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
F•••••••• F•••••• F•• D••••••• L••
Latest filing Jun 30, 2026
First filing on the tape Sep 23, 2021 · 12 filings
SEC status approved since Oct 22, 2021
RAUM
$182M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
66%
$120M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$60.7M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$182M as of Jun 30, 2026
Feb 18, 2022$116M then
HNW client RAUM$108M as of Jun 30, 2026
Feb 18, 2022$81.5M then
State-registered IARs (5.B.3)3 as of Jun 30, 2026
Feb 18, 20222 then
Employees (5.A)3 as of Jun 30, 2026
Feb 18, 20222 then
Private funds: no history
RAUM +32% over the last fiscal year+19% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 30, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $60.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $406,594derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 34%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $6.6M, 7 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$108M59%
- Pension and profit-sharing plans$62.1M34%
- Individuals$11.8M6.5%
- Individual clients
- 82reported
- HNW clients
- 37reported
- Pension plan clients
- 24reported
- Charitable clients
- n/areported
- Accounts
- 448reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.6M for 7 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.66 fund_share=0.0 institutional_share=0.34 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••• J••• R••••Certified Financial Planner | Snoqualmie, Wa | Jul 1, 2019 | 31 y | 3 |
| L••• B•••••••Certified Financial Planner | Snoqualmie, Wa | May 7, 2021 | 11 y | 0 |
| C•••••••• J•••• S••••••• | Snoqualmie, Wa | Sep 5, 2023 | 18 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
- N••••• J••• R•••• from D••••• W••••• A•••••••• L••Jul 1, 2019 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••• N•••••• J••• · Chief Compliance Officercontrolsince 04/2019 · 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 |
|---|---|---|---|---|---|
| Snoqualmie, Wa · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 468 to 448Mar 11, 2026 to Jun 30, 2026
- HNW clients · 57 to 37Mar 11, 2026 to Jun 30, 2026
- Individual clients · 79 to 82Mar 11, 2026 to Jun 30, 2026
- Discretionary RAUM · $166M to $182MMar 11, 2026 to Jun 30, 2026
- HNW RAUM · $92.3M to $108MMar 11, 2026 to Jun 30, 2026
- Individual RAUM · $11.5M to $11.8MMar 11, 2026 to Jun 30, 2026
- Pension RAUM · $61.8M to $62.1MMar 11, 2026 to Jun 30, 2026
- RAUM · $166M to $182MMar 11, 2026 to Jun 30, 2026
- Accounts · 566 to 468Mar 21, 2025 to Mar 11, 2026
- HNW clients · 55 to 57Mar 21, 2025 to Mar 11, 2026
- Individual clients · 68 to 79Mar 21, 2025 to Mar 11, 2026
- Pension plan clients · 26 to 24Mar 21, 2025 to Mar 11, 2026
- Assets in custody · $1.6M to $6.6MMar 21, 2025 to Mar 11, 2026
- Financial planning clients · 51-100 to 11-25Mar 21, 2025 to Mar 11, 2026
- Discretionary RAUM · $138M to $166MMar 21, 2025 to Mar 11, 2026
- HNW RAUM · $85.8M to $92.3MMar 21, 2025 to Mar 11, 2026
- Individual RAUM · $9.7M to $11.5MMar 21, 2025 to Mar 11, 2026
- Pension RAUM · $42.5M to $61.8MMar 21, 2025 to Mar 11, 2026
- RAUM · $138M to $166MMar 21, 2025 to Mar 11, 2026
- Accounts · 538 to 566Jul 3, 2024 to Mar 21, 2025
- HNW clients · 52 to 55Jul 3, 2024 to Mar 21, 2025
- Individual clients · 69 to 68Jul 3, 2024 to Mar 21, 2025
- Pension plan clients · 22 to 26Jul 3, 2024 to Mar 21, 2025
- Assets in custody · unset to 1600000.0Jul 3, 2024 to Mar 21, 2025
- Custody of client assets · false to trueJul 3, 2024 to Mar 21, 2025
- Financial planning clients · 1-10 to 51-100Jul 3, 2024 to Mar 21, 2025
- Discretionary RAUM · $130M to $138MJul 3, 2024 to Mar 21, 2025
- HNW RAUM · $80.1M to $85.8MJul 3, 2024 to Mar 21, 2025
- Individual RAUM · $10.6M to $9.7MJul 3, 2024 to Mar 21, 2025
- Pension RAUM · $39.0M to $42.5MJul 3, 2024 to Mar 21, 2025
- RAUM · $130M to $138MJul 3, 2024 to Mar 21, 2025
- Accounts · 514 to 538Jun 12, 2024 to Jul 3, 2024
- HNW clients · 48 to 52Jun 12, 2024 to Jul 3, 2024
- Individual clients · 64 to 69Jun 12, 2024 to Jul 3, 2024
- Pension plan clients · 23 to 22Jun 12, 2024 to Jul 3, 2024
- Discretionary RAUM · $125M to $130MJun 12, 2024 to Jul 3, 2024
- HNW RAUM · $76.6M to $80.1MJun 12, 2024 to Jul 3, 2024
- Individual RAUM · $12.3M to $10.6MJun 12, 2024 to Jul 3, 2024
- Pension RAUM · $36.5M to $39.0MJun 12, 2024 to Jul 3, 2024
- RAUM · $125M to $130MJun 12, 2024 to Jul 3, 2024
Signals
1 dated events
- F•••••••• F•••••• F•• D••••••• L•• filed its initial SEC registration (Form ADV)Sep 23, 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 phone
- 425-888-1911reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/freedom4dentistsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- financialfreedomfordentists.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 425-888-1911reportedpublic record, Form ADV, Jun 30, 2026
- Contact form
- financialfreedomfordentists.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- financialfreedomfordentists.com/meet-the-teamreportedpublished by the firm, firm site, Sep 16, 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
- $60.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026