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
U•• L••
Latest filing Jan 12, 2026
First filing on the tape Jun 15, 2021 · 11 filings
SEC status approved since Jul 15, 2021
RAUM
$215M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
98%
$211M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$107M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$215M as of Jan 12, 2026
Feb 10, 2022$121M then
HNW client RAUM$184M as of Jan 12, 2026
Feb 10, 2022$91.5M then
State-registered IARs (5.B.3)2 as of Jan 12, 2026
Feb 10, 20222 then
Employees (5.A)2 as of Jan 12, 2026
Feb 10, 20222 then
Private funds: no history
RAUM +15% over the last fiscal year+30% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 12, 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
- RAUM per advisor
- $107MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $865,205derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%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
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -22%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$184M86%
- Individuals$27.3M13%
- Corporations and businesses$3.5M1.6%
- Individual clients
- 59reported
- HNW clients
- 43reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 248reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 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•••• G•••••• W••••••••• | Vancouver, Wa | Jul 30, 2021 | 31 y | 2 |
| J••••• L•• B•••• | Mesquite, Nv | Aug 25, 2021 | 27 y | 2 |
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
- J••••• L•• B•••• from W•••• F•••• A•••••••Aug 25, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A•••• G•••••• W••••••••• from W•••• F•••• A•••••••Jul 30, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•••• F•••• A•••••••Aug 5, 2021 · Vancouver, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J•••••• L•• · Ccocontrolsince 06/2021 · owns less than 5%
- W••••••••• A••••• G•••••• · Ownercontrolsince 07/2021 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Jan 12, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $186,732,601 to $214,570,738, advisors 2 to 2, private clients 131 to 102, offices 1 to 1 (2025-02-06 to 2026-01-12)peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 257 to 248Feb 6, 2025 to Jan 12, 2026
- Corporate clients · 0 to 1Feb 6, 2025 to Jan 12, 2026
- HNW clients · 62 to 43Feb 6, 2025 to Jan 12, 2026
- Individual clients · 69 to 59Feb 6, 2025 to Jan 12, 2026
- Discretionary RAUM · $159M to $183MFeb 6, 2025 to Jan 12, 2026
- HNW RAUM · $159M to $184MFeb 6, 2025 to Jan 12, 2026
- Individual RAUM · $24.7M to $27.3MFeb 6, 2025 to Jan 12, 2026
- Non-discretionary RAUM · $27.4M to $31.4MFeb 6, 2025 to Jan 12, 2026
- RAUM · $187M to $215MFeb 6, 2025 to Jan 12, 2026
- Accounts · 223 to 257Mar 15, 2024 to Feb 6, 2025
- HNW clients · 36 to 62Mar 15, 2024 to Feb 6, 2025
- Individual clients · 86 to 69Mar 15, 2024 to Feb 6, 2025
- Financial planning clients · 0 to 0Mar 15, 2024 to Feb 6, 2025
- Discretionary RAUM · $131M to $159MMar 15, 2024 to Feb 6, 2025
- HNW RAUM · $111M to $159MMar 15, 2024 to Feb 6, 2025
- Individual RAUM · $31.8M to $24.7MMar 15, 2024 to Feb 6, 2025
- Non-discretionary RAUM · $14.1M to $27.4MMar 15, 2024 to Feb 6, 2025
- RAUM · $145M to $187MMar 15, 2024 to Feb 6, 2025
- Accounts · 201 to 223Jan 23, 2023 to Mar 15, 2024
- Individual clients · 80 to 86Jan 23, 2023 to Mar 15, 2024
- Financial planning clients · 1-10 to 0Jan 23, 2023 to Mar 15, 2024
- Discretionary RAUM · $85.7M to $131MJan 23, 2023 to Mar 15, 2024
- HNW RAUM · $73.4M to $111MJan 23, 2023 to Mar 15, 2024
- Individual RAUM · $22.9M to $31.8MJan 23, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $12.4M to $14.1MJan 23, 2023 to Mar 15, 2024
- RAUM · $98.1M to $145MJan 23, 2023 to Mar 15, 2024
- Accounts · 177 to 201Feb 10, 2022 to Jan 23, 2023
- BD registered reps · 2 to 0Feb 10, 2022 to Jan 23, 2023
- HNW clients · 37 to 36Feb 10, 2022 to Jan 23, 2023
- Individual clients · 73 to 80Feb 10, 2022 to Jan 23, 2023
- Financial planning clients · 0 to 1-10Feb 10, 2022 to Jan 23, 2023
- Other offices · 0 to 1Feb 10, 2022 to Jan 23, 2023
- Discretionary RAUM · $110M to $85.7MFeb 10, 2022 to Jan 23, 2023
- HNW RAUM · $91.5M to $73.4MFeb 10, 2022 to Jan 23, 2023
- Individual RAUM · $26.9M to $22.9MFeb 10, 2022 to Jan 23, 2023
- Non-discretionary RAUM · $10.5M to $12.4MFeb 10, 2022 to Jan 23, 2023
- RAUM · $121M to $98.1MFeb 10, 2022 to Jan 23, 2023
- Accounts · 157 to 177Sep 1, 2021 to Feb 10, 2022
- Advisory employees · 3 to 2Sep 1, 2021 to Feb 10, 2022
- HNW clients · 33 to 37Sep 1, 2021 to Feb 10, 2022
Signals
2 dated events
- Gaminee Asoka Weeraratne (Owner) appeared on Schedule A of U•• L••Jul 30, 2021 · Control person joined · fact
- U•• L•• filed its initial SEC registration (Form ADV)Jun 15, 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
- u••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 360.360.0344reportedpublic record, Form ADV, Jan 12, 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
- $107Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026