DFX Intelligence

RIA Intelligence

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SEC-registered adviser

N•• F•••••••• P•••••••• L••

Independent wealth managerCRD 310443SEC 801-131851website IAPD

Latest filing Sep 10, 2026

First filing on the tape Dec 19, 2024 · 5 filings

SEC status approved since Jan 21, 2025

RAUM

$125M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$125M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$125M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

5 filings and snapshots on the tape

RAUM$125M as of Aug 21, 2026

Mar 14, 2025$105M then

HNW client RAUM$109M as of Aug 21, 2026

Mar 14, 2025$91.5M then

State-registered IARs (5.B.3)1 as of Aug 21, 2026

Mar 14, 20251 then

Employees (5.A)1 as of Aug 21, 2026

Mar 14, 20251 then

Private funds: no history

RAUM +19% over the last fiscal yearIARs 1 to 1

Practice profile

derived from the filing of Sep 10, 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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $125MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 75derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.6MderivedHNW RAUM over HNW clients
Average account: $559,285derivedRAUM 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: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +19%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +10%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Custody: $27.5M, 20 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$109M87%
Individuals$16.0M13%

Individual clients: 45reported
HNW clients: 30reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 223reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: $27.5M for 20 clientsreported
Compensation: % of AUMreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived

Advisors registered through the firm

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
M•••••• S••••• P••••••	Sammamish, Wa	Jan 11, 2021	14 y	3

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

M•••••• S••••• P•••••• from H•••••••• A•••••••• L••
Jan 11, 2021 · Affiliated broker-dealer or bank to independent RIA

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

P••••••• M••••••• S••••• · Managing Member/Investment Advisor Representative/Chief Compliance Officercontrol
since 08/2020 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Financial planning clients · 51-100 to 51-100
Aug 21, 2026 to Sep 10, 2026
HQ city · to unset
Aug 21, 2026 to Sep 10, 2026
HQ state · to unset
Aug 21, 2026 to Sep 10, 2026
Related adviser · false to unset
Aug 21, 2026 to Sep 10, 2026
Related bank · false to unset
Aug 21, 2026 to Sep 10, 2026
Related broker-dealer · false to unset
Aug 21, 2026 to Sep 10, 2026
Related insurance company · false to unset
Aug 21, 2026 to Sep 10, 2026
Succession · false to unset
Aug 21, 2026 to Sep 10, 2026
Accounts · 201 to 223
Mar 14, 2025 to Mar 3, 2026
HNW clients · 28 to 30
Mar 14, 2025 to Mar 3, 2026
Individual clients · 40 to 45
Mar 14, 2025 to Mar 3, 2026
Assets in custody · $18.7M to $27.5M
Mar 14, 2025 to Mar 3, 2026
Discretionary RAUM · $105M to $125M
Mar 14, 2025 to Mar 3, 2026
HNW RAUM · $91.5M to $109M
Mar 14, 2025 to Mar 3, 2026
Individual RAUM · $13.1M to $16.0M
Mar 14, 2025 to Mar 3, 2026
RAUM · $105M to $125M
Mar 14, 2025 to Mar 3, 2026
Accounts · 228 to 201
Dec 19, 2024 to Mar 14, 2025
Corporate clients · 1.0 to unset
Dec 19, 2024 to Mar 14, 2025
HNW clients · 29 to 28
Dec 19, 2024 to Mar 14, 2025
Individual clients · 42 to 40
Dec 19, 2024 to Mar 14, 2025
Assets in custody · unset to 18679348.0
Dec 19, 2024 to Mar 14, 2025
Custody of client assets · false to true
Dec 19, 2024 to Mar 14, 2025
Financial planning clients · 51-100 to 51-100
Dec 19, 2024 to Mar 14, 2025
HQ city · unset to
Dec 19, 2024 to Mar 14, 2025
HQ state · unset to
Dec 19, 2024 to Mar 14, 2025
Discretionary RAUM · $112M to $105M
Dec 19, 2024 to Mar 14, 2025
HNW RAUM · $96.5M to $91.5M
Dec 19, 2024 to Mar 14, 2025
Individual RAUM · $15.2M to $13.1M
Dec 19, 2024 to Mar 14, 2025
RAUM · $112M to $105M
Dec 19, 2024 to Mar 14, 2025

Signals

1 dated events

N•• F•••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
Dec 19, 2024 · 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: 425-444-6715reportedpublished by the firm, firm site, Sep 16, 2026
Website: n•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 425-444-6715reportedpublic record, Form ADV, Sep 10, 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: $125Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026