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
S•••••• F•••••••• S••••••• L••
Latest filing Apr 15, 2026
First filing on the tape Mar 19, 2025 · 5 filings
SEC status approved since Apr 18, 2025
RAUM
$151M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$151M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$50.4M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$151M as of Apr 15, 2026
Mar 19, 2025$114M then
HNW client RAUM$57.9M as of Apr 15, 2026
Mar 19, 2025$46.4M then
State-registered IARs (5.B.3)3 as of Apr 15, 2026
Mar 19, 20252 then
Employees (5.A)5 as of Apr 15, 2026
Mar 19, 20254 then
Private funds: no history
RAUM +32% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Apr 15, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $50.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 90derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $221,772derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -16%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $8.4M, 13 clientsreportedItem 9.A
- 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$93.4M62%
- High-net-worth individuals$57.9M38%
- Individual clients
- 240reported
- HNW clients
- 31reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 682reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $8.4M for 13 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• J•••••••• H•••••• | Burien, Wa | Feb 23, 2024 | 17 y | 3 |
| S••••• M• M••• | Burien, Wa | Feb 23, 2024 | 30 y | 6 |
| J•••• P• H••••••• | Burien, Wa | May 22, 2025 | 23 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
- J••••• J•••••••• H•••••• from Q•••••• A•••• M••••••••• I•••Feb 23, 2024 · Affiliated broker-dealer or bank to independent RIA
- S••••• M• M••• from E•••••• A••••••• G••••• L••Feb 23, 2024 · 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••••••• J•••••• J•••••••• · Managing Member/Investment Advisor Representative/Chief Compliance Officercontrolsince 05/2023 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Burien, Wa · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 650 to 682Aug 22, 2025 to Feb 12, 2026
- HNW clients · 34 to 31Aug 22, 2025 to Feb 12, 2026
- Individual clients · 224 to 240Aug 22, 2025 to Feb 12, 2026
- Assets in custody · unset to 8377265.0Aug 22, 2025 to Feb 12, 2026
- Custody of client assets · false to trueAug 22, 2025 to Feb 12, 2026
- Discretionary RAUM · $138M to $151MAug 22, 2025 to Feb 12, 2026
- HNW RAUM · $57.3M to $57.9MAug 22, 2025 to Feb 12, 2026
- Individual RAUM · $80.3M to $93.4MAug 22, 2025 to Feb 12, 2026
- Non-discretionary RAUM · $0 to $116,578Aug 22, 2025 to Feb 12, 2026
- RAUM · $138M to $151MAug 22, 2025 to Feb 12, 2026
- Accounts · 571 to 650May 22, 2025 to Aug 22, 2025
- HNW clients · 43 to 34May 22, 2025 to Aug 22, 2025
- Individual clients · 280 to 224May 22, 2025 to Aug 22, 2025
- Discretionary RAUM · $114M to $138MMay 22, 2025 to Aug 22, 2025
- HNW RAUM · $46.4M to $57.3MMay 22, 2025 to Aug 22, 2025
- Individual RAUM · $68.0M to $80.3MMay 22, 2025 to Aug 22, 2025
- RAUM · $114M to $138MMay 22, 2025 to Aug 22, 2025
- Advisory employees · 2 to 3Mar 19, 2025 to May 22, 2025
- Employees · 4 to 5Mar 19, 2025 to May 22, 2025
- Financial planning clients · 1-10 to 1-10Mar 19, 2025 to May 22, 2025
- State-registered IARs · 2 to 3Mar 19, 2025 to May 22, 2025
Signals
No event on the tape.
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
- Principal office phone
- 206-420-8520reportedpublic record, Form ADV, Apr 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
- $50.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026