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
B•••••• P••••• W••••• M•••••••
Legal name B•••••• P••••• W••••• M•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 22, 2021 · 24 filings
SEC status approved since Jul 26, 2021
RAUM
$7.3B
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
96%
$7.0B individuals and HNW
Advisors
27
registered through the firm on IAPD
RAUM per advisor
$270M
derived; firm RAUM over IAPD count
Employees
45
26 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$7.3B as of Mar 31, 2026
Mar 31, 2022$4.8B then
HNW client RAUM$6.9B as of Mar 31, 2026
Mar 31, 2022$3.8B then
State-registered IARs (5.B.3)26 as of Mar 31, 2026
Mar 31, 202221 then
Employees (5.A)45 as of Mar 31, 2026
Mar 31, 202224 then
Private funds: no history
RAUM +23% over the last fiscal year+20% a year over threeIARs 23 to 26
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $270MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.7MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 6.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +20%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Custody
- $2.1B, 608 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- controlled by a public reporting company (10.A)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$6.9B94%
- Corporations and businesses$205M2.8%
- Charitable organizations$118M1.6%
- Individuals$93.3M1.3%
- Individual clients
- 259reported
- HNW clients
- 1,023reported
- Pension plan clients
- n/areported
- Charitable clients
- 17reported
- Accounts
- 3,486reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.1B for 608 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
27 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• L••••• P•••••• R••Certified Financial Planner, Chartered Financial Analyst | Seattle, Wa | Aug 2, 2021 | 28 y | 3 |
| M•••••• R••••• G•••• | Seattle, Wa | Aug 2, 2021 | 25 y | 1 |
| P•••••• D•••• R•••••• | Seattle, Wa | Aug 2, 2021 | 24 y | 1 |
| W•••• L•••• T••••• | Seattle, Wa | Aug 2, 2021 | 25 y | 1 |
| M•••••• J••• S••••••Chartered Financial Consultant | Seattle, Wa | Aug 2, 2021 | 22 y | 1 |
| M••••••• T• S•••••• | Seattle, Wa | Aug 2, 2021 | 10 y | 1 |
| K•••••••• D••••• W•••Chartered Financial Analyst | Seattle, Wa | Aug 2, 2021 | 17 y | 1 |
| M•••• E•••••••• W••••Certified Financial Planner | Crozet, Va | Aug 2, 2021 | 11 y | 2 |
| N•••••• A••••• M••••• | Seattle, Wa | Aug 2, 2021 | 13 y | 1 |
| S••••• C•••••• P•••••Chartered Financial Analyst, Chartered Investment Counselor | Seattle, Wa | Aug 2, 2021 | 39 y | 1 |
| T•••••• J••• T•••••Chartered Financial Analyst | Seattle, Wa | Aug 2, 2021 | 31 y | 1 |
| C••••• L•• P•••• | Seattle, Wa | Aug 2, 2021 | 31 y | 1 |
| J•••• K•••• C•••••••• | Seattle, Wa | Aug 2, 2021 | 43 y | 1 |
| C••••• M••••• S•••••••Chartered Financial Analyst, Chartered Investment Counselor | Seattle, Wa | Aug 2, 2021 | 29 y | 1 |
| E•••• J•••• S••••••••Chartered Financial Analyst | Seattle, Wa | Aug 2, 2021 | 24 y | 4 |
| K••••• E•••••••• L••••••••• | Seattle, Wa | Aug 7, 2022 | 10 y | 1 |
| A••• J•••••••• I•••••Certified Financial Planner | Seattle, Wa | Nov 11, 2022 | 12 y | 0 |
| J•••• E••• S•••••Chartered Financial Analyst | Seattle, Wa | Mar 6, 2023 | 18 y | 0 |
| S•••• M••• E•••••••Chartered Financial Analyst | Seattle, Wa | Feb 21, 2024 | 14 y | 4 |
| J•••• C••••••• K•••••••Chartered Financial Analyst | Seattle, Wa | Feb 28, 2024 | 15 y | 1 |
| D•••• M•••••• B•••••• | Seattle, Wa | Jun 10, 2024 | 30 y | 1 |
| B•• J•••• D••••••••Certified Financial Planner | Boise, Id | Mar 4, 2025 | 12 y | 2 |
| H••••• D•••• M•••••• | Seattle, Wa | Nov 4, 2025 | 40 y | 3 |
| G•••••• S•••• R•••••••Chartered Financial Analyst | Seattle, Wa | Nov 4, 2025 | 39 y | 1 |
| P••••• P•••••••• C•••••• | Seattle, Wa | Mar 2, 2026 | 11 y | 1 |
| T••••• M•••••• K•••••••Certified Financial Planner | Seattle, Wa | Aug 13, 2026 | 10 y | 0 |
| M•••••• V• W••••••••Certified Financial Planner | Seattle, Wa | Aug 27, 2026 | 11 y | 0 |
Advisor movement
1 left, 3 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 3.7% of current headcount4 left over 36 months
Left, latest
- E•••• K•• K••• to F•••••••• C•••••• M••••••••• L••Jan 21, 2026 · RIA to RIA
- A••••• J• H••••• to M••••• • S••••••••• W••••• M••••••••• L••Mar 4, 2025 · RIA to RIA
- T•••••• C••••• S••••• to A•••• W••••• A•••••••Sep 19, 2024 · RIA to RIA
- P••• C••••••• H•••• to M•••••••• C•••••• L••Jan 17, 2024 · RIA to a state-registered adviser
- K••••• B••••• B••••• D•••••• to S•• I••••••••• M••••••••• C•••Jul 5, 2022 · Other
- J•••••• M••• W•••••• to A•••••• F•••••••• P•••••••May 20, 2022 · RIA to a state-registered adviser
Joined, latest
- P••••• P•••••••• C•••••• from A••••• I••••••••• I•••Mar 2, 2026 · RIA to RIA
- H••••• D•••• M•••••• from M••••••• • S•••••••• I•••Nov 4, 2025 · RIA to RIA
- G•••••• S•••• R••••••• from M••••••• • S•••••••• I•••Nov 4, 2025 · RIA to RIA
- B•• J•••• D•••••••• from I••••••••• F•••••••• P•••••••Mar 4, 2025 · Affiliated broker-dealer or bank to independent RIA
- D•••• M•••••• B•••••• from D••• D••••••• • C••Jun 10, 2024 · RIA to RIA
- J•••• C••••••• K••••••• from B•••• A•••• M•••••••••Feb 28, 2024 · Other
- S•••• M••• E••••••• from S•••••• P••••••• I••••••••• S••••••••• L••Feb 21, 2024 · RIA to RIA
- K••••• E•••••••• L••••••••• from C••••••••• W••••• M•••••••••Aug 7, 2022 · RIA to RIA
- A••••• J• H••••• from A••••• W•••••Apr 28, 2022 · RIA to RIA
- T•••••• C••••• S••••• from B••••••• J•••• L••Apr 28, 2022 · RIA to RIA
- K••••• B••••• B••••• D•••••• from D••••••••• F•••••••• S•••••••Apr 1, 2022 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M••••••• • S•••••••• I•••Nov 4, 2025 · Seattle, Wa
- 18 joined from B•••••• P••••• W••••• M•••••••Aug 1, 2021 · Seattle, Wa · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• J••••• K•••• · Wealth Managercontrolsince 06/2021 · owns less than 5%
- G••••• M••••••• R••••• · Wealth Managercontrolsince 01/2025 · owns less than 5%
- P•••••• R••• J••••• L••••• · Chief Executive Officer And Wealth Manager Wealth Managercontrolsince 06/2021 · owns less than 5%
- P••••• C•••••• L•• · Director Of M•••Etingcontrolsince 06/2021 · owns less than 5%
- P•••••• S•••••• C•••••• · Wealth Managercontrolsince 06/2021 · owns less than 5%
- R••••••• P••••••• D•••• · Wealth Managercontrolsince 01/2022 · owns less than 5%
- S•••••••• C•••••• M••••• · Fixed Income Manager And Wealth Managercontrolsince 06/2021 · owns less than 5%
- S•••••• D••••• S••••• · Chief Compliance Officer And Chief O•••••••• Officercontrolsince 12/2023 · owns less than 5%
- T•••••• T••••••• J••• · Chief Investment Officer And Wealth Managercontrolsince 01/2025 · owns less than 5%
- W•••• K••••••••• D••••• · Wealth Managercontrolsince 01/2023 · owns less than 5%
- W••••• M••••• E•••••••• · Wealth Manager And Financial Plannercontrolsince 01/2022 · owns less than 5%
Entity owners
- F•••• O••••••••• L•• · Member (Manager)direct · owns 75% or more
- C••• F•••••••• C••••••••• L••• · Partnerindirect · owns 25% to 50% of C••• F•••••••• H•••••••• L•••
- C••• F•••••••• H•••••••• L••• · Partnerindirect · owns 50% to 75% of F•••••••• F•• U••••••• H•••••••• L•
- C•••••• D••••••• • R••• F••• X••• L••• · Partnerindirect · owns 50% to 75% of C••• F•••••••• H•••••••• L•••
- F•••••••• F•• A••••••••• L•• · Shareholder, Class A Common Stockindirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
- F•••••••• F•• I••••••••• H•••••••• L•• · Memberindirect · owns 75% or more of F•••••••• F•• A••••••••• L••
- F•••••••• F•• P•••••• I••• · Memberindirect · owns 75% or more of F•••••••• F•• I••••••••• H•••••••• L••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholder, Class B Common Stockindirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholderindirect · owns 75% or more of F•••••••• F•• P•••••• I•••
- F•••• F•••••••• P••••••• I••• · Memberindirect · owns 75% or more of F•••• F•••••••• P•••••••• L••
- F•••• F•••••••• P•••••••• L•• · Memberindirect · owns 75% or more of F•••• O••••••••• L••
Related persons
Schedule D 7.A
- F•••• R••• S••••••••• L••real estaten
- S•• C•••••• M••••••••• L••investment adviserpooled vehicle sponsornRAUM $49B
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Seattle, Wa · principal | 27 | 5 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Charlottesville, VA1 employees
- Ketchum, ID1 employees
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 31, 2026G••••• M••••••• R••••• (WEALTH MANAGER) appeared on Schedule A between the filings of 2024-01-30 and 2026-03-31peers: WEALTH_I•••••••••, $5B to $20B (289)
- control person changedChange between filings · filing Mar 31, 2026S•••••••• C•••••• M••••• (FIXED INCOME MANAGER AND WEALTH MANAGER) left Schedule A between the filings of 2024-01-30 and 2026-03-31peers: WEALTH_I•••••••••, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 2,875 to 3,486Jan 21, 2026 to Mar 31, 2026
- Corporate clients · 19 to 57Jan 21, 2026 to Mar 31, 2026
- HNW clients · 783 to 1,023Jan 21, 2026 to Mar 31, 2026
- Individual clients · 282 to 259Jan 21, 2026 to Mar 31, 2026
- Assets in custody · $534M to $2.1BJan 21, 2026 to Mar 31, 2026
- Employees · 43 to 45Jan 21, 2026 to Mar 31, 2026
- State-registered IARs · 23 to 26Jan 21, 2026 to Mar 31, 2026
- Discretionary RAUM · $5.5B to $6.9BJan 21, 2026 to Mar 31, 2026
- HNW RAUM · $5.5B to $6.9BJan 21, 2026 to Mar 31, 2026
- Individual RAUM · $160M to $93.3MJan 21, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $384M to $380MJan 21, 2026 to Mar 31, 2026
- Pension RAUM · 4674069.0 to unsetJan 21, 2026 to Mar 31, 2026
- RAUM · $5.9B to $7.3BJan 21, 2026 to Mar 31, 2026
- Financial planning clients · 251-500 to 251-500Mar 28, 2025 to May 16, 2025
- Accounts · 2,648 to 2,875Sep 13, 2024 to Mar 28, 2025
- Advisory employees · 22 to 26Sep 13, 2024 to Mar 28, 2025
- Charity clients · 25 to 17Sep 13, 2024 to Mar 28, 2025
- Corporate clients · 13 to 19Sep 13, 2024 to Mar 28, 2025
- HNW clients · 726 to 783Sep 13, 2024 to Mar 28, 2025
- Individual clients · 271 to 282Sep 13, 2024 to Mar 28, 2025
- Pension plan clients · 2.0 to unsetSep 13, 2024 to Mar 28, 2025
- Assets in custody · $618M to $534MSep 13, 2024 to Mar 28, 2025
- Employees · 37 to 43Sep 13, 2024 to Mar 28, 2025
- Financial planning clients · 101-250 to 251-500Sep 13, 2024 to Mar 28, 2025
- State-registered IARs · 24 to 23Sep 13, 2024 to Mar 28, 2025
- Discretionary RAUM · $4.8B to $5.5BSep 13, 2024 to Mar 28, 2025
- HNW RAUM · $4.8B to $5.5BSep 13, 2024 to Mar 28, 2025
- Individual RAUM · $140M to $160MSep 13, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $356M to $384MSep 13, 2024 to Mar 28, 2025
- Pension RAUM · $9.8M to $4.7MSep 13, 2024 to Mar 28, 2025
- RAUM · $5.1B to $5.9BSep 13, 2024 to Mar 28, 2025
- Related insurance company · false to trueSep 13, 2024 to Mar 28, 2025
- Advisory activities · 4 to 5Aug 14, 2024 to Sep 13, 2024
- Accounts · 2,340 to 2,648Jan 30, 2024 to Mar 28, 2024
- Advisory employees · 19 to 22Jan 30, 2024 to Mar 28, 2024
- Charity clients · 42 to 25Jan 30, 2024 to Mar 28, 2024
- Corporate clients · 15 to 13Jan 30, 2024 to Mar 28, 2024
- HNW clients · 676 to 726Jan 30, 2024 to Mar 28, 2024
- Individual clients · 215 to 271Jan 30, 2024 to Mar 28, 2024
- Pension plan clients · 15 to 2Jan 30, 2024 to Mar 28, 2024
Signals
14 dated events
- E•••• K•• K••• left B•••••• P••••• W••••• M••••••• for F•••••••• C•••••• M••••••••• L•• (registered 2026-01-20)Jan 21, 2026 · Advisor changed firm · fact
- 2 advisors left M••••••• • S•••••••• I••• (Seattle, WA) for B•••••• P••••• W••••• M••••••• on the same dayNov 4, 2025 · Team lift-out · derived
- A••••• J• H••••• left B•••••• P••••• W••••• M••••••• for M••••• • S••••••••• W••••• M••••••••• L•• (registered 2025-01-24)Mar 4, 2025 · Advisor changed firm · fact
- T•••••• C••••• S••••• left B•••••• P••••• W••••• M••••••• for A•••• W••••• A••••••• (registered 2024-10-16)Sep 19, 2024 · Advisor changed firm · fact
- Peightal Lisa Guzman (Chief Compliance Officer And Director Of Business Management) no longer on Schedule A of B•••••• P••••• W••••• M••••••• (listed 2023-11-30, absent 2024-01-30)Jan 30, 2024 · Control person left · inference
- Steven D•••• Spratt (Chief Compliance Officer And Director Of Business Adminstration) appeared on Schedule A of B•••••• P••••• W••••• M•••••••Jan 30, 2024 · Control person joined · fact
- P••• C••••••• H•••• left B•••••• P••••• W••••• M••••••• for M•••••••• C•••••• L•• (registered 2024-04-26)Jan 17, 2024 · Advisor changed firm · fact
- Wilson Mitzi Carletti (Wealth Manager And Research Analyst) no longer on Schedule A of B•••••• P••••• W••••• M••••••• (listed 2023-03-08, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Dewert Katherine Wham (Wealth Manager) appeared on Schedule A of B•••••• P••••• W••••• M•••••••Mar 30, 2023 · Control person joined · fact
- K••••• B••••• B••••• D•••••• left B•••••• P••••• W••••• M••••••• for S•• I••••••••• M••••••••• C••• (registered 2022-07-08)Jul 5, 2022 · Advisor changed firm · fact
- J•••••• M••• W•••••• left B•••••• P••••• W••••• M••••••• for A•••••• F•••••••• P••••••• (registered 2026-06-01)May 20, 2022 · Advisor changed firm · fact
- D•••• Patrick Rodgers (Wealth Manager) appeared on Schedule A of B•••••• P••••• W••••• M•••••••Mar 31, 2022 · Control person joined · fact
- Elizabeth Megan Wiley (Financial Planner) appeared on Schedule A of B•••••• P••••• W••••• M•••••••Mar 31, 2022 · Control person joined · fact
- B•••••• P••••• W••••• M••••••• filed its initial SEC registration (Form ADV)Jun 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
- Business email
- info@badgley.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-869-7173reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 206-623-2042reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 206-623-6172reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- B••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 206-623-6172reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- badgley.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- badgley.com/peoplereportedpublished 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
- $270Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026