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
C••••••••• I•••••••• S•••••••• I•••
Latest filing Jul 7, 2026
First filing on the tape Oct 21, 2021 · 28 filings
SEC status approved since Nov 22, 2021
RAUM
$197M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$191M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$21.9M
derived; firm RAUM over IAPD count
Employees
14
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$197M as of Jul 7, 2026
Sep 21, 2022$98.5M then
HNW client RAUM$0 as of Jul 7, 2026
Sep 21, 2022$0 then
State-registered IARs (5.B.3)8 as of Jul 7, 2026
Sep 21, 20228 then
Employees (5.A)14 as of Jul 7, 2026
Sep 21, 202216 then
Private funds: no history
RAUM +29% over the last fiscal yearIARs 9 to 8
Practice profile
derived from the filing of Jul 7, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $21.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $325,277derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 4.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.7%derived
- Compensation
- percentage of assets, commissionsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$191M97%
- Charitable organizations$5.6M2.8%
- Individual clients
- 602reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 3reported
- Accounts
- 605reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, commissionsreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=14.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•• B•••• K••• | Longview, Wa | Nov 20, 2012 | 35 y | 0 |
| B•••• J••• T••••••• | Longview, Wa | Jan 3, 2013 | 34 y | 0 |
| D••••• M••••• W•••• | Caldwell, Id | May 7, 2014 | 26 y | 1 |
| A••• M• W••• | Longview, Wa | Jun 12, 2018 | 20 y | 0 |
| M••••••• F•••••• E•• | Longview, Wa | Dec 11, 2018 | 31 y | 0 |
| D•••• K•• M••••• | Longview, Wa | Feb 7, 2019 | 26 y | 3 |
| R••••• L•••••• N••• | Longview, Wa | Oct 15, 2020 | 42 y | 2 |
| M•••••• D••••• B••••••••• | Caldwell, Id | Mar 29, 2023 | 18 y | 0 |
| S••••• G•••••• H••• | Caldwell, Id | May 1, 2026 | 11 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••• D••• H•••••••• to E••••• J••••May 31, 2024 · RIA to affiliated broker-dealer or bank
- K•••• S•••••• P••• to A•••••• A••••••• S•••••••Aug 11, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- R••••• L•••••• N••• from B• R•••• W••••• M•••••••••Oct 15, 2020 · Affiliated broker-dealer or bank to independent RIA
- D•••• K•• M••••• from S••••••••• I••••••••• I••Feb 7, 2019 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••• M••••••• F•••••• · Chief Financial Officercontrolsince 01/2023 · owns less than 5%
- K•••• M•• B•••• · President, Ceo/Director,Ccocontrolsince 06/2013 · owns 50% to 75%
- T•••••••• B•••• J••• · Shareholdersince 12/1993 · owns 25% to 50%
Related persons
Schedule D 7.A
- D•• N•••••••• F•••••••• S•••••••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Longview, Wa · principal | 6 | 0 | 0 | ||
| Caldwell, Id | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Caldwell, ID3 employees
What changed
consecutive filings, newest first
- Accounts · 687 to 605Sep 29, 2025 to Dec 1, 2025
- Individual clients · 684 to 602Sep 29, 2025 to Dec 1, 2025
- Discretionary RAUM · $170M to $197MSep 29, 2025 to Dec 1, 2025
- Individual RAUM · $164M to $191MSep 29, 2025 to Dec 1, 2025
- RAUM · $170M to $197MSep 29, 2025 to Dec 1, 2025
- Financial planning clients · 0 to 0Aug 25, 2025 to Sep 29, 2025
- Accounts · 656 to 687Jun 28, 2024 to Sep 27, 2024
- Advisory employees · 9 to 8Jun 28, 2024 to Sep 27, 2024
- BD registered reps · 16 to 14Jun 28, 2024 to Sep 27, 2024
- Individual clients · 653 to 684Jun 28, 2024 to Sep 27, 2024
- Employees · 16 to 14Jun 28, 2024 to Sep 27, 2024
- State-registered IARs · 9 to 8Jun 28, 2024 to Sep 27, 2024
- Discretionary RAUM · $152M to $170MJun 28, 2024 to Sep 27, 2024
- Individual RAUM · $147M to $164MJun 28, 2024 to Sep 27, 2024
- RAUM · $152M to $170MJun 28, 2024 to Sep 27, 2024
- Accounts · 736 to 656Apr 21, 2023 to Sep 25, 2023
- Advisory employees · 8 to 9Apr 21, 2023 to Sep 25, 2023
- Charity clients · 2 to 3Apr 21, 2023 to Sep 25, 2023
- Individual clients · 736 to 653Apr 21, 2023 to Sep 25, 2023
- State-registered IARs · 8 to 9Apr 21, 2023 to Sep 25, 2023
- Discretionary RAUM · $112M to $152MApr 21, 2023 to Sep 25, 2023
- Individual RAUM · $108M to $147MApr 21, 2023 to Sep 25, 2023
- RAUM · $112M to $152MApr 21, 2023 to Sep 25, 2023
- Accounts · 729 to 736Jan 9, 2023 to Jan 19, 2023
- Individual clients · 729 to 736Jan 9, 2023 to Jan 19, 2023
- Commission compensation · false to trueJan 9, 2023 to Jan 19, 2023
- Discretionary RAUM · $98.5M to $112MJan 9, 2023 to Jan 19, 2023
- Individual RAUM · $94.5M to $108MJan 9, 2023 to Jan 19, 2023
- RAUM · $98.5M to $112MJan 9, 2023 to Jan 19, 2023
- Accounts · 669 to 729Sep 15, 2022 to Sep 21, 2022
- Individual clients · 669 to 729Sep 15, 2022 to Sep 21, 2022
- Discretionary RAUM · $113M to $98.5MSep 15, 2022 to Sep 21, 2022
- Individual RAUM · $109M to $94.5MSep 15, 2022 to Sep 21, 2022
- RAUM · $113M to $98.5MSep 15, 2022 to Sep 21, 2022
- Accounts · 533 to 669Dec 21, 2021 to Jan 4, 2022
- Charity clients · 0 to 2Dec 21, 2021 to Jan 4, 2022
- Individual clients · 553 to 669Dec 21, 2021 to Jan 4, 2022
- Pension plan clients · 2 to 0Dec 21, 2021 to Jan 4, 2022
- Discretionary RAUM · $100M to $113MDec 21, 2021 to Jan 4, 2022
- Individual RAUM · $96.3M to $109MDec 21, 2021 to Jan 4, 2022
Signals
4 dated events
- J••• D••• H•••••••• left C••••••••• I•••••••• S•••••••• I••• for E••••• J•••• (registered 2024-05-31)May 31, 2024 · Advisor changed firm · fact
- M••••••• F•••••• E•• (Chief Financial Officer) appeared on Schedule A of C••••••••• I•••••••• S•••••••• I•••Jan 19, 2023 · Control person joined · fact
- Debra Anne Millard (Chief Financial Officer) no longer on Schedule A of C••••••••• I•••••••• S•••••••• I••• (listed 2023-01-09, absent 2023-01-19)Jan 19, 2023 · Control person left · inference
- C••••••••• I•••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)Oct 21, 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
- j•••••@c••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- a••••@c••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- b•••••••@c••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- d•••••••@c••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- d••••••@c••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- r•••••••@c••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- t••••••@c••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 208-459-1100reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 208-514-8418reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 208-941-5446reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.c••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 360-423-5110reportedpublic record, Form ADV, Jul 7, 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
- $21.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026