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
F•••••••• F•••••••• L••
Latest filing Sep 15, 2026
First filing on the tape Mar 8, 2021 · 28 filings
SEC status approved since Apr 8, 2021
RAUM
$282M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$281M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$70.4M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$282M as of Jun 8, 2026
Jan 13, 2022$206M then
HNW client RAUM$142M as of Jun 8, 2026
Jan 13, 2022$43.3M then
State-registered IARs (5.B.3)2 as of Jun 8, 2026
Jan 13, 20222 then
Employees (5.A)7 as of Jun 8, 2026
Jan 13, 20227 then
Private funds: no history
RAUM +4.2% over the last fiscal year+19% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Sep 15, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $70.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 102derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $153,659derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.5%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $232MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$142M51%
- Individuals$139M49%
- Pension and profit-sharing plans$287,0370.1%
- Individual clients
- 339reported
- HNW clients
- 69reported
- Pension plan clients
- 3reported
- Charitable clients
- 0reported
- Accounts
- 1,832reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• F•••• L•••• | Spokane, Wa | Aug 24, 2021 | 24 y | 2 |
| N••••• Y••••• S•••• | Spokane, Wa | Aug 24, 2021 | 13 y | 2 |
| B••••••• K•••• C••••Certified Financial Planner | Spokane, Wa | Aug 24, 2021 | 14 y | 2 |
| M•••••• F• G•••• | Spokane, Wa | Aug 24, 2021 | 11 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount1 left over 36 months
Left, latest
- J•••• W• G•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 8, 2026 · RIA to wirehouse
Joined, latest
- J••••• F•••• L•••• from F•••••••• A•••••••• I••••••••• M•••••••••Aug 24, 2021 · RIA to RIA
- N••••• Y••••• S•••• from F•••••••• A•••••••• I••••••••• M•••••••••Aug 24, 2021 · RIA to RIA
- B••••••• K•••• C•••• from F•••••••• A•••••••• I••••••••• M•••••••••Aug 24, 2021 · RIA to RIA
- M•••••• F• G•••• from F•••••••• A•••••••• I••••••••• M•••••••••Aug 24, 2021 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from F•••••••• A•••••••• I••••••••• M•••••••••Jul 16, 2021 · Olympia, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••• J•••• L• · Chief Compliance Officercontrolsince 02/2021 · owns less than 5%
- L••••• J•••••• F•••• · Principalcontrolsince 02/2021 · owns 50% to 75%
- C••••• B•••••••• K•••• · Partnersince 11/2022 · owns 10% to 25%
- S••••• N•••••• Y••••• · Chief Operations Officersince 04/2021 · owns 10% to 25%
Related persons
Schedule D 7.A
- F•••• T••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Spokane, Wa · principal | 4 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Newport Beach, CA2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 24, 2026HNW share of RAUM moved from 11.0% to 51.0% between the annual amendments of 2025-03-07 and 2026-03-24peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Financial planning clients · 51-100 to 51-100Jun 8, 2026 to Sep 15, 2026
- Succession · false to unsetJun 8, 2026 to Sep 15, 2026
- Advisory employees · 4 to 3Mar 24, 2026 to Jun 8, 2026
- Employees · 8 to 7Mar 24, 2026 to Jun 8, 2026
- State-registered IARs · 3 to 2Mar 24, 2026 to Jun 8, 2026
- Accounts · 1,821 to 1,832Oct 7, 2025 to Feb 24, 2026
- Advisory employees · 3 to 4Oct 7, 2025 to Feb 24, 2026
- Advisory activities · 3 to 2Oct 7, 2025 to Feb 24, 2026
- BD registered reps · 4 to 5Oct 7, 2025 to Feb 24, 2026
- HNW clients · 18 to 69Oct 7, 2025 to Feb 24, 2026
- Individual clients · 433 to 339Oct 7, 2025 to Feb 24, 2026
- Pension plan clients · 6 to 3Oct 7, 2025 to Feb 24, 2026
- State-registered IARs · 2 to 3Oct 7, 2025 to Feb 24, 2026
- Discretionary RAUM · $262M to $272MOct 7, 2025 to Feb 24, 2026
- HNW RAUM · $30.1M to $142MOct 7, 2025 to Feb 24, 2026
- Individual RAUM · $238M to $139MOct 7, 2025 to Feb 24, 2026
- Non-discretionary RAUM · $8.4M to $9.4MOct 7, 2025 to Feb 24, 2026
- Pension RAUM · $2.5M to $287,037Oct 7, 2025 to Feb 24, 2026
- RAUM · $270M to $282MOct 7, 2025 to Feb 24, 2026
- Accounts · 1,809 to 1,821Jul 24, 2024 to Mar 7, 2025
- HNW clients · 66 to 18Jul 24, 2024 to Mar 7, 2025
- Individual clients · 410 to 433Jul 24, 2024 to Mar 7, 2025
- Pension plan clients · 2 to 6Jul 24, 2024 to Mar 7, 2025
- Financial planning clients · 51-100 to 51-100Jul 24, 2024 to Mar 7, 2025
- Discretionary RAUM · $200M to $262MJul 24, 2024 to Mar 7, 2025
- HNW RAUM · $112M to $30.1MJul 24, 2024 to Mar 7, 2025
- Individual RAUM · $119M to $238MJul 24, 2024 to Mar 7, 2025
- Non-discretionary RAUM · $32.5M to $8.4MJul 24, 2024 to Mar 7, 2025
- Pension RAUM · $2.0M to $2.5MJul 24, 2024 to Mar 7, 2025
- RAUM · $233M to $270MJul 24, 2024 to Mar 7, 2025
- Employees · 9 to 8Mar 15, 2024 to Jul 24, 2024
- Accounts · 1,155 to 1,809Oct 16, 2023 to Mar 6, 2024
- HNW clients · 35 to 66Oct 16, 2023 to Mar 6, 2024
- Individual clients · 427 to 410Oct 16, 2023 to Mar 6, 2024
- Pension plan clients · 0 to 2Oct 16, 2023 to Mar 6, 2024
- Employees · 8 to 9Oct 16, 2023 to Mar 6, 2024
- Other offices · 0 to 1Oct 16, 2023 to Mar 6, 2024
- Discretionary RAUM · $168M to $200MOct 16, 2023 to Mar 6, 2024
- HNW RAUM · $51.0M to $112MOct 16, 2023 to Mar 6, 2024
- Individual RAUM · $117M to $119MOct 16, 2023 to Mar 6, 2024
Signals
2 dated events
- J•••• W• G•••• left F•••••••• F•••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2026-07-08)Jun 8, 2026 · Advisor changed firm · fact
- F•••••••• F•••••••• L•• filed its initial SEC registration (Form ADV)Mar 8, 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 email
- info@fortitudefinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 509-931-1198reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 509-931-1199reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/fortitude-financial-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- fortitudefinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 509-931-1199reportedpublic record, Form ADV, Sep 15, 2026
- Contact form
- fortitudefinancial.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- fortitudefinancial.com/team-member-01reportedpublished by the firm, firm site, Sep 15, 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
- $70.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026