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
G•••••••• F•••••••• • E••••• S•••••••• I•••
Latest filing Feb 26, 2026
First filing on the tape Mar 14, 2025 · 2 filings
SEC status approved since Apr 14, 2025
RAUM
$117M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
93%
$109M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$58.6M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$117M as of Feb 26, 2026
Mar 14, 2025$104M then
HNW client RAUM$62.8M as of Feb 26, 2026
Mar 14, 2025$36.0M then
State-registered IARs (5.B.3)1 as of Feb 26, 2026
Mar 14, 20253 then
Employees (5.A)1 as of Feb 26, 2026
Mar 14, 20253 then
Private funds: no history
RAUM +13% over the last fiscal yearIARs 3 to 1
Practice profile
derived from the filing of Feb 26, 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
- RAUM per advisor
- $58.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 104derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $212,537derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 7.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$62.8M54%
- Individuals$45.9M39%
- Pension and profit-sharing plans$8.4M7.2%
- Individual clients
- 173reported
- HNW clients
- 34reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 551reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 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 |
|---|---|---|---|---|
| J••• W•••••• T•••••• R••••••••Certified Financial Planner | Kirkland, Wa | Mar 29, 2022 | 10 y | 2 |
| C••••• L••• H•••••••• | Kirkland, Wa | Apr 28, 2022 | 29 y | 2 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- J••• C••••••••• D••••••• to H•••••• I••••••••• I•••Jan 29, 2026 · RIA to RIA
Joined, latest
- J••• C••••••••• D••••••• from T•• M••••• G••••• L••Jan 19, 2025 · RIA to RIA
- C••••• L••• H•••••••• from S••••••••• A•••••• A•••••••• I•••Apr 28, 2022 · Affiliated broker-dealer or bank to independent RIA
- J••• W•••••• T•••••• R•••••••• from S••••••••• A•••••• A•••••••• I•••Mar 29, 2022 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• C•••••• L••• · Principalcontrolsince 01/2019 · owns 25% to 50%
- R••••••••• J•••• W•••••• T•••••• · Principal/Chief Compliance Officercontrolsince 01/2019 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Kirkland, Wa · principal | 2 | 0 | 1 |
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 Feb 26, 2026HNW share of RAUM moved from 35.0% to 54.0% between the annual amendments of 2025-03-14 and 2026-02-26peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 510 to 551Mar 14, 2025 to Feb 26, 2026
- Advisory employees · 2 to 1Mar 14, 2025 to Feb 26, 2026
- Corporate clients · 1 to 0Mar 14, 2025 to Feb 26, 2026
- HNW clients · 17 to 34Mar 14, 2025 to Feb 26, 2026
- Individual clients · 179 to 173Mar 14, 2025 to Feb 26, 2026
- Employees · 3 to 1Mar 14, 2025 to Feb 26, 2026
- Financial planning clients · to 0Mar 14, 2025 to Feb 26, 2026
- State-registered IARs · 3 to 1Mar 14, 2025 to Feb 26, 2026
- Discretionary RAUM · $95.6M to $109MMar 14, 2025 to Feb 26, 2026
- HNW RAUM · $36.0M to $62.8MMar 14, 2025 to Feb 26, 2026
- Individual RAUM · $59.6M to $45.9MMar 14, 2025 to Feb 26, 2026
- Non-discretionary RAUM · $8.0M to $8.4MMar 14, 2025 to Feb 26, 2026
- Pension RAUM · $8.0M to $8.4MMar 14, 2025 to Feb 26, 2026
- RAUM · $104M to $117MMar 14, 2025 to Feb 26, 2026
Signals
1 dated events
- J••• C••••••••• D••••••• left G•••••••• F•••••••• • E••••• S•••••••• I••• for H•••••• I••••••••• I••• (registered 2026-01-28)Jan 29, 2026 · Advisor changed firm · 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
- c•••@g•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 206-352-9186reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 206-352-9205reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- g•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 206-352-9205reportedpublic record, Form ADV, Feb 26, 2026
- Contact form
- g•••••••••.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
- $58.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026