DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C••••••• F••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Oct 22, 2021 · 18 filings
SEC status approved since Mar 9, 2022
RAUM
$9.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$9.0M
derived; firm RAUM over IAPD count
Employees
0
0 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$9.0M as of Mar 31, 2026
Feb 14, 2023$6.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Feb 14, 20230 then
Employees (5.A)0 as of Mar 31, 2026
Feb 14, 20230 then
Private funds: no history
RAUM +11% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $9.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 16,757derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $9.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $9.0M, 1 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)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$9.0M100%
- Individual clients
- 16,564reported
- HNW clients
- 193reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $9.0M for 1 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| S••• C•••• H•••• | Seattle, Wa | Sep 12, 2022 | 19 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• W••••••• C••••••••• · Chief Compliance Officercontrolsince 04/2023 · owns less than 5%
- H••••• S•••• C•••• · Chief Executive Officercontrolsince 05/2019 · owns less than 5%
- M••••••• J•••••• L••• · Chief Technology Officercontrolsince 05/2019 · owns less than 5%
- H••••• S•••• C•••• · Ceocontrolsince 05/2019 · owns 25% to 50% of C••••••• I•••
- M••••••• J•••••• L••• · Ctocontrolsince 05/2019 · owns 25% to 50% of C••••••• I•••
Entity owners
- C••••••• I••• · Sole Memberdirect · 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.
ADV anomalies
0 against comparable advisers; where to look, not conclusions
Nothing stands out against peers.
Data quality: total accounts (5.F.2.f) is below the private client count (5.D) by half or more on the filing of 2026-03-31
What changed
consecutive filings, newest first
- HNW clients · 174 to 193Jun 13, 2025 to Mar 31, 2026
- Individual clients · 15,040 to 16,564Jun 13, 2025 to Mar 31, 2026
- Assets in custody · $8.1M to $9.0MJun 13, 2025 to Mar 31, 2026
- Discretionary RAUM · $8.1M to $9.0MJun 13, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $8.1M to $9.0MJun 13, 2025 to Mar 31, 2026
- RAUM · $8.1M to $9.0MJun 13, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jun 13, 2025
- HNW clients · 136 to 174Sep 18, 2024 to Mar 31, 2025
- Individual clients · 11,763 to 15,040Sep 18, 2024 to Mar 31, 2025
- Assets in custody · $8.2M to $8.1MSep 18, 2024 to Mar 31, 2025
- Discretionary RAUM · $8.2M to $8.1MSep 18, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $8.2M to $8.1MSep 18, 2024 to Mar 31, 2025
- RAUM · $8.2M to $8.1MSep 18, 2024 to Mar 31, 2025
- HNW clients · unset to 136.0Jul 24, 2023 to Mar 29, 2024
- Individual clients · 727 to 11,763Jul 24, 2023 to Mar 29, 2024
- Assets in custody · $6.0M to $8.2MJul 24, 2023 to Mar 29, 2024
- Discretionary RAUM · $6.0M to $8.2MJul 24, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $6.0M to $8.2MJul 24, 2023 to Mar 29, 2024
- RAUM · $6.0M to $8.2MJul 24, 2023 to Mar 29, 2024
- Accounts · 0 to 1Jan 20, 2023 to Feb 14, 2023
- Advisory employees · 1 to 0Jan 20, 2023 to Feb 14, 2023
- Advisory activities · 2 to 3Jan 20, 2023 to Feb 14, 2023
- Individual clients · unset to 727.0Jan 20, 2023 to Feb 14, 2023
- Pooled vehicle clients · unset to 1.0Jan 20, 2023 to Feb 14, 2023
- Assets in custody · $0 to $6.0MJan 20, 2023 to Feb 14, 2023
- Employees · 4 to 0Jan 20, 2023 to Feb 14, 2023
- State-registered IARs · 1 to 0Jan 20, 2023 to Feb 14, 2023
- Discretionary RAUM · $0 to $6.0MJan 20, 2023 to Feb 14, 2023
- Pooled vehicle RAUM · unset to 5974964.0Jan 20, 2023 to Feb 14, 2023
- RAUM · $0 to $6.0MJan 20, 2023 to Feb 14, 2023
- Assets in custody · unset to 0.0Jan 5, 2022 to Feb 24, 2022
- Custody of client assets · false to trueJan 5, 2022 to Feb 24, 2022
Signals
4 dated events
- Thomas C••••••••• Carsley (Chief Investment Officer) no longer on Schedule A of C••••••• F••• M••••••••• L•• (listed 2024-03-29, absent 2024-09-18)Sep 18, 2024 · Control person left · inference
- Alexander Erick Aguayo (Chief Compliance Officer) no longer on Schedule A of C••••••• F••• M••••••••• L•• (listed 2023-02-14, absent 2023-04-11)Apr 11, 2023 · Control person left · inference
- Alexander Erick Aguayo (Chief Compliance Officer) appeared on Schedule A of C••••••• F••• M••••••••• L••Jan 20, 2023 · Control person joined · fact
- C••••••• F••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 22, 2021 · 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
- Website
- c•••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 206-350-7570reportedpublic record, Form ADV, Mar 31, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $9.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026