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
D••• Q• R••• I••••••••• M•••••••••
Legal name D••• Q• R••• I••••••••• M••••••••• L•••
Latest filing Apr 29, 2026
First filing on the tape Aug 20, 2020 · 19 filings
SEC status approved since Mar 17, 2022
RAUM
$157M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
94%
$147M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$157M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$157M as of Apr 29, 2026
Mar 31, 2023$87.2M then
HNW client RAUM$124M as of Apr 29, 2026
Mar 31, 2023$56.3M then
State-registered IARs (5.B.3)1 as of Apr 29, 2026
Mar 31, 20231 then
Employees (5.A)4 as of Apr 29, 2026
Mar 31, 20234 then
Private funds: no history
RAUM +18% over the last fiscal year+22% a year over threeIARs 1 to 1offices 0 to 1
Practice profile
derived from the filing of Apr 29, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $157MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 108derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $588,690derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 5.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $136MreportedItem 5.I
- Custody
- $63.3M, 75 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
- is an insurance broker or agent (6.A.6)
- 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$124M79%
- Individuals$22.5M14%
- Pension and profit-sharing plans$5.0M3.2%
- Insurance companies$4.2M2.7%
- Corporations and businesses$595,6630.4%
- Individual clients
- 37reported
- HNW clients
- 71reported
- Pension plan clients
- 7reported
- Charitable clients
- n/areported
- Accounts
- 266reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $63.3M for 75 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••• Q•••••• R••• | Henderson, Nv | Oct 1, 2020 | 33 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
- D••• Q•••••• R••• from M•••••• A•••••• N••••••Oct 1, 2020 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••• D•••• Q•••••• · Owner / Chief Compliance Officercontrolsince 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
- HQ city · VANCOUVER to Feb 18, 2026 to Apr 29, 2026
- HQ state · WA to Feb 18, 2026 to Apr 29, 2026
- Other offices · 0 to 1Feb 18, 2026 to Apr 29, 2026
- Accounts · 265 to 266Mar 13, 2025 to Feb 18, 2026
- HNW clients · 33 to 71Mar 13, 2025 to Feb 18, 2026
- Individual clients · 75 to 37Mar 13, 2025 to Feb 18, 2026
- Assets in custody · $53.1M to $63.3MMar 13, 2025 to Feb 18, 2026
- Discretionary RAUM · $130M to $154MMar 13, 2025 to Feb 18, 2026
- HNW RAUM · $100M to $124MMar 13, 2025 to Feb 18, 2026
- Individual RAUM · $24.3M to $22.5MMar 13, 2025 to Feb 18, 2026
- Non-discretionary RAUM · $2.3M to $2.5MMar 13, 2025 to Feb 18, 2026
- Pension RAUM · $3.7M to $5.0MMar 13, 2025 to Feb 18, 2026
- RAUM · $133M to $157MMar 13, 2025 to Feb 18, 2026
- Accounts · 255 to 265Aug 2, 2024 to Mar 13, 2025
- HNW clients · 23 to 33Aug 2, 2024 to Mar 13, 2025
- Individual clients · 82 to 75Aug 2, 2024 to Mar 13, 2025
- Assets in custody · $36.3M to $53.1MAug 2, 2024 to Mar 13, 2025
- Financial planning clients · unset to Aug 2, 2024 to Mar 13, 2025
- Discretionary RAUM · $101M to $130MAug 2, 2024 to Mar 13, 2025
- HNW RAUM · $67.2M to $100MAug 2, 2024 to Mar 13, 2025
- Individual RAUM · $29.3M to $24.3MAug 2, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $2.3M to $2.3MAug 2, 2024 to Mar 13, 2025
- Pension RAUM · $2.9M to $3.7MAug 2, 2024 to Mar 13, 2025
- RAUM · $103M to $133MAug 2, 2024 to Mar 13, 2025
- Accounts · 254 to 255Apr 5, 2023 to Feb 9, 2024
- Corporate clients · 2.0 to unsetApr 5, 2023 to Feb 9, 2024
- HNW clients · 37 to 23Apr 5, 2023 to Feb 9, 2024
- Individual clients · 107 to 82Apr 5, 2023 to Feb 9, 2024
- Pension plan clients · 3 to 7Apr 5, 2023 to Feb 9, 2024
- Assets in custody · $17.6M to $36.3MApr 5, 2023 to Feb 9, 2024
- Discretionary RAUM · $88.2M to $101MApr 5, 2023 to Feb 9, 2024
- HNW RAUM · $60.1M to $67.2MApr 5, 2023 to Feb 9, 2024
- Individual RAUM · $24.4M to $29.3MApr 5, 2023 to Feb 9, 2024
- Non-discretionary RAUM · $2.1M to $2.3MApr 5, 2023 to Feb 9, 2024
- Pension RAUM · $2.3M to $2.9MApr 5, 2023 to Feb 9, 2024
- RAUM · $90.2M to $103MApr 5, 2023 to Feb 9, 2024
- HNW clients · 36 to 37Mar 31, 2023 to Apr 5, 2023
- Individual clients · 108 to 107Mar 31, 2023 to Apr 5, 2023
- Assets in custody · $16.9M to $17.6MMar 31, 2023 to Apr 5, 2023
- Discretionary RAUM · $85.2M to $88.2MMar 31, 2023 to Apr 5, 2023
Signals
1 dated events
- D••• Q• R••• I••••••••• M••••••••• filed its initial SEC registration (Form ADV)Aug 20, 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
- 360-693-7577reportedpublic record, Form ADV, Apr 29, 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
- $157Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026