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
P••••••• I••••••••• M•••••••••
Legal name P•••••••• L••
Latest filing May 19, 2026
First filing on the tape Mar 7, 2022 · 7 filings
SEC status approved since Apr 7, 2022
RAUM
$170M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
84%
$143M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$170M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$170M as of May 19, 2026
Mar 8, 2023$117M then
HNW client RAUM$143M as of May 19, 2026
Mar 8, 2023$96.9M then
State-registered IARs (5.B.3)1 as of May 19, 2026
Mar 8, 20231 then
Employees (5.A)1 as of May 19, 2026
Mar 8, 20231 then
Private funds: no history
RAUM +7.8% over the last fiscal year+13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of May 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $170MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.7MderivedHNW RAUM over HNW clients
- Average account
- $2.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -14%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$143M84%
- Charitable organizations$26.3M16%
- Individual clients
- 0reported
- HNW clients
- 25reported
- Pension plan clients
- 0reported
- Charitable clients
- 3reported
- Accounts
- 64reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.16 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• P••••••••• M•••• | Seattle, Wa | May 19, 2026 | 30 y | 5 |
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
- R•••• P••••••••• M•••• from K•• F•••••••• S•••••••• I••Dec 14, 2018 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• R••••• P••••••••• · Managing Director And Ccocontrolsince 11/2018 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 67 to 64Mar 20, 2025 to Mar 9, 2026
- Charity clients · 4 to 3Mar 20, 2025 to Mar 9, 2026
- HNW clients · 29 to 25Mar 20, 2025 to Mar 9, 2026
- Assets in custody · $18.0M to $0Mar 20, 2025 to Mar 9, 2026
- Custody of client assets · true to falseMar 20, 2025 to Mar 9, 2026
- Discretionary RAUM · $157M to $170MMar 20, 2025 to Mar 9, 2026
- HNW RAUM · $135M to $143MMar 20, 2025 to Mar 9, 2026
- RAUM · $157M to $170MMar 20, 2025 to Mar 9, 2026
- Accounts · 71 to 67Mar 14, 2024 to Mar 20, 2025
- Assets in custody · $16.5M to $18.0MMar 14, 2024 to Mar 20, 2025
- Financial planning clients · unset to Mar 14, 2024 to Mar 20, 2025
- Discretionary RAUM · $144M to $157MMar 14, 2024 to Mar 20, 2025
- HNW RAUM · $123M to $135MMar 14, 2024 to Mar 20, 2025
- RAUM · $144M to $157MMar 14, 2024 to Mar 20, 2025
- Accounts · 66 to 71Mar 8, 2023 to Mar 14, 2024
- Charity clients · 2 to 4Mar 8, 2023 to Mar 14, 2024
- Corporate clients · 2 to 0Mar 8, 2023 to Mar 14, 2024
- HNW clients · 24 to 29Mar 8, 2023 to Mar 14, 2024
- Assets in custody · $9.1M to $16.5MMar 8, 2023 to Mar 14, 2024
- Discretionary RAUM · $117M to $144MMar 8, 2023 to Mar 14, 2024
- HNW RAUM · $96.9M to $123MMar 8, 2023 to Mar 14, 2024
- RAUM · $117M to $144MMar 8, 2023 to Mar 14, 2024
- Accounts · 61 to 66Mar 9, 2022 to Mar 8, 2023
- Assets in custody · $9.6M to $9.1MMar 9, 2022 to Mar 8, 2023
- Financial planning clients · 0 to unsetMar 9, 2022 to Mar 8, 2023
- Discretionary RAUM · $118M to $117MMar 9, 2022 to Mar 8, 2023
- HNW RAUM · $101M to $96.9MMar 9, 2022 to Mar 8, 2023
- RAUM · $118M to $117MMar 9, 2022 to Mar 8, 2023
Signals
1 dated events
- P••••••• I••••••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 7, 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
- Principal office phone
- 206-399-0454reportedpublic record, Form ADV, May 19, 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
- $170Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026