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••• A•••••••• L••
Latest filing Jan 8, 2026
First filing on the tape Apr 12, 2019 · 21 filings
SEC status approved since May 13, 2019
RAUM
$575M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
90%
$518M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$144M
derived; firm RAUM over IAPD count
Employees
11
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$575M as of Jan 8, 2026
Jan 30, 2020$207M then
HNW client RAUM$375M as of Jan 8, 2026
Jan 30, 2020$101M then
State-registered IARs (5.B.3)4 as of Jan 8, 2026
Jan 30, 20204 then
Employees (5.A)11 as of Jan 8, 2026
Jan 30, 20209 then
Private funds: no history
RAUM +19% over the last fiscal year+16% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jan 8, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $144MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 169derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $833,547derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 9.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 1.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$375M65%
- Individuals$143M25%
- Pension and profit-sharing plans$54.5M9.5%
- Charitable organizations$2.5M0.4%
- Individual clients
- 525reported
- HNW clients
- 150reported
- Pension plan clients
- 13reported
- Charitable clients
- 2reported
- Accounts
- 690reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• D••••• C•••Certified Financial Planner, Chartered Financial Analyst | Edmonds, Wa | May 28, 2019 | 21 y | 1 |
| M••••••• L•••• G•••••Certified Financial Planner | Edmonds, Wa | May 28, 2019 | 12 y | 1 |
| R•••••• D•••• C•••Chartered Financial Consultant | Edmonds, Wa | May 28, 2019 | 40 y | 2 |
| M•••••• R•••••• B••• | Edmonds, Wa | May 5, 2021 | 10 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
- J••••• D••••• C••• from K•• F•••••••• S•••••••• I••May 28, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- M••••••• L•••• G••••• from K•• F•••••••• S•••••••• I••May 28, 2019 · Other
- R•••••• D•••• C••• from K•• F•••••••• S•••••••• I••May 28, 2019 · 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
- C•••• R••••••• D•••• · Managercontrolsince 01/2001 · owns 75% or more
- H••••• M••••••• J••••• · Chief Compliance Officercontrolsince 04/2019 · owns less than 5%
- C•••• J•••••• D••••• · Membersince 06/2018 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Edmonds, Wa · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 674 to 690Jan 3, 2025 to Jan 8, 2026
- Charity clients · 0 to 2Jan 3, 2025 to Jan 8, 2026
- HNW clients · 137 to 150Jan 3, 2025 to Jan 8, 2026
- Individual clients · 537 to 525Jan 3, 2025 to Jan 8, 2026
- Pension plan clients · 0 to 13Jan 3, 2025 to Jan 8, 2026
- Employees · 10 to 11Jan 3, 2025 to Jan 8, 2026
- Discretionary RAUM · $450M to $536MJan 3, 2025 to Jan 8, 2026
- HNW RAUM · $337M to $375MJan 3, 2025 to Jan 8, 2026
- Individual RAUM · $146M to $143MJan 3, 2025 to Jan 8, 2026
- Non-discretionary RAUM · $32.4M to $39.3MJan 3, 2025 to Jan 8, 2026
- Pension RAUM · $0 to $54.5MJan 3, 2025 to Jan 8, 2026
- RAUM · $482M to $575MJan 3, 2025 to Jan 8, 2026
- Accounts · 643 to 674Jan 3, 2024 to Jan 3, 2025
- HNW clients · 118 to 137Jan 3, 2024 to Jan 3, 2025
- Individual clients · 525 to 537Jan 3, 2024 to Jan 3, 2025
- Employees · 11 to 10Jan 3, 2024 to Jan 3, 2025
- Financial planning clients · More than 500 to More than 500Jan 3, 2024 to Jan 3, 2025
- Other offices · 2 to 3Jan 3, 2024 to Jan 3, 2025
- Discretionary RAUM · $392M to $450MJan 3, 2024 to Jan 3, 2025
- HNW RAUM · $284M to $337MJan 3, 2024 to Jan 3, 2025
- Individual RAUM · $143M to $146MJan 3, 2024 to Jan 3, 2025
- Non-discretionary RAUM · $35.0M to $32.4MJan 3, 2024 to Jan 3, 2025
- RAUM · $427M to $482MJan 3, 2024 to Jan 3, 2025
- Accounts · 1,922 to 643Oct 2, 2023 to Jan 3, 2024
- HNW clients · 100 to 118Oct 2, 2023 to Jan 3, 2024
- Individual clients · 535 to 525Oct 2, 2023 to Jan 3, 2024
- Discretionary RAUM · $343M to $392MOct 2, 2023 to Jan 3, 2024
- HNW RAUM · $239M to $284MOct 2, 2023 to Jan 3, 2024
- Individual RAUM · $144M to $143MOct 2, 2023 to Jan 3, 2024
- Non-discretionary RAUM · $40.3M to $35.0MOct 2, 2023 to Jan 3, 2024
- RAUM · $383M to $427MOct 2, 2023 to Jan 3, 2024
- Accounts · 1,920 to 1,922Jan 19, 2023 to Jun 29, 2023
- HNW clients · 95 to 100Jan 19, 2023 to Jun 29, 2023
- Individual clients · 522 to 535Jan 19, 2023 to Jun 29, 2023
- State-registered IARs · 5 to 4Jan 19, 2023 to Jun 29, 2023
- Other offices · 1 to 2Jan 19, 2023 to Jun 29, 2023
- Discretionary RAUM · $342M to $343MJan 19, 2023 to Jun 29, 2023
- HNW RAUM · $236M to $239MJan 19, 2023 to Jun 29, 2023
- Individual RAUM · $136M to $144MJan 19, 2023 to Jun 29, 2023
- Non-discretionary RAUM · $30.2M to $40.3MJan 19, 2023 to Jun 29, 2023
Signals
2 dated events
- S••• A•••••••• L•• reported RAUM $381.0M, up 40% from $273.0M (2021-05-06 to 2022-01-06)Jan 6, 2022 · RAUM change · derived
- S••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 12, 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
- Business email
- info@sageadvisorsllc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- mhelke@sageadvisorsllc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 206-260-8877reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 206-516-7991reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 206-516-7993reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- sageadvisorsllc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 206-516-7991reportedpublic record, Form ADV, Jan 8, 2026
- Team page
- sageadvisorsllc.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $144Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026