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
W••• I•••••
Legal name N•••••••• W••••• A•••••••• L••
Latest filing Aug 28, 2026
First filing on the tape Jul 31, 2023 · 17 filings
SEC status approved since Aug 31, 2023
RAUM
$304M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$301M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$43.5M
derived; firm RAUM over IAPD count
Employees
10
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$304M as of Aug 28, 2026
Mar 20, 2024$152M then
HNW client RAUM$186M as of Aug 28, 2026
Mar 20, 2024$49.8M then
State-registered IARs (5.B.3)6 as of Aug 28, 2026
Mar 20, 20244 then
Employees (5.A)10 as of Aug 28, 2026
Mar 20, 20245 then
Private funds: no history
RAUM +57% over the last fiscal yearIARs 5 to 6
Practice profile
derived from the filing of Aug 28, 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
- $43.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 98derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $185,439derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +57%derivedbetween the last two annual amendments
- Advisor growth, one year
- +40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $277M, 562 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$186M61%
- Individuals$116M38%
- Corporations and businesses$1.7M0.5%
- Pension and profit-sharing plans$1.5M0.5%
- Individual clients
- 548reported
- HNW clients
- 136reported
- Pension plan clients
- 4reported
- Charitable clients
- 0reported
- Accounts
- 1,642reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $277M for 562 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=7.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••••• B•••• W•••Certified Financial Planner, Chartered Financial Consultant | Bellingham, Wa | Sep 6, 2023 | 13 y | 0 |
| L•••• A• W••• | Bellingham, Wa | Sep 6, 2023 | 39 y | 0 |
| A•••• T••••Certified Financial Planner | Bellingham, Wa | Jan 19, 2024 | 13 y | 1 |
| E•••• P•••• W••• S•••••• | Bellingham, Wa | Jan 31, 2024 | 10 y | 0 |
| L••• B••••• S•••• | Bellingham, Wa | Mar 19, 2026 | 10 y | 0 |
| A••• G•••• V••••• | Bellingham, Wa | May 5, 2026 | 12 y | 0 |
| K•••••• L•• B•••••• | Bellingham, Wa | Jun 2, 2026 | 24 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- K•••••• L•• B•••••• from T••••••• I••••••••• M••••••••• I•••Jun 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- A•••• T•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 19, 2024 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••• L••••• A• · Managing Partner And Chief Compliance Officercontrolsince 07/2023 · owns 50% to 75%
- W•••• L••••••• B•••• · Managing Partnercontrolsince 07/2023 · owns 25% to 50%
- W•••• L••••• A•• · Partnersince 07/2023 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Bellingham, Wa · principal | 7 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Apr 13, 2026RAUM (Item 5.F) moved from $193,599,500 to $304,491,157 (+57.0%) between the annual amendments of 2025-03-22 and 2026-04-13; the peer median change was +15.0% (4550 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 97% percentile
What changed
consecutive filings, newest first
- Advisory employees · 9 to 8Apr 13, 2026 to May 19, 2026
- BD registered reps · 8 to 7Apr 13, 2026 to May 19, 2026
- Employees · 9 to 10Apr 13, 2026 to May 19, 2026
- State-registered IARs · 7 to 6Apr 13, 2026 to May 19, 2026
- Accounts · 1,184 to 1,642Jan 5, 2026 to Mar 19, 2026
- Advisory employees · 5 to 9Jan 5, 2026 to Mar 19, 2026
- BD registered reps · 3 to 8Jan 5, 2026 to Mar 19, 2026
- Corporate clients · 2 to 3Jan 5, 2026 to Mar 19, 2026
- HNW clients · 160 to 136Jan 5, 2026 to Mar 19, 2026
- Individual clients · 566 to 548Jan 5, 2026 to Mar 19, 2026
- Pension plan clients · 3 to 4Jan 5, 2026 to Mar 19, 2026
- Assets in custody · $173M to $277MJan 5, 2026 to Mar 19, 2026
- Employees · 6 to 9Jan 5, 2026 to Mar 19, 2026
- State-registered IARs · 5 to 7Jan 5, 2026 to Mar 19, 2026
- Discretionary RAUM · $194M to $304MJan 5, 2026 to Mar 19, 2026
- HNW RAUM · $103M to $186MJan 5, 2026 to Mar 19, 2026
- Individual RAUM · $89.1M to $116MJan 5, 2026 to Mar 19, 2026
- Pension RAUM · $1.2M to $1.5MJan 5, 2026 to Mar 19, 2026
- RAUM · $194M to $304MJan 5, 2026 to Mar 19, 2026
- Financial planning clients · 1-10 to 1-10Mar 22, 2025 to Jul 9, 2025
- Accounts · 954 to 1,184Feb 3, 2025 to Mar 22, 2025
- Corporate clients · 1 to 2Feb 3, 2025 to Mar 22, 2025
- HNW clients · 25 to 160Feb 3, 2025 to Mar 22, 2025
- Individual clients · 332 to 566Feb 3, 2025 to Mar 22, 2025
- Pension plan clients · 0 to 3Feb 3, 2025 to Mar 22, 2025
- Assets in custody · unset to 173286330.0Feb 3, 2025 to Mar 22, 2025
- Custody of client assets · false to trueFeb 3, 2025 to Mar 22, 2025
- Financial planning clients · 0 to 1-10Feb 3, 2025 to Mar 22, 2025
- Discretionary RAUM · $152M to $194MFeb 3, 2025 to Mar 22, 2025
- HNW RAUM · $49.8M to $103MFeb 3, 2025 to Mar 22, 2025
- Individual RAUM · $102M to $89.1MFeb 3, 2025 to Mar 22, 2025
- Pension RAUM · $0 to $1.2MFeb 3, 2025 to Mar 22, 2025
- RAUM · $152M to $194MFeb 3, 2025 to Mar 22, 2025
- Advisory employees · 4 to 5Aug 5, 2024 to Feb 3, 2025
- BD registered reps · 2 to 3Aug 5, 2024 to Feb 3, 2025
- Business name · N•••••••• W••••• A••••••• to W••• I•••••Aug 5, 2024 to Feb 3, 2025
- Employees · 5 to 6Aug 5, 2024 to Feb 3, 2025
- State-registered IARs · 4 to 5Aug 5, 2024 to Feb 3, 2025
- Accounts · 926 to 954Jan 22, 2024 to Mar 20, 2024
- Advisory employees · 3 to 4Jan 22, 2024 to Mar 20, 2024
Signals
2 dated events
- W••• I••••• reported RAUM $304.5M, up 57% from $193.6M (2026-01-05 to 2026-03-19)Mar 19, 2026 · RAUM change · derived
- N•••••••• W••••• A••••••• filed its initial SEC registration (Form ADV)Jul 31, 2023 · 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@west-invest.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- blair@west-invest.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- emilyb@west-invest.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- lindsay@west-invest.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- marty@west-invest.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- sarah@west-invest.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 360-266-5050reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 360-738-6019reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/west-invest-llc/?viewAsMember=truereportedpublic record, Form ADV, Sep 18, 2026
- Website
- west-invest.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 360-738-6019reportedpublic record, Form ADV, Aug 28, 2026
- Contact form
- west-invest.com/contactreportedpublished 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
- $43.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026