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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Latest filing Aug 11, 2026
First filing on the tape Feb 9, 2022 · 11 filings
SEC status approved since Mar 11, 2022
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$1.2B
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$1.2B as of Aug 11, 2026
Mar 15, 2023$395M then
HNW client RAUM: $1.0M
State-registered IARs (5.B.3)0 as of Aug 11, 2026
Mar 15, 20230 then
Employees (5.A)1 as of Aug 11, 2026
Mar 15, 20231 then
Private funds1 as of Aug 11, 2026
Mar 18, 20261 then
RAUM +46% over the last fiscal year+44% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $1.2BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $397MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +46%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$1.2B100%
- Pooled investment vehicles$3.3M0.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• D••• S••••• | Mercer Island, Wa | Oct 28, 2022 | 13 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• W••••••• D••• · Managing Member & Ccocontrolsince 01/2022 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory activities · 3 to 2Feb 27, 2025 to Mar 18, 2026
- Pooled vehicle clients · unset to 2.0Feb 27, 2025 to Mar 18, 2026
- Private funds · unset to 1Feb 27, 2025 to Mar 18, 2026
- Discretionary RAUM · $813M to $1.2BFeb 27, 2025 to Mar 18, 2026
- HNW RAUM · 1023000.0 to unsetFeb 27, 2025 to Mar 18, 2026
- Pooled vehicle RAUM · unset to 3250000.0Feb 27, 2025 to Mar 18, 2026
- RAUM · $813M to $1.2BFeb 27, 2025 to Mar 18, 2026
- Accounts · 1 to 3Feb 7, 2024 to Feb 27, 2025
- Financial planning clients · unset to Feb 7, 2024 to Feb 27, 2025
- HQ city · unset to Feb 7, 2024 to Feb 27, 2025
- HQ state · unset to Feb 7, 2024 to Feb 27, 2025
- Discretionary RAUM · $599M to $813MFeb 7, 2024 to Feb 27, 2025
- HNW RAUM · unset to 1023000.0Feb 7, 2024 to Feb 27, 2025
- RAUM · $599M to $813MFeb 7, 2024 to Feb 27, 2025
- Business name · C••••••• G••••• I••••••••• A•••••••• L•• to C••••••• G••••• A•••••••• L••Nov 8, 2023 to Feb 7, 2024
- Insurance-licensed employees · 0 to 1Nov 8, 2023 to Feb 7, 2024
- Legal name · C••••••• G••••• I••••••••• A•••••••• L•• to C••••••• G••••• A•••••••• L••Nov 8, 2023 to Feb 7, 2024
- Discretionary RAUM · $395M to $599MNov 8, 2023 to Feb 7, 2024
- RAUM · $395M to $599MNov 8, 2023 to Feb 7, 2024
- Business name · W• P•••••••• A•••••••• L•• to C••••••• G••••• I••••••••• A•••••••• L••Oct 23, 2023 to Nov 8, 2023
- Legal name · W• P•••••••• A•••••••• L•• to C••••••• G••••• I••••••••• A•••••••• L••Oct 23, 2023 to Nov 8, 2023
- Succession · true to falseOct 23, 2023 to Nov 8, 2023
- Succession · false to trueJul 31, 2023 to Oct 23, 2023
- Discretionary RAUM · $401M to $395MApr 14, 2022 to Mar 15, 2023
- RAUM · $401M to $395MApr 14, 2022 to Mar 15, 2023
- Accounts · 0 to 1Feb 11, 2022 to Apr 14, 2022
- Discretionary RAUM · $0 to $401MFeb 11, 2022 to Apr 14, 2022
- RAUM · $0 to $401MFeb 11, 2022 to Apr 14, 2022
Signals
5 dated events
- C••••••• G••••• A•••••••• L•• reported RAUM $1.2B, up 46% from $813.0M (2025-02-27 to 2026-03-18)Mar 18, 2026 · RAUM change · derived
- C••••••• G••••• A•••••••• L•• reported RAUM $813.0M, up 36% from $599.4M (2024-02-07 to 2025-02-27)Feb 27, 2025 · RAUM change · derived
- C••••••• G••••• A•••••••• L•• reported RAUM $599.4M, up 52% from $395.0M (2023-11-08 to 2024-02-07)Feb 7, 2024 · RAUM change · derived
- W• P•••••••• A•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Oct 23, 2023 · Succession (Item 4) · fact
- W• P•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Feb 9, 2022 · 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
- c•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (206) 432-2899reportedpublic record, Form ADV, Aug 11, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.2Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026