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.

SEC-registered adviser

Parcion Private Wealth LLC

Independent wealth managerBellevue, WashingtonCRD 305115SEC 801-117477websiteIAPD
Latest filing Mar 10, 2026
First filing on the tape Sep 11, 2019 · 19 filings
SEC status approved since Oct 11, 2019
RAUM
$3.0B
reported, Item 5.F
Discretionary
72%
of RAUM
Private clients
100%
$3.0B individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$197M
derived; firm RAUM over IAPD count
Employees
28
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$3.0B as of Mar 10, 2026
May 12, 2020$1.1B then
HNW client RAUM$2.9B as of Mar 10, 2026
May 12, 2020$974M then
State-registered IARs (5.B.3)10 as of Mar 10, 2026
May 12, 202010 then
Employees (5.A)28 as of Mar 10, 2026
May 12, 202018 then
Private funds: no history
RAUM +17% over the last fiscal year+19% a year over threeIARs 10 to 10
Practice profile
derived from the filing of Mar 10, 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
  • UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
RAUM per advisor
$197MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
11derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$26.9MderivedHNW RAUM over HNW clients
Average account
$1.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
72%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.9derivedItem 5.A over advisors
Advisors per office
15.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-5.7%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
Custody
$137M, 66 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$2.9B97%
  • Individuals$95.1M3.2%
Individual clients
59reported
HNW clients
106reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,871reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$137M for 66 clientsreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Terrance Leo CookBellevue, WaOct 28, 201933 y2
Jennifer NagaiBellevue, WaMay 8, 202020 y1
Kathleen Elizabeth CarboneCertified Financial PlannerBellevue, WaMay 11, 202011 y1
Peter Gabriel BeselCertified Financial PlannerBellevue, WaFeb 22, 202113 y0
Kevin Lewis PennerCertified Financial PlannerBellevue, WaDec 24, 202110 y3
Peter BarnesBellevue, WaJun 30, 202213 y0
Stacee Leigh KratovilCertified Financial PlannerBellevue, WaAug 12, 202215 y0
Diego AriasBellevue, WaApr 25, 202411 y0
Abigail Frances MillerBellevue, WaJul 8, 202412 y0
Nathan James MumfordChartered Financial AnalystBellevue, WaMar 12, 202511 y1
Daniel ReubenCertified Financial PlannerBellevue, WaMay 13, 202510 y2
Jack DolanChartered Financial AnalystBellevue, WaAug 27, 202511 y0
Tyler Frank RockwellBellevue, WaNov 3, 202510 y0
Zachary Shaw ClevelandChartered Financial AnalystBellevue, WaFeb 6, 202614 y1
Kalena Larry LaurentBellevue, WaMar 14, 202613 y0
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 13% of current headcount12 left over 36 months
Left, latest
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
    • Leo Terrance Cook · Managing Membercontrol
      since 10/2019 · owns 75% or more
    • D Samuel King · Chief Compliance Officercontrol
      since 04/2025 · owns less than 5%
    • Rowland Arthur Zaske · Chief Investment Officercontrol
      since 10/2025 · owns less than 5%
    • Elizabeth Kathleen Carbone · Partner
      since 10/2025 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Bellevue, Wa · principal1532
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    ADV anomalies
    3 against comparable advisers; where to look, not conclusions
    • control person changedChange between filings · filing Mar 10, 2026
      ZASKE, ARTHUR, ROWLAND (CHIEF INVESTMENT OFFICER) appeared on Schedule A between the filings of 2019-10-25 and 2026-03-10
      peers: independent wealth managers, $1B to $5B (1,360)
    • control person changedChange between filings · filing Mar 10, 2026
      King, Samuel, D (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2019-10-25 and 2026-03-10
      peers: independent wealth managers, $1B to $5B (1,360)
    • discretionary share shiftChange between filings · filing Mar 10, 2026
      discretionary share of RAUM moved from 98.0% to 72.0% between the annual amendments of 2025-04-30 and 2026-03-10
      peers: independent wealth managers, $1B to $5B (1,360)
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 1,610 to 1,871
      Apr 30, 2025 to Mar 10, 2026
    • Advisory employees · 15 to 14
      Apr 30, 2025 to Mar 10, 2026
    • Advisory activities · 3 to 4
      Apr 30, 2025 to Mar 10, 2026
    • HNW clients · 125 to 106
      Apr 30, 2025 to Mar 10, 2026
    • Individual clients · 50 to 59
      Apr 30, 2025 to Mar 10, 2026
    • Assets in custody · $162M to $137M
      Apr 30, 2025 to Mar 10, 2026
    • Employees · 25 to 28
      Apr 30, 2025 to Mar 10, 2026
    • Discretionary RAUM · $2.5B to $2.1B
      Apr 30, 2025 to Mar 10, 2026
    • HNW RAUM · $2.5B to $2.9B
      Apr 30, 2025 to Mar 10, 2026
    • Individual RAUM · $39.1M to $95.1M
      Apr 30, 2025 to Mar 10, 2026
    • Non-discretionary RAUM · $42.4M to $826M
      Apr 30, 2025 to Mar 10, 2026
    • RAUM · $2.5B to $3.0B
      Apr 30, 2025 to Mar 10, 2026
    • Accounts · 1,948 to 1,610
      Dec 18, 2024 to Apr 30, 2025
    • Advisory employees · 18 to 15
      Dec 18, 2024 to Apr 30, 2025
    • Corporate clients · 12.0 to unset
      Dec 18, 2024 to Apr 30, 2025
    • HNW clients · 160 to 125
      Dec 18, 2024 to Apr 30, 2025
    • Individual clients · 126 to 50
      Dec 18, 2024 to Apr 30, 2025
    • Assets in custody · $171M to $162M
      Dec 18, 2024 to Apr 30, 2025
    • Employees · 29 to 25
      Dec 18, 2024 to Apr 30, 2025
    • Financial planning clients · 251-500 to 101-250
      Dec 18, 2024 to Apr 30, 2025
    • State-registered IARs · 12 to 10
      Dec 18, 2024 to Apr 30, 2025
    • Discretionary RAUM · $2.2B to $2.5B
      Dec 18, 2024 to Apr 30, 2025
    • HNW RAUM · $2.1B to $2.5B
      Dec 18, 2024 to Apr 30, 2025
    • Individual RAUM · $32.2M to $39.1M
      Dec 18, 2024 to Apr 30, 2025
    • Non-discretionary RAUM · $0 to $42.4M
      Dec 18, 2024 to Apr 30, 2025
    • Pension RAUM · 0.0 to unset
      Dec 18, 2024 to Apr 30, 2025
    • Pooled vehicle RAUM · 0.0 to unset
      Dec 18, 2024 to Apr 30, 2025
    • RAUM · $2.2B to $2.5B
      Dec 18, 2024 to Apr 30, 2025
    • Accounts · 1,221 to 1,948
      Apr 19, 2023 to Mar 22, 2024
    • Advisory employees · 13 to 18
      Apr 19, 2023 to Mar 22, 2024
    • Charity clients · 0.0 to unset
      Apr 19, 2023 to Mar 22, 2024
    • Corporate clients · 0 to 12
      Apr 19, 2023 to Mar 22, 2024
    • HNW clients · 112 to 160
      Apr 19, 2023 to Mar 22, 2024
    • Individual clients · 140 to 126
      Apr 19, 2023 to Mar 22, 2024
    • Pension plan clients · 0.0 to unset
      Apr 19, 2023 to Mar 22, 2024
    • Pooled vehicle clients · 0.0 to unset
      Apr 19, 2023 to Mar 22, 2024
    • Assets in custody · $89.6M to $171M
      Apr 19, 2023 to Mar 22, 2024
    • Employees · 28 to 29
      Apr 19, 2023 to Mar 22, 2024
    • Financial planning clients · 0 to 251-500
      Apr 19, 2023 to Mar 22, 2024
    • State-registered IARs · 13 to 12
      Apr 19, 2023 to Mar 22, 2024
    Signals
    29 dated events
    • Daniel Fox Walker left Parcion Private Wealth Llc for Wells Fargo Advisors (registered 2026-07-22)
      Mar 12, 2026 · Advisor changed firm · fact
    • Jacob David Mahoney left Parcion Private Wealth Llc for Fort Point Capital Partners Llc (registered 2026-03-27)
      Feb 24, 2026 · Advisor changed firm · fact
    • Jacob Benson left Parcion Private Wealth Llc for Wells Fargo Advisors (registered 2026-02-03)
      Jun 18, 2025 · Advisor changed firm · fact
    • Tim William Bond left Parcion Private Wealth Llc for Russell Investments (registered 2025-03-05)
      May 13, 2025 · Advisor changed firm · fact
    • Brendan Michael Sullivan left Parcion Private Wealth Llc for Scs (registered 2025-09-25)
      Dec 18, 2024 · Advisor changed firm · fact
    • M Brendan Sullivan (Chief Operating Officer; Chief Compliance Officer) no longer on Schedule A of Parcion Private Wealth Llc (listed 2024-03-22, absent 2024-12-18)
      Dec 18, 2024 · Control person left · inference
    • Kevin Cheng-Yun Chen left Parcion Private Wealth Llc for Scs (registered 2025-02-24)
      Nov 13, 2024 · Advisor changed firm · fact
    • Owen Hudson Ferra Hymel left Parcion Private Wealth Llc for Iconiq Capital, Llc (registered 2025-02-05)
      Oct 18, 2024 · Advisor changed firm · fact
    • Harlan Jason Shulevitz left Parcion Private Wealth Llc for Creative Planning (registered 2025-11-05)
      Sep 25, 2024 · Advisor changed firm · fact
    • Emma Lea-Biles left Parcion Private Wealth Llc for D.A. Davidson & Co. (registered 2024-11-26)
      Mar 27, 2024 · Advisor changed firm · fact
    • Parcion Private Wealth Llc reported RAUM $2.2B, up 26% from $1.7B (2023-04-19 to 2024-03-22)
      Mar 22, 2024 · RAUM change · derived
    • Blake W Mckibbin left Parcion Private Wealth Llc for Composition Wealth, Llc (registered 2023-12-21)
      Feb 1, 2024 · Advisor changed firm · fact
    • John Andre De Carvalho left Parcion Private Wealth Llc for Integrated Wealth Concepts Llc (registered 2026-04-16)
      Dec 8, 2023 · Advisor changed firm · fact
    • James Lawrence Moore left Parcion Private Wealth Llc for Coldstream Wealth Management (registered 2023-12-14)
      Nov 17, 2023 · Advisor changed firm · fact
    • Lars Henrikson left Parcion Private Wealth Llc for Lpl Financial Llc (registered 2026-08-10)
      Jul 13, 2023 · Advisor changed firm · fact
    • Christopher Stewart Mcnabb left Parcion Private Wealth Llc for Aldrich Wealth Lp (registered 2023-04-13)
      Apr 3, 2023 · Advisor changed firm · fact
    • Kyle Caouette (Member) no longer on Schedule A of Parcion Private Wealth Llc (listed 2023-01-09, absent 2023-03-29)
      Mar 29, 2023 · Control person left · inference
    • Parcion Private Wealth Llc reported RAUM $2.1B, up 39% from $1.5B (2022-01-20 to 2022-03-30)
      Mar 30, 2022 · RAUM change · derived
    • Patrick Robert Fletcher left Parcion Private Wealth Llc for D.A. Davidson & Co. (registered 2022-08-04)
      Mar 24, 2022 · Advisor changed firm · fact
    • Galen Camp left Parcion Private Wealth Llc for Freestone Capital Management, Llc (registered 2022-02-28)
      Feb 15, 2022 · Advisor changed firm · fact
    • Kyle Kosuke Ha'Aheo Caouette left Parcion Private Wealth Llc for Simplified Wealth Strategies (registered 2022-01-16)
      Jan 3, 2022 · Advisor changed firm · fact
    • M Brendan Sullivan (Chief Operating Officer; Chief Compliance Officer) appeared on Schedule A of Parcion Private Wealth Llc
      Oct 1, 2021 · Control person joined · fact
    • Douglas Arthur Johnson (Cco & Coo) no longer on Schedule A of Parcion Private Wealth Llc (listed 2021-04-25, absent 2021-08-24)
      Aug 24, 2021 · Control person left · inference
    • Parcion Private Wealth Llc reported RAUM $1.5B, up 45% from $1.1B (2020-09-18 to 2021-03-23)
      Mar 23, 2021 · RAUM change · derived
    • Douglas Arthur Johnson (Cco & Coo) appeared on Schedule A of Parcion Private Wealth Llc
      May 12, 2020 · Control person joined · fact
    • Kosuke Ha'Aheo Kyle Caouette (Member And Chief Compliance Officer) appeared on Schedule A of Parcion Private Wealth Llc
      Oct 25, 2019 · Control person joined · fact
    • Leo Terrance Cook (Managing Member) appeared on Schedule A of Parcion Private Wealth Llc
      Oct 25, 2019 · Control person joined · fact
    • Adam Daniel Bernstein (Chief Compliance Officer) no longer on Schedule A of Parcion Private Wealth Llc (listed 2019-09-11, absent 2019-10-25)
      Oct 25, 2019 · Control person left · inference
    • Labradors Advisors, Llc filed its initial SEC registration (Form ADV)
      Sep 11, 2019 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    How to reach
    public business contact points only, each with its source
    Firm profile
    linkedin.com/company/29349000/adminreportedpublic record, Form ADV, Sep 17, 2026
    Website
    parcionpw.comreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    425-278-9555reportedpublic record, Form ADV, Mar 10, 2026
    Contact form
    parcionpw.com/contactreportedpublished 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
    $197Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026