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

S••••••••• 4•••

No RAUM reportedSeattle, WashingtonCRD 300537SEC 801-115195websiteIAPD
Legal name S••••••••• A•••••••• L••
Latest filing Jun 8, 2026
First filing on the tape Apr 1, 2019 · 15 filings
SEC status approved since May 3, 2019
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
17
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
35
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$0 as of Jun 8, 2026
Jun 25, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)15 as of Jun 8, 2026
Jun 1, 202011 then
Employees (5.A)35 as of Jun 8, 2026
Jun 1, 202030 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 16 to 15
Practice profile
derived from the filing of Jun 8, 2026; every figure names its basis
Archetypes, each a printed rule
  • Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
RAUM per advisor
$0derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.1derivedItem 5.A over advisors
Advisors per office
17.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
pension consulting, educational seminarsreportedItem 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 trust company (6.A.8)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
5,500reported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
17 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R••••• T•••• M•••••Chartered Financial AnalystBozeman, Mt Jul 16, 201924 y1
C•••••• J••• G•••••••Seattle, Wa Jul 16, 201937 y1
S••••• R••••• R••••••••Seattle, WaJul 31, 201920 y1
V•••• H••••Seattle, WaAug 2, 201911 y1
N••••••• G••••• T••••••••Seattle, WaAug 2, 201919 y2
P••• M••••• H••••••Seattle, WaAug 7, 201914 y1
P•••••• C•••••• D•••••Seattle, Wa Aug 15, 201911 y1
G•••••• W••••• S•••••Chartered Financial AnalystSeattle, WaSep 30, 201922 y1
S••• J••• A•••••Seattle, Wa Jan 16, 202028 y5
R••• B•• M• O•••Seattle, WaJul 19, 202119 y0
S••••• L••• O••••Woodlands, TxDec 6, 202132 y5
M•••••• D••• M••••••Seattle, WaFeb 21, 202216 y0
D••••• M•••••••• V•••••Seattle, WaMar 24, 202213 y1
R•••• D•••••• J•••••Seattle, WaJun 6, 202221 y0
C••••••••• K•••• W••••••••Richmond, Va Apr 19, 202330 y11
J•••• W• K•••Seattle, WaNov 6, 202316 y0
C••••• J•••• L•••••Seattle, WaDec 8, 202314 y2
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 5.9% of current headcount1 left over 36 months
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••••••••• S•••••• R••••• · Ceo & Ccocontrol
      since 12/2018 · owns less than 5%
    • R••••••••• S•••••• R••••• · Ceocontrol
      since 11/2018 · owns 25% to 50% of S••••••••• I••
    Entity owners
    • S••••••••• I•• · Parent Company
      direct · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Seattle, Wa · principal1601
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · 5 to 4
      Dec 12, 2025 to Jun 8, 2026
    • Employees · 36 to 35
      Dec 12, 2025 to Jun 8, 2026
    • State-registered IARs · 16 to 15
      Dec 12, 2025 to Jun 8, 2026
    • Accounts · unset to 0.0
      May 20, 2024 to Jun 25, 2025
    • Financial planning clients · unset to
      May 20, 2024 to Jun 25, 2025
    • Discretionary RAUM · unset to 0.0
      May 20, 2024 to Jun 25, 2025
    • Non-discretionary RAUM · unset to 0.0
      May 20, 2024 to Jun 25, 2025
    • RAUM · unset to 0.0
      May 20, 2024 to Jun 25, 2025
    • Employees · 30 to 36
      Nov 15, 2023 to May 15, 2024
    • Pension plan clients · 5,200 to 5,500
      Sep 19, 2022 to Jun 13, 2023
    • State-registered IARs · 14 to 16
      Sep 19, 2022 to Jun 13, 2023
    • Advisory employees · 4 to 5
      Sep 19, 2022 to Jun 13, 2023
    • Pension plan clients · 5,400 to 5,200
      May 11, 2021 to May 11, 2022
    • State-registered IARs · 11 to 14
      May 11, 2021 to May 11, 2022
    • Advisory employees · 3 to 4
      Jun 2, 2020 to May 11, 2021
    • Pension plan clients · 5,200 to 5,400
      Aug 8, 2019 to Jun 1, 2020
    Signals
    3 dated events
    • J•••• T••••••• S••• left S••••••••• 4••• for Forusall (registered 2026-03-18)
      Mar 9, 2026 · Advisor changed firm · fact
    • S•••••• B••••••• T••••• left S••••••••• 4••• for C••••••••• W•••••• L•• (registered 2022-11-22)
      Mar 7, 2022 · Advisor changed firm · fact
    • S••••••••• 4••• filed its initial SEC registration (Form ADV)
      Apr 1, 2019 · 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
    Website
    sharebuilder401k.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    425-213-9035reportedpublic record, Form ADV, Jun 8, 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
    No RAUM reportedderiveda 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