0
    Aug 30, 2023 to Jan 22, 2024
  • HNW clients · 216 to 296
    Aug 30, 2023 to Jan 22, 2024
  • Individual clients · 810 to 794
    Aug 30, 2023 to Jan 22, 2024
  • Employees · 13 to 14
    Aug 30, 2023 to Jan 22, 2024
  • Discretionary RAUM · $770M to $1.0B
    Aug 30, 2023 to Jan 22, 2024
  • HNW RAUM · $457M to $677M
    Aug 30, 2023 to Jan 22, 2024
  • Individual RAUM · $284M to $294M
    Aug 30, 2023 to Jan 22, 2024
  • RAUM · $770M to $1.0B
    Aug 30, 2023 to Jan 22, 2024
  • Accounts · 2,391 to 1,026
    Oct 11, 2022 to Jan 31, 2023
  • Advisory employees · 8 to 10
    Oct 11, 2022 to Jan 31, 2023
  • BD registered reps · 8 to 10
    Oct 11, 2022 to Jan 31, 2023
  • Charity clients · 5.0 to unset
    Oct 11, 2022 to Jan 31, 2023
  • HNW clients · 275 to 216
    Oct 11, 2022 to Jan 31, 2023
  • Individual clients · 689 to 810
    Oct 11, 2022 to Jan 31, 2023
  • Employees · 11 to 13
    Oct 11, 2022 to Jan 31, 2023
  • State-registered IARs · 5 to 6
    Oct 11, 2022 to Jan 31, 2023
  • Discretionary RAUM · $985M to $770M
    Oct 11, 2022 to Jan 31, 2023
  • HNW RAUM · $671M to $457M
    Oct 11, 2022 to Jan 31, 2023
  • Individual RAUM · $278M to $284M
    Oct 11, 2022 to Jan 31, 2023
  • RAUM · $985M to $770M
    Oct 11, 2022 to Jan 31, 2023
  • Accounts · 2,068 to 2,391
    Jan 21, 2021 to Jan 26, 2022
  • Charity clients · 2 to 5
    Jan 21, 2021 to Jan 26, 2022
  • HNW clients · 221 to 275
    Jan 21, 2021 to Jan 26, 2022
  • Individual clients · 615 to 689
    Jan 21, 2021 to Jan 26, 2022
  • Employees · 10 to 11
    Jan 21, 2021 to Jan 26, 2022
  • Discretionary RAUM · $772M to $985M
    Jan 21, 2021 to Jan 26, 2022
  • HNW RAUM · $505M to $671M
    Jan 21, 2021 to Jan 26, 2022
  • Individual RAUM · $262M to $278M
    Jan 21, 2021 to Jan 26, 2022
  • RAUM · $772M to $985M
    Jan 21, 2021 to Jan 26, 2022
  • Wrap assets (sponsor) · $762M to $0
    Jan 21, 2021 to Jan 26, 2022
  • Accounts · 1,812 to 2,068
    Jun 1, 2020 to Jan 21, 2021
  • Advisory employees · 6 to 8
    Jun 1, 2020 to Jan 21, 2021
  • Advisory activities · 4 to 5
    Jun 1, 2020 to Jan 21, 2021
  • BD registered reps · 6 to 8
    Jun 1, 2020 to Jan 21, 2021
  • HNW clients · 170 to 221
    Jun 1, 2020 to Jan 21, 2021
  • Individual clients · 578 to 615
    Jun 1, 2020 to Jan 21, 2021
  • Employees · 8 to 10
    Jun 1, 2020 to Jan 21, 2021
  • State-registered IARs · 3 to 5
    Jun 1, 2020 to Jan 21, 2021
  • Discretionary RAUM · $556M to $772M
    Jun 1, 2020 to Jan 21, 2021
Signals
14 dated events
  • K•••••• A••••• M•••••••• left C••••••••• W••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2025-09-03)
    Aug 29, 2024 · a•••••• firm change · fact
  • M•••••• D•••• W•••• left C••••••••• W••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2024-06-14)
    Aug 29, 2024 · a•••••• firm change · fact
  • M•••••• H•••• R••••••••• left C••••••••• W••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2024-06-14)
    Aug 29, 2024 · a•••••• firm change · fact
  • C••••••••• W••••• S••••••••• I•••'s advisors moved to L•• F•••••••• L•• (Kennewick, WA): 3 of 3 registered, on the same day
    Aug 29, 2024 · Firm absorbed (people side) · derived
  • E•••• R•••••• M•••••••• left C••••••••• W••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2025-09-03)
    Jul 12, 2024 · a•••••• firm change · fact
  • C•••••• M••• B•••• left C••••••••• W••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2024-06-14)
    Jul 12, 2024 · a•••••• firm change · fact
  • T•••• R•• S•••• left C••••••••• W••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2024-06-14)
    Jul 12, 2024 · a•••••• firm change · fact
  • J••• D•••• O•••• left C••••••••• W••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2024-06-14)
    Jul 12, 2024 · a•••••• firm change · fact
  • C••••••••• W••••• S••••••••• I•••'s advisors moved to L•• F•••••••• L•• (Kennewick, WA): 4 of 7 registered, on the same day
    Jul 12, 2024 · Firm absorbed (people side) · derived
  • C••••••••• W••••• S••••••••• I••• reported RAUM $1.0B, up 31% from $770.3M (2023-08-30 to 2024-01-22)
    Jan 22, 2024 · RAUM change · derived
  • C••••••••• W••••• S••••••••• I••• reported RAUM $985.2M, up 28% from $772.4M (2021-01-21 to 2022-01-26)
    Jan 26, 2022 · RAUM change · derived
  • C••••••••• W••••• S••••••••• I••• reported RAUM $772.4M, up 39% from $556.3M (2020-06-01 to 2021-01-21)
    Jan 21, 2021 · RAUM change · derived
  • C••••••••• W••••• S••••••••• I••• reported RAUM $556.3M, up 35% from $413.6M (2019-06-17 to 2020-01-23)
    Jan 23, 2020 · RAUM change · derived
  • C••••••••• W••••• S••••••••• I••• filed its initial SEC registration (Form ADV)
    Jun 27, 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.
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