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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Former SEC-registered adviser
U•••••••• W••••• P•••••••
Legal name U••••••••• L••
Latest filing Jan 31, 2025
First filing on the tape Jun 17, 2019 · 14 filings
SEC status approved since Jul 17, 2019
RAUM
$291M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$291M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
14 filings and snapshots on the tape
RAUM$291M as of Jan 31, 2025
Mar 9, 2020$201M then
HNW client RAUM$265M as of Jan 31, 2025
Mar 9, 2020$189M then
State-registered IARs (5.B.3)3 as of Jan 31, 2025
Mar 9, 20203 then
Employees (5.A)3 as of Jan 31, 2025
Mar 9, 20204 then
Private funds: no history
RAUM +11% over the last fiscal year+2.9% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jan 31, 2025; every figure names its basis
- RAUM per advisor
- $97.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $516,794derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%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
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $48.8M, 45 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$265M91%
- Individuals$26.1M9.0%
- Individual clients
- 83reported
- HNW clients
- 85reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 564reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $48.8M for 45 clientsreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- B••••• R• T••••••• to C••••••••• W•••••• L••May 12, 2025 · RIA to RIA
- M••• K•••••••• P••••• to C••••••••• W•••••• L••May 12, 2025 · RIA to RIA
- C•••• J•••• H••••• to C••••••••• W•••••• L••May 12, 2025 · RIA to RIA
Joined, latest
- M••• K•••••••• P••••• from W•••• F•••• A•••••••Jul 31, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C•••• J•••• H••••• from W•••• F•••• A•••••••Jul 31, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for C••••••••• W•••••• L••May 12, 2025 · Seattle, Wa · Firm absorbed
- 2 joined from W•••• F•••• A•••••••Aug 5, 2019 · Seattle, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• C•••• J•••• · Partnercontrolsince 07/2019 · owns 10% to 25%
- P•••••• M••• K•••••••• · Managing Partner And Chief Compliance Officercontrolsince 07/2019 · 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 |
|---|---|---|---|---|---|
| Seattle, Wa · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 542 to 564Feb 2, 2024 to Jan 31, 2025
- HNW clients · 87 to 85Feb 2, 2024 to Jan 31, 2025
- Individual clients · 77 to 83Feb 2, 2024 to Jan 31, 2025
- Assets in custody · $48.9M to $48.8MFeb 2, 2024 to Jan 31, 2025
- Discretionary RAUM · $260M to $289MFeb 2, 2024 to Jan 31, 2025
- HNW RAUM · $242M to $265MFeb 2, 2024 to Jan 31, 2025
- Individual RAUM · $20.6M to $26.1MFeb 2, 2024 to Jan 31, 2025
- Non-discretionary RAUM · $2.6M to $2.8MFeb 2, 2024 to Jan 31, 2025
- RAUM · $263M to $291MFeb 2, 2024 to Jan 31, 2025
- Accounts · 574 to 542Mar 10, 2023 to Feb 2, 2024
- HNW clients · 83 to 87Mar 10, 2023 to Feb 2, 2024
- Individual clients · 81 to 77Mar 10, 2023 to Feb 2, 2024
- Assets in custody · $54.0M to $48.9MMar 10, 2023 to Feb 2, 2024
- Employees · 4 to 3Mar 10, 2023 to Feb 2, 2024
- Discretionary RAUM · $236M to $260MMar 10, 2023 to Feb 2, 2024
- HNW RAUM · $215M to $242MMar 10, 2023 to Feb 2, 2024
- Individual RAUM · $23.8M to $20.6MMar 10, 2023 to Feb 2, 2024
- Non-discretionary RAUM · $2.6M to $2.6MMar 10, 2023 to Feb 2, 2024
- RAUM · $239M to $263MMar 10, 2023 to Feb 2, 2024
- Accounts · 507 to 574Feb 23, 2022 to Mar 3, 2023
- HNW clients · 86 to 83Feb 23, 2022 to Mar 3, 2023
- Individual clients · 66 to 81Feb 23, 2022 to Mar 3, 2023
- Assets in custody · $82.9M to $54.0MFeb 23, 2022 to Mar 3, 2023
- Discretionary RAUM · $265M to $236MFeb 23, 2022 to Mar 3, 2023
- HNW RAUM · $243M to $215MFeb 23, 2022 to Mar 3, 2023
- Individual RAUM · $24.4M to $23.8MFeb 23, 2022 to Mar 3, 2023
- Non-discretionary RAUM · $2.7M to $2.6MFeb 23, 2022 to Mar 3, 2023
- RAUM · $268M to $239MFeb 23, 2022 to Mar 3, 2023
- Accounts · 445 to 507Mar 24, 2021 to Feb 23, 2022
- Advisory employees · 2 to 3Mar 24, 2021 to Feb 23, 2022
- HNW clients · 75 to 86Mar 24, 2021 to Feb 23, 2022
- Individual clients · 60 to 66Mar 24, 2021 to Feb 23, 2022
- Assets in custody · $67.7M to $82.9MMar 24, 2021 to Feb 23, 2022
- Employees · 3 to 4Mar 24, 2021 to Feb 23, 2022
- State-registered IARs · 2 to 3Mar 24, 2021 to Feb 23, 2022
- Discretionary RAUM · $227M to $265MMar 24, 2021 to Feb 23, 2022
- HNW RAUM · $208M to $243MMar 24, 2021 to Feb 23, 2022
- Individual RAUM · $21.6M to $24.4MMar 24, 2021 to Feb 23, 2022
- Non-discretionary RAUM · $3.1M to $2.7MMar 24, 2021 to Feb 23, 2022
- RAUM · $230M to $268MMar 24, 2021 to Feb 23, 2022
Signals
6 dated events
- U•••••••• W••••• P••••••• no longer on the SEC adviser roster (last listed 2025-05-02, RAUM $291.5M)Jun 2, 2025 · Left the SEC roster · derived
- B••••• R• T••••••• left U•••••••• W••••• P••••••• for C••••••••• W•••••• L•• (registered 2025-03-11)May 12, 2025 · Advisor changed firm · fact
- C•••• J•••• H••••• left U•••••••• W••••• P••••••• for C••••••••• W•••••• L•• (registered 2025-03-11)May 12, 2025 · Advisor changed firm · fact
- M••• K•••••••• P••••• left U•••••••• W••••• P••••••• for C••••••••• W•••••• L•• (registered 2025-03-11)May 12, 2025 · Advisor changed firm · fact
- U•••••••• W••••• P•••••••'s advisors moved to C••••••••• W•••••• L•• (Seattle, WA): 3 of 3 registered, on the same dayMay 12, 2025 · Firm absorbed (people side) · derived
- U••••••••• L•• filed its initial SEC registration (Form ADV)Jun 17, 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.
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
- Former SEC-registered adviserderiveda 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