DFX Intelligence
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SEC-registered adviser
O••• W••••• M••••••••• L••
Latest filing Feb 20, 2026
First filing on the tape Jun 12, 2020 · 19 filings
SEC status approved since Jul 15, 2020
RAUM
$377M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
98%
$371M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$188M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$377M as of Feb 20, 2026
Mar 11, 2021$186M then
HNW client RAUM$303M as of Feb 20, 2026
Mar 11, 2021$122M then
State-registered IARs (5.B.3)2 as of Feb 20, 2026
Mar 11, 20214 then
Employees (5.A)3 as of Feb 20, 2026
Mar 11, 20214 then
Private funds: no history
RAUM +14% over the last fiscal year+19% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 20, 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
- RAUM per advisor
- $188MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 157derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $486,901derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $120M, 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$303M80%
- Individuals$67.9M18%
- Corporations and businesses$5.7M1.5%
- Charitable organizations$397,8890.1%
- Individual clients
- 225reported
- HNW clients
- 88reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 774reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $120M for 112 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 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
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• J•• O•••Certified Financial Planner | Sammamish, Wa | Jul 15, 2020 | 30 y | 4 |
| M•••• R••• B•••••Certified Financial Planner | Sammamish, Wa | Jul 20, 2020 | 25 y | 1 |
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 headcount2 left over 36 months
Left, latest
- R••••• T•••• C•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Dec 1, 2023 · RIA to affiliated broker-dealer or bank
- M•••••• J•••• H•••••• to E•••• F•••••••• A•••••••Oct 2, 2023 · Other
Joined, latest
- M•••• R••• B••••• from G•• M••••••••• L••Jul 20, 2020 · Other
- D••••• J•• O••• from C••••• A•••••• N••••••• L••Jul 15, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• M••••• R••• · Chief Compliance Officer/Membercontrolsince 03/2020 · owns less than 5%
- O•••• D•••••• J•• · Ceo/Managing Membercontrolsince 03/2020 · owns 75% or more
Related persons
Schedule D 7.A
- C••••••••• T•• I•• D•• I••••• T••insurancen
- D••••• O•••• S••• P•••••••••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Sammamish, Wa | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Draper, UT1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 739 to 774Mar 18, 2025 to Feb 20, 2026
- HNW clients · 76 to 88Mar 18, 2025 to Feb 20, 2026
- Individual clients · 231 to 225Mar 18, 2025 to Feb 20, 2026
- Assets in custody · $106M to $120MMar 18, 2025 to Feb 20, 2026
- Discretionary RAUM · $263M to $314MMar 18, 2025 to Feb 20, 2026
- HNW RAUM · $257M to $303MMar 18, 2025 to Feb 20, 2026
- Individual RAUM · $68.5M to $67.9MMar 18, 2025 to Feb 20, 2026
- Non-discretionary RAUM · $68.5M to $62.8MMar 18, 2025 to Feb 20, 2026
- RAUM · $331M to $377MMar 18, 2025 to Feb 20, 2026
- Accounts · 709 to 739Nov 1, 2024 to Mar 18, 2025
- HNW clients · 69 to 76Nov 1, 2024 to Mar 18, 2025
- Individual clients · 234 to 231Nov 1, 2024 to Mar 18, 2025
- Assets in custody · $110M to $106MNov 1, 2024 to Mar 18, 2025
- Financial planning clients · 0 to 0Nov 1, 2024 to Mar 18, 2025
- HQ city · unset to Nov 1, 2024 to Mar 18, 2025
- HQ state · unset to Nov 1, 2024 to Mar 18, 2025
- Other offices · 3 to 2Nov 1, 2024 to Mar 18, 2025
- Discretionary RAUM · $225M to $263MNov 1, 2024 to Mar 18, 2025
- HNW RAUM · $213M to $257MNov 1, 2024 to Mar 18, 2025
- Individual RAUM · $66.2M to $68.5MNov 1, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $59.0M to $68.5MNov 1, 2024 to Mar 18, 2025
- RAUM · $284M to $331MNov 1, 2024 to Mar 18, 2025
- Employees · 4 to 3Mar 20, 2024 to Nov 1, 2024
- HQ city · BELLEVUE to unsetMar 20, 2024 to Nov 1, 2024
- HQ state · WA to unsetMar 20, 2024 to Nov 1, 2024
- Other offices · 1 to 3Mar 20, 2024 to Nov 1, 2024
- Wrap assets (manager) · 0.0 to unsetMar 20, 2024 to Nov 1, 2024
- Wrap assets (sponsor) · 55000000.0 to unsetMar 20, 2024 to Nov 1, 2024
- Accounts · 799 to 709Jun 21, 2023 to Mar 20, 2024
- Advisory employees · 4 to 2Jun 21, 2023 to Mar 20, 2024
- HNW clients · 64 to 69Jun 21, 2023 to Mar 20, 2024
- Individual clients · 274 to 234Jun 21, 2023 to Mar 20, 2024
- Assets in custody · $75.5M to $110MJun 21, 2023 to Mar 20, 2024
- Employees · 5 to 4Jun 21, 2023 to Mar 20, 2024
- State-registered IARs · 4 to 2Jun 21, 2023 to Mar 20, 2024
- Other offices · 2 to 1Jun 21, 2023 to Mar 20, 2024
- Discretionary RAUM · $190M to $225MJun 21, 2023 to Mar 20, 2024
- HNW RAUM · $150M to $213MJun 21, 2023 to Mar 20, 2024
- Individual RAUM · $71.9M to $66.2MJun 21, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $36.1M to $59.0MJun 21, 2023 to Mar 20, 2024
Signals
3 dated events
- ••• LockedDec 1, 2023 · a•••••• firm change · fact
- ••• LockedOct 2, 2023 · a•••••• firm change · fact
- ••• LockedJun 12, 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
- Principal office phone
- 4254957484reportedpublic record, Form ADV, Feb 20, 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
- $188Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026