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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Latest filing Feb 3, 2026
First filing on the tape Sep 18, 2020 · 8 filings
SEC status approved since Mar 18, 2025
RAUM
$124M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$124M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$41.4M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$124M as of Feb 3, 2026
Feb 24, 2021$62.4M then
HNW client RAUM$100M as of Feb 3, 2026
Feb 24, 2021$38.4M then
State-registered IARs (5.B.3)2 as of Feb 3, 2026
Feb 24, 20212 then
Employees (5.A)2 as of Feb 3, 2026
Feb 24, 20212 then
Private funds: no history
RAUM +9.3% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 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
- $41.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $410,340derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $2.4M, 101 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$100M80%
- Individuals$23.8M19%
- Charitable organizations$465,4350.4%
- Corporations and businesses$120.0%
- Individual clients
- 51reported
- HNW clients
- 49reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 303reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.4M for 101 clientsreported
- 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=1.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W••••• W•••••• S•••••••• | Snohomish, Wa | Oct 27, 2020 | 54 y | 1 |
| T••• W•••••• S••••••••Certified Financial Planner | Snohomish, Wa | Nov 3, 2020 | 36 y | 1 |
| H•••• J••••• S•••••••• | Snohomish, Wa | May 31, 2025 | 9 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
none on the tape
Joined, latest
- T••• W•••••• S•••••••• from K•• F•••••••• S•••••••• I••Nov 3, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- W••••• W•••••• S•••••••• from K•• F•••••••• S•••••••• I••Oct 27, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• T•••• W•••••• · President And Ccocontrolsince 07/2018 · 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 |
|---|---|---|---|---|---|
| Snohomish, Wa | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 306 to 303Mar 20, 2025 to Feb 3, 2026
- HNW clients · 47 to 49Mar 20, 2025 to Feb 3, 2026
- Individual clients · 54 to 51Mar 20, 2025 to Feb 3, 2026
- Assets in custody · $235,188 to $2.4MMar 20, 2025 to Feb 3, 2026
- Financial planning clients · 11-25 to 1-10Mar 20, 2025 to Feb 3, 2026
- Discretionary RAUM · $114M to $124MMar 20, 2025 to Feb 3, 2026
- HNW RAUM · $86.5M to $100MMar 20, 2025 to Feb 3, 2026
- Individual RAUM · $26.9M to $23.8MMar 20, 2025 to Feb 3, 2026
- RAUM · $114M to $124MMar 20, 2025 to Feb 3, 2026
- Accounts · 181 to 306Mar 2, 2021 to Mar 20, 2025
- Advisory employees · 2 to 1Mar 2, 2021 to Mar 20, 2025
- Advisory activities · 3 to 4Mar 2, 2021 to Mar 20, 2025
- BD registered reps · 2 to 1Mar 2, 2021 to Mar 20, 2025
- Charity clients · 0.0 to unsetMar 2, 2021 to Mar 20, 2025
- Corporate clients · 0.0 to unsetMar 2, 2021 to Mar 20, 2025
- HNW clients · 30 to 47Mar 2, 2021 to Mar 20, 2025
- Assets in custody · $232,959 to $235,188Mar 2, 2021 to Mar 20, 2025
- Financial planning clients · 0 to 11-25Mar 2, 2021 to Mar 20, 2025
- HQ city · unset to Mar 2, 2021 to Mar 20, 2025
- HQ state · unset to Mar 2, 2021 to Mar 20, 2025
- Discretionary RAUM · $62.4M to $114MMar 2, 2021 to Mar 20, 2025
- HNW RAUM · $38.4M to $86.5MMar 2, 2021 to Mar 20, 2025
- Individual RAUM · $23.9M to $26.9MMar 2, 2021 to Mar 20, 2025
- RAUM · $62.4M to $114MMar 2, 2021 to Mar 20, 2025
- Accounts · 0 to 181Jan 8, 2021 to Feb 24, 2021
- HNW clients · 0 to 30Jan 8, 2021 to Feb 24, 2021
- Individual clients · 0 to 54Jan 8, 2021 to Feb 24, 2021
- Assets in custody · unset to 232959.0Jan 8, 2021 to Feb 24, 2021
- Custody of client assets · false to trueJan 8, 2021 to Feb 24, 2021
- Discretionary RAUM · $0 to $62.4MJan 8, 2021 to Feb 24, 2021
- HNW RAUM · $0 to $38.4MJan 8, 2021 to Feb 24, 2021
- Individual RAUM · $0 to $23.9MJan 8, 2021 to Feb 24, 2021
- RAUM · $0 to $62.4MJan 8, 2021 to Feb 24, 2021
- Other offices · 0 to 1Sep 18, 2020 to Oct 28, 2020
Signals
1 dated events
- S••• F••••••••• L•• filed its initial SEC registration (Form ADV)Sep 18, 2020 · 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
- Principal office phone
- 425-605-9533reportedpublic record, Form ADV, Feb 3, 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
- $41.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026