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••••• I•••
Latest filing Aug 4, 2026
First filing on the tape Feb 14, 2020 · 24 filings
SEC status approved since Mar 16, 2020
RAUM
$286M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$286M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$71.4M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$286M as of Aug 4, 2026
Mar 1, 2021$183M then
HNW client RAUM$154M as of Aug 4, 2026
Mar 1, 2021$62.1M then
State-registered IARs (5.B.3)4 as of Aug 4, 2026
Mar 1, 20214 then
Employees (5.A)5 as of Aug 4, 2026
Mar 1, 20215 then
Private funds: no history
RAUM +3.5% over the last fiscal year+15% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Aug 4, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $71.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 143derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $168,499derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.4%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $286MreportedItem 5.I
- Custody
- $70.0M, 219 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$154M54%
- Individuals$132M46%
- Individual clients
- 495reported
- HNW clients
- 77reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,696reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $70.0M for 219 clientsreported
- Compensation
- % of AUM, hourlyreported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• L••••• C••••••• | Spokane, Wa | May 1, 2020 | 14 y | 1 |
| L•••• L••• C••••••• | Spokane, Wa | Aug 14, 2020 | 26 y | 1 |
| K•••••• M•••• Y••••Certified Financial Planner | Spokane, Wa | Nov 23, 2020 | 21 y | 1 |
| C••••• C•••••••• J•••••• | Spokane, Wa | Apr 21, 2026 | 11 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- J••• T••••• B••• to L••• S••••• A•••••••• L••Jan 18, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- C••••• C•••••••• J•••••• from L•• F•••••••• L••Apr 21, 2026 · Affiliated broker-dealer or bank to independent RIA
- K•••••• M•••• Y•••• from L•• F•••••••• L••Nov 23, 2020 · Affiliated broker-dealer or bank to independent RIA
- L•••• L••• C••••••• from L•• F•••••••• L••Aug 14, 2020 · Affiliated broker-dealer or bank to independent RIA
- J•••••• L••••• C••••••• from L•• F•••••••• L••May 1, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from L•• F•••••••• L••Nov 4, 2020 · Spokane, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• J••••••• L••••• · Partner, Wealth Advisor, Ccocontrolsince 02/2020 · owns 25% to 50%
- C•••••••• L••••• L••• · Wealth Advisor / Partnercontrolsince 08/2020 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Spokane, Wa · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Feb 23, 2026 to Apr 22, 2026
- Employees · 4 to 5Feb 23, 2026 to Apr 22, 2026
- State-registered IARs · 3 to 4Feb 23, 2026 to Apr 22, 2026
- Accounts · 1,987 to 1,696Dec 5, 2025 to Feb 23, 2026
- Corporate clients · 2 to 0Dec 5, 2025 to Feb 23, 2026
- HNW clients · 76 to 77Dec 5, 2025 to Feb 23, 2026
- Individual clients · 516 to 495Dec 5, 2025 to Feb 23, 2026
- Assets in custody · $13.1M to $70.0MDec 5, 2025 to Feb 23, 2026
- Discretionary RAUM · $276M to $286MDec 5, 2025 to Feb 23, 2026
- HNW RAUM · $147M to $154MDec 5, 2025 to Feb 23, 2026
- Individual RAUM · $128M to $132MDec 5, 2025 to Feb 23, 2026
- RAUM · $276M to $286MDec 5, 2025 to Feb 23, 2026
- Accounts · 1,607 to 1,987Feb 26, 2024 to Mar 24, 2025
- Corporate clients · 0 to 2Feb 26, 2024 to Mar 24, 2025
- HNW clients · 52 to 76Feb 26, 2024 to Mar 24, 2025
- Individual clients · 505 to 516Feb 26, 2024 to Mar 24, 2025
- Assets in custody · $67.9M to $13.1MFeb 26, 2024 to Mar 24, 2025
- Financial planning clients · 1-10 to 1-10Feb 26, 2024 to Mar 24, 2025
- Discretionary RAUM · $216M to $276MFeb 26, 2024 to Mar 24, 2025
- HNW RAUM · $94.5M to $147MFeb 26, 2024 to Mar 24, 2025
- Individual RAUM · $122M to $128MFeb 26, 2024 to Mar 24, 2025
- RAUM · $216M to $276MFeb 26, 2024 to Mar 24, 2025
- Accounts · 1,515 to 1,607Mar 29, 2023 to Feb 26, 2024
- HNW clients · 35 to 52Mar 29, 2023 to Feb 26, 2024
- Individual clients · 506 to 505Mar 29, 2023 to Feb 26, 2024
- Assets in custody · $107M to $67.9MMar 29, 2023 to Feb 26, 2024
- Discretionary RAUM · $190M to $216MMar 29, 2023 to Feb 26, 2024
- HNW RAUM · $67.3M to $94.5MMar 29, 2023 to Feb 26, 2024
- Individual RAUM · $123M to $122MMar 29, 2023 to Feb 26, 2024
- RAUM · $190M to $216MMar 29, 2023 to Feb 26, 2024
- Pension plan clients · unset to 0.0Oct 25, 2022 to Mar 29, 2023
- Assets in custody · $84.2M to $107MOct 25, 2022 to Mar 29, 2023
- Employees · 5 to 4Oct 25, 2022 to Mar 29, 2023
- State-registered IARs · 4 to 3Oct 25, 2022 to Mar 29, 2023
- Discretionary RAUM · $223M to $190MOct 25, 2022 to Mar 29, 2023
- HNW RAUM · $91.2M to $67.3MOct 25, 2022 to Mar 29, 2023
- Individual RAUM · $132M to $123MOct 25, 2022 to Mar 29, 2023
- Pension RAUM · unset to 0.0Oct 25, 2022 to Mar 29, 2023
- RAUM · $223M to $190MOct 25, 2022 to Mar 29, 2023
- Accounts · 1,387 to 1,515Oct 25, 2022 to Mar 29, 2023
Signals
4 dated events
- J••• T••••• B••• left F•••••••• F••••• I••• for L••• S••••• A•••••••• L•• (registered 2023-01-26)Jan 18, 2023 · Advisor changed firm · fact
- L••• Landy Comstock (Wealth Advisor / Partner) appeared on Schedule A of F•••••••• F••••• I•••Aug 13, 2020 · Control person joined · fact
- L Landy Comstock (Partner, Investment Advisor) no longer on Schedule A of F•••••••• F••••• I••• (listed 2020-02-14, absent 2020-05-01)May 1, 2020 · Control person left · inference
- F•••••••• F••••• I••• filed its initial SEC registration (Form ADV)Feb 14, 2020 · 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
- 509-458-5373reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- financialforum.bizreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 509 458 5373reportedpublic record, Form ADV, Aug 4, 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
- $71.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026