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
S••••••• P•••••• W••••• L••
Latest filing May 4, 2026
First filing on the tape Mar 1, 2021 · 17 filings
SEC status approved since Mar 31, 2021
RAUM
$124M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$123M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$62.0M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$124M as of May 4, 2026
Mar 16, 2022$135M then
HNW client RAUM$86.8M as of May 4, 2026
Mar 16, 2022$96.4M then
State-registered IARs (5.B.3)2 as of May 4, 2026
Mar 16, 20222 then
Employees (5.A)3 as of May 4, 2026
Mar 16, 20224 then
Private funds: no history
RAUM -1.0% over the last fiscal year+4.8% a year over threeIARs 1 to 2
Practice profile
derived from the filing of May 4, 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
- 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
- $62.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $389,980derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.5%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $124MreportedItem 5.I
- Custody
- $29.0M, 42 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$86.8M70%
- Individuals$36.2M29%
- Charitable organizations$590,1930.5%
- Corporations and businesses$439,3610.4%
- Pension and profit-sharing plans$17,1520.0%
- Individual clients
- 88reported
- HNW clients
- 60reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 318reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $29.0M for 42 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 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 |
|---|---|---|---|---|
| A••••• A•••••••• D•••••••Certified Financial Planner, Chartered Financial Consultant | Yakima, Wa | Jun 18, 2021 | 37 y | 2 |
| B•••••• M•••••• W••• | Yakima, Wa | Jun 16, 2025 | 12 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
- A••••• A•••••••• D••••••• from W•••• F•••• A•••••••Jun 18, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• A•••••• A•••••••• · Chief Compliance Officer,President, Chief Investment Officercontrolsince 02/2021 · owns 75% or more
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 | 2 | 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
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 85.0% to 70.0% between the annual amendments of 2025-03-06 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Employees · 363 to 3Mar 31, 2026 to May 4, 2026
- Accounts · 334 to 318Sep 30, 2025 to Mar 31, 2026
- Advisory employees · 1 to 2Sep 30, 2025 to Mar 31, 2026
- HNW clients · 73 to 60Sep 30, 2025 to Mar 31, 2026
- Individual clients · 70 to 88Sep 30, 2025 to Mar 31, 2026
- Assets in custody · $10.7M to $29.0MSep 30, 2025 to Mar 31, 2026
- Employees · 3 to 363Sep 30, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 1-10Sep 30, 2025 to Mar 31, 2026
- State-registered IARs · 1 to 2Sep 30, 2025 to Mar 31, 2026
- Discretionary RAUM · $124M to $123MSep 30, 2025 to Mar 31, 2026
- HNW RAUM · $107M to $86.8MSep 30, 2025 to Mar 31, 2026
- Individual RAUM · $17.0M to $36.2MSep 30, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $1.2M to $987,304Sep 30, 2025 to Mar 31, 2026
- Pension RAUM · $30,310 to $17,152Sep 30, 2025 to Mar 31, 2026
- RAUM · $125M to $124MSep 30, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Jun 3, 2025 to Sep 30, 2025
- Accounts · 341 to 334Jan 2, 2025 to Feb 14, 2025
- HNW clients · 77 to 73Jan 2, 2025 to Feb 14, 2025
- Individual clients · 69 to 70Jan 2, 2025 to Feb 14, 2025
- Assets in custody · $42.1M to $10.7MJan 2, 2025 to Feb 14, 2025
- Discretionary RAUM · $110M to $124MJan 2, 2025 to Feb 14, 2025
- HNW RAUM · $95.5M to $107MJan 2, 2025 to Feb 14, 2025
- Individual RAUM · $14.4M to $17.0MJan 2, 2025 to Feb 14, 2025
- Non-discretionary RAUM · $1.2M to $1.2MJan 2, 2025 to Feb 14, 2025
- Pension RAUM · $27,676 to $30,310Jan 2, 2025 to Feb 14, 2025
- RAUM · $111M to $125MJan 2, 2025 to Feb 14, 2025
- Assets in custody · unset to 42069301.0Jul 8, 2024 to Oct 28, 2024
- Custody of client assets · false to trueJul 8, 2024 to Oct 28, 2024
- Accounts · 415 to 341Mar 24, 2023 to Mar 10, 2024
- Advisory activities · 2 to 3Mar 24, 2023 to Mar 10, 2024
- HNW clients · 87 to 77Mar 24, 2023 to Mar 10, 2024
- Individual clients · 80 to 69Mar 24, 2023 to Mar 10, 2024
- Financial planning clients · unset to 0Mar 24, 2023 to Mar 10, 2024
- Discretionary RAUM · $107M to $110MMar 24, 2023 to Mar 10, 2024
- HNW RAUM · $24.2M to $95.5MMar 24, 2023 to Mar 10, 2024
- Individual RAUM · $83.0M to $14.4MMar 24, 2023 to Mar 10, 2024
- Non-discretionary RAUM · $990,152 to $1.2MMar 24, 2023 to Mar 10, 2024
- Pension RAUM · unset to 27676.0Mar 24, 2023 to Mar 10, 2024
- RAUM · $108M to $111MMar 24, 2023 to Mar 10, 2024
- Accounts · 397 to 415Nov 18, 2022 to Mar 24, 2023
Signals
2 dated events
- Edward Jonathon Fassett (Chief Compliance Officer) no longer on Schedule A of S••••••• P•••••• W••••• L•• (listed 2022-08-10, absent 2022-11-18)Nov 18, 2022 · Control person left · inference
- S••••••• P•••••• W••••• L•• filed its initial SEC registration (Form ADV)Mar 1, 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
- Business phone
- 509-853-1597reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/suriencereportedpublic record, Form ADV, Sep 19, 2026
- Website
- s•••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (509) 853-1597reportedpublic record, Form ADV, May 4, 2026
- Contact form
- s•••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- s•••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $62.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026