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•••••• I••••••••• S•••••••• L••
Latest filing Apr 3, 2026
First filing on the tape Mar 11, 2020 · 11 filings
SEC status approved since Mar 7, 2025
RAUM
$119M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$118M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$59.6M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$119M as of Apr 3, 2026
Feb 17, 2025$106M then
HNW client RAUM$112M as of Apr 3, 2026
Feb 17, 2025$99.4M then
State-registered IARs (5.B.3)2 as of Apr 3, 2026
Feb 17, 20253 then
Employees (5.A)3 as of Apr 3, 2026
Feb 17, 20254 then
Private funds: no history
RAUM +13% over the last fiscal yearIARs 3 to 2
Practice profile
derived from the filing of Apr 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $59.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 15derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.0MderivedHNW RAUM over HNW clients
- Average account
- $601,754derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$112M94%
- Individuals$6.1M5.1%
- Charitable organizations$1.2M1.0%
- Individual clients
- 13reported
- HNW clients
- 16reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 198reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• J••• C••• | Seattle, Wa | May 1, 2020 | 16 y | 1 |
| L•••••• L•••• G••••••• | Seattle, Wa | Jul 25, 2025 | 9 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 headcount1 left over 36 months
Left, latest
- W•••••• H••••• to E•••• S••••••••• L••May 12, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- W•••••• H••••• from J••• M••••• S••••••••• L••Jan 2, 2024 · Wirehouse to independent RIA
- T••••• J••• C••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 1, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• T•••••• J••• · Principal And Chief Compliance Officercontrolsince 03/2016 · 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 | 2 | 0 | 0 | ||
| Bellevue, Wa | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 28 to 198Feb 17, 2025 to Mar 18, 2026
- Advisory employees · 3 to 2Feb 17, 2025 to Mar 18, 2026
- Charity clients · 0 to 1Feb 17, 2025 to Mar 18, 2026
- HNW clients · 14 to 16Feb 17, 2025 to Mar 18, 2026
- Individual clients · 14 to 13Feb 17, 2025 to Mar 18, 2026
- Employees · 4 to 3Feb 17, 2025 to Mar 18, 2026
- Financial planning clients · 11-25 to Feb 17, 2025 to Mar 18, 2026
- State-registered IARs · 3 to 2Feb 17, 2025 to Mar 18, 2026
- Discretionary RAUM · $106M to $119MFeb 17, 2025 to Mar 18, 2026
- HNW RAUM · $99.4M to $112MFeb 17, 2025 to Mar 18, 2026
- Individual RAUM · $6.2M to $6.1MFeb 17, 2025 to Mar 18, 2026
- RAUM · $106M to $119MFeb 17, 2025 to Mar 18, 2026
- Accounts · 17 to 28Nov 12, 2020 to Feb 17, 2025
- Advisory employees · 1 to 3Nov 12, 2020 to Feb 17, 2025
- Business name · A•••••• to A•••••• I••••••••• S•••••••• L••Nov 12, 2020 to Feb 17, 2025
- HNW clients · 4 to 14Nov 12, 2020 to Feb 17, 2025
- Individual clients · 0 to 14Nov 12, 2020 to Feb 17, 2025
- Employees · 2 to 4Nov 12, 2020 to Feb 17, 2025
- Financial planning clients · unset to 11-25Nov 12, 2020 to Feb 17, 2025
- State-registered IARs · 1 to 3Nov 12, 2020 to Feb 17, 2025
- Legal name · O•••••••• L•• to A•••••• I••••••••• S•••••••• L••Nov 12, 2020 to Feb 17, 2025
- Discretionary RAUM · $3.8M to $106MNov 12, 2020 to Feb 17, 2025
- HNW RAUM · $3.8M to $99.4MNov 12, 2020 to Feb 17, 2025
- Individual RAUM · $0 to $6.2MNov 12, 2020 to Feb 17, 2025
- RAUM · $3.8M to $106MNov 12, 2020 to Feb 17, 2025
- Related insurance company · false to trueNov 12, 2020 to Feb 17, 2025
- Accounts · 0 to 17Jul 10, 2020 to Jul 21, 2020
- HNW clients · 0 to 4Jul 10, 2020 to Jul 21, 2020
- Discretionary RAUM · $0 to $3.8MJul 10, 2020 to Jul 21, 2020
- HNW RAUM · $0 to $3.8MJul 10, 2020 to Jul 21, 2020
- RAUM · $0 to $3.8MJul 10, 2020 to Jul 21, 2020
- Advisory activities · 4 to 3Jun 22, 2020 to Jul 10, 2020
- Employees · 1 to 2Jun 22, 2020 to Jul 10, 2020
- Business name · O•••••••• L•• to A••••••Mar 11, 2020 to Mar 12, 2020
Signals
2 dated events
- W•••••• H••••• left A•••••• I••••••••• S•••••••• L•• for E•••• S••••••••• L•• (registered 2026-05-13)May 12, 2025 · Advisor changed firm · fact
- O•••••••• L•• filed its initial SEC registration (Form ADV)Mar 11, 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
- Firm profile
- linkedin.com/company/avantiamforeportedpublic record, Form ADV, Sep 18, 2026
- Website
- avantiamfo.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 425-589-0904reportedpublic record, Form ADV, Apr 3, 2026
- Contact form
- avantiamfo.com/contact-usreportedpublished 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
- $59.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026