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
C•••••• A••••••• W••••• M•••••••••
Legal name C•••••• A••••••• W••••• M••••••••• L••
Latest filing Apr 24, 2026
First filing on the tape May 15, 2020 · 18 filings
SEC status approved since Jun 15, 2020
RAUM
$1.1B
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
82%
$914M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$185M
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$1.1B as of Apr 24, 2026
Mar 9, 2021$481M then
HNW client RAUM$661M as of Apr 24, 2026
Mar 9, 2021$249M then
State-registered IARs (5.B.3)6 as of Apr 24, 2026
Mar 9, 20213 then
Employees (5.A)10 as of Apr 24, 2026
Mar 9, 20217 then
Private funds: no history
RAUM +22% over the last fiscal year+18% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Apr 24, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $185MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 166derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Custody
- $575M, 534 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$661M59%
- Individuals$253M23%
- Pension and profit-sharing plans$185M17%
- Corporations and businesses$8.2M0.7%
- Charitable organizations$5.0M0.4%
- Individual clients
- 709reported
- HNW clients
- 284reported
- Pension plan clients
- 40reported
- Charitable clients
- 11reported
- Accounts
- 1,051reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $575M for 534 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.82 fund_share=0.0 institutional_share=0.17 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• A••• V••••••Chartered Financial Consultant | Yakima, Wa | Jun 15, 2020 | 31 y | 2 |
| A•••••• J••••• F•••••Certified Financial Planner | Yakima, Wa | Jul 31, 2020 | 23 y | 1 |
| E••••• C•••••• R••••••• | Yakima, Wa | Aug 5, 2020 | 30 y | 2 |
| E••••• L••••• R••• | Yakima, Wa | Jul 2, 2021 | 12 y | 0 |
| C••••• I•• R•••••• | Yakima, Wa | Jan 6, 2025 | 11 y | 0 |
| B•••• R••••• D•••••••••Certified Financial Planner | Yakima, Wa | Aug 15, 2025 | 13 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- B•••• R••••• D••••••••• from U•• F•••••••• S••••••• I•••Aug 15, 2025 · Wirehouse to independent RIA
- E••••• C•••••• R••••••• from W•••• F•••• A•••••••Aug 5, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A•••••• J••••• F••••• from W•••• F•••• A•••••••Jul 31, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- R••••• A••• V•••••• from F•••••••• M••••••••• I•••Jun 15, 2020 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•••• F•••• A•••••••Aug 4, 2020 · Yakima, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• A••••••• J••••• · Owner & Chief Compliance Officercontrolsince 08/2020 · owns 50% to 75%
- R•••••••• E•••••• C•••••• · Managing Membercontrolsince 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 |
|---|---|---|---|---|---|
| Yakima, Wa · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Apr 24, 2026accounts (Item 5.F.2.f) moved from 2,574.0 to 1,051.0 (-59.0%) between the annual amendments of 2025-02-13 and 2026-04-24; the peer median change was +6.0% (1206 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 1.5% percentile
What changed
consecutive filings, newest first
- Accounts · 2,574 to 1,051Jan 15, 2026 to Feb 25, 2026
- Advisory employees · 5 to 6Jan 15, 2026 to Feb 25, 2026
- Charity clients · 10 to 11Jan 15, 2026 to Feb 25, 2026
- Corporate clients · 5 to 7Jan 15, 2026 to Feb 25, 2026
- HNW clients · 272 to 284Jan 15, 2026 to Feb 25, 2026
- Individual clients · 635 to 709Jan 15, 2026 to Feb 25, 2026
- Pension plan clients · 38 to 40Jan 15, 2026 to Feb 25, 2026
- Assets in custody · $508M to $575MJan 15, 2026 to Feb 25, 2026
- Employees · 9 to 10Jan 15, 2026 to Feb 25, 2026
- State-registered IARs · 5 to 6Jan 15, 2026 to Feb 25, 2026
- Discretionary RAUM · $729M to $928MJan 15, 2026 to Feb 25, 2026
- HNW RAUM · $539M to $661MJan 15, 2026 to Feb 25, 2026
- Individual RAUM · $198M to $253MJan 15, 2026 to Feb 25, 2026
- Non-discretionary RAUM · $179M to $185MJan 15, 2026 to Feb 25, 2026
- Pension RAUM · $162M to $185MJan 15, 2026 to Feb 25, 2026
- RAUM · $908M to $1.1BJan 15, 2026 to Feb 25, 2026
- Accounts · 901 to 2,574Feb 9, 2024 to Feb 13, 2025
- Advisory employees · 4 to 5Feb 9, 2024 to Feb 13, 2025
- Charity clients · 8 to 10Feb 9, 2024 to Feb 13, 2025
- Corporate clients · unset to 5.0Feb 9, 2024 to Feb 13, 2025
- HNW clients · 240 to 272Feb 9, 2024 to Feb 13, 2025
- Individual clients · 613 to 635Feb 9, 2024 to Feb 13, 2025
- Pension plan clients · 35 to 38Feb 9, 2024 to Feb 13, 2025
- Assets in custody · $329M to $508MFeb 9, 2024 to Feb 13, 2025
- Employees · 8 to 9Feb 9, 2024 to Feb 13, 2025
- Financial planning clients · 1-10 to 1-10Feb 9, 2024 to Feb 13, 2025
- State-registered IARs · 4 to 5Feb 9, 2024 to Feb 13, 2025
- Discretionary RAUM · $608M to $729MFeb 9, 2024 to Feb 13, 2025
- HNW RAUM · $420M to $539MFeb 9, 2024 to Feb 13, 2025
- Individual RAUM · $176M to $198MFeb 9, 2024 to Feb 13, 2025
- Non-discretionary RAUM · $134M to $179MFeb 9, 2024 to Feb 13, 2025
- Pension RAUM · $134M to $162MFeb 9, 2024 to Feb 13, 2025
- RAUM · $742M to $908MFeb 9, 2024 to Feb 13, 2025
- Accounts · 857 to 901Mar 8, 2023 to Feb 9, 2024
- HNW clients · 241 to 240Mar 8, 2023 to Feb 9, 2024
- Individual clients · 577 to 613Mar 8, 2023 to Feb 9, 2024
- Pension plan clients · 28 to 35Mar 8, 2023 to Feb 9, 2024
- Assets in custody · $174M to $329MMar 8, 2023 to Feb 9, 2024
- Financial planning clients · 11-25 to 1-10Mar 8, 2023 to Feb 9, 2024
- Discretionary RAUM · $547M to $608MMar 8, 2023 to Feb 9, 2024
Signals
6 dated events
- C•••••• A••••••• W••••• M••••••••• reported RAUM $613.8M, up 28% from $480.7M (2021-07-15 to 2022-03-01)Mar 1, 2022 · RAUM change · derived
- C•••••• A••••••• W••••• M••••••••• reported RAUM $480.7M, up 49% from $322.5M (2020-10-09 to 2021-03-09)Mar 9, 2021 · RAUM change · derived
- Adam Robert Vickers (Owner & Chief Compliance Officer) no longer on Schedule A of C•••••• A••••••• W••••• M••••••••• (listed 2020-06-15, absent 2020-07-31)Jul 31, 2020 · Control person left · inference
- Joseph Anthony Farina (Owner & Chief Compliance Officer) appeared on Schedule A of C•••••• A••••••• W••••• M•••••••••Jul 31, 2020 · Control person joined · fact
- Charles Edward Reinhart (Managing Member) appeared on Schedule A of C•••••• A••••••• W••••• M•••••••••Jul 31, 2020 · Control person joined · fact
- C•••••• A••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 15, 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
- 509-469-5031reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 509-469-5030reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 866-469-5030reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H••••://WWW.CAPITALADVISORSWM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (509) 469-5030reportedpublic record, Form ADV, Apr 24, 2026
- Contact form
- CAPITALADVISORSWM.COM/contact-usreportedpublished 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
- $185Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026