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

A••••• W••••• A•••••••• L••

Independent wealth managerTumwater, WashingtonCRD 306171SEC 801-135566websiteIAPD
Latest filing Jun 11, 2026
First filing on the tape Feb 20, 2026 · 2 filings
SEC status approved since Feb 19, 2026
RAUM
$110M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$110M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$55.2M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$110M as of Jun 11, 2026
Feb 20, 2026$110M then
HNW client RAUM$83.0M as of Jun 11, 2026
Feb 20, 2026$83.0M then
State-registered IARs (5.B.3)2 as of Jun 11, 2026
Feb 20, 20262 then
Employees (5.A)2 as of Jun 11, 2026
Feb 20, 20262 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 11, 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
  • 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$55.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
55derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$360,673derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$2.4M, 112 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$83.0M75%
  • Individuals$27.3M25%
Individual clients
77reported
HNW clients
32reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
306reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$2.4M for 112 clientsreported
Compensation
% of AUMreported
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
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
S••••• E••••• A•••••Certified Financial PlannerTumwater, WaJan 1, 202018 y1
K•••• J• D•••••Tumwater, WaJan 2, 202017 y3
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
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
    • A•••••• S•••••• E••••• · Managing Member; Chief Compliance Officercontrol
      since 01/2020 · 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
    Tumwater, Wa · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    Signals
    No event on the tape.
    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
    i•••@a•••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
    Business phone
    360-628-8783reportedpublished by the firm, firm site, Sep 17, 2026
    Website
    a•••••••.comreportedpublic record, Form ADV, Sep 19, 2026
    Principal office phone
    360-628-8783reportedpublic record, Form ADV, Jun 11, 2026
    Contact form
    a•••••••.comreportedpublished by the firm, firm site, Sep 17, 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
    $55.2Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026