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•••••••• M•••••••••
Legal name S•••••• F•••••••• M••••••••• I•••
Latest filing Mar 27, 2026
First filing on the tape Sep 8, 2023 · 7 filings
SEC status approved since Sep 29, 2023
RAUM
$498M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$498M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$249M
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$498M as of Mar 27, 2026
Mar 14, 2024$0 then
HNW client RAUM$482M as of Mar 27, 2026
Mar 31, 2025$428M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 14, 20243 then
Employees (5.A)7 as of Mar 27, 2026
Mar 14, 20245 then
Private funds: no history
RAUM +12% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $249MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $601,605derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publicationsreportedItem 5.G
- Custody
- $88.2M, 100 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$482M97%
- Individuals$15.1M3.0%
- Individual clients
- 43reported
- HNW clients
- 97reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 827reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $88.2M for 100 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| E••• T••• S••••••Certified Financial Planner | Kirkland, Wa | Mar 14, 2024 | 17 y | 1 |
| D•••••• C•••••••• H••••• | Kirkland, Wa | Mar 14, 2024 | 20 y | 1 |
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
- E••• T••• S•••••• from S•••••• F•••••••• G••••• I•••Mar 14, 2024 · RIA to a newly registered adviser
- D•••••• C•••••••• H••••• from S•••••• F•••••••• G••••• I•••Mar 14, 2024 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S•••••• F•••••••• G••••• I•••Apr 2, 2024 · Kirkland, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••• P•••• I•••• · Chief Compliance Officercontrolsince 08/2023 · owns less than 5%
- S••••••• E•••• T••• · Presidentcontrolsince 06/2019 · 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 |
|---|---|---|---|---|---|
| Kirkland, Wa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 817 to 827Jan 2, 2026 to Mar 27, 2026
- Assets in custody · $89.5M to $88.2MJan 2, 2026 to Mar 27, 2026
- Discretionary RAUM · $481M to $485MJan 2, 2026 to Mar 27, 2026
- HNW RAUM · $478M to $482MJan 2, 2026 to Mar 27, 2026
- Individual RAUM · $15.2M to $15.1MJan 2, 2026 to Mar 27, 2026
- Non-discretionary RAUM · $12.2M to $12.2MJan 2, 2026 to Mar 27, 2026
- RAUM · $493M to $498MJan 2, 2026 to Mar 27, 2026
- Accounts · 818 to 817Mar 31, 2025 to Jan 2, 2026
- Advisory activities · 3 to 4Mar 31, 2025 to Jan 2, 2026
- HNW clients · 95 to 97Mar 31, 2025 to Jan 2, 2026
- Individual clients · 46 to 43Mar 31, 2025 to Jan 2, 2026
- Assets in custody · unset to 89504733.0Mar 31, 2025 to Jan 2, 2026
- Custody of client assets · false to trueMar 31, 2025 to Jan 2, 2026
- Discretionary RAUM · $429M to $481MMar 31, 2025 to Jan 2, 2026
- HNW RAUM · $428M to $478MMar 31, 2025 to Jan 2, 2026
- Individual RAUM · $17.4M to $15.2MMar 31, 2025 to Jan 2, 2026
- Non-discretionary RAUM · $16.5M to $12.2MMar 31, 2025 to Jan 2, 2026
- RAUM · $445M to $493MMar 31, 2025 to Jan 2, 2026
- Accounts · 699 to 818Aug 13, 2024 to Mar 31, 2025
- HNW clients · 94 to 95Aug 13, 2024 to Mar 31, 2025
- Individual clients · 41 to 46Aug 13, 2024 to Mar 31, 2025
- Employees · 6 to 7Aug 13, 2024 to Mar 31, 2025
- Financial planning clients · 101-250 to 101-250Aug 13, 2024 to Mar 31, 2025
- Discretionary RAUM · $406M to $429MAug 13, 2024 to Mar 31, 2025
- HNW RAUM · $399M to $428MAug 13, 2024 to Mar 31, 2025
- Individual RAUM · $12.7M to $17.4MAug 13, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $5.7M to $16.5MAug 13, 2024 to Mar 31, 2025
- RAUM · $412M to $445MAug 13, 2024 to Mar 31, 2025
- Accounts · 0 to 699Apr 12, 2024 to Aug 13, 2024
- Advisory employees · 3 to 2Apr 12, 2024 to Aug 13, 2024
- HNW clients · unset to 94.0Apr 12, 2024 to Aug 13, 2024
- Individual clients · unset to 41.0Apr 12, 2024 to Aug 13, 2024
- Employees · 5 to 6Apr 12, 2024 to Aug 13, 2024
- Insurance-licensed employees · 1 to 0Apr 12, 2024 to Aug 13, 2024
- Financial planning clients · 0 to 101-250Apr 12, 2024 to Aug 13, 2024
- State-registered IARs · 3 to 2Apr 12, 2024 to Aug 13, 2024
- Discretionary RAUM · $0 to $406MApr 12, 2024 to Aug 13, 2024
- HNW RAUM · unset to 399402428.0Apr 12, 2024 to Aug 13, 2024
- Individual RAUM · unset to 12696389.0Apr 12, 2024 to Aug 13, 2024
- Non-discretionary RAUM · $0 to $5.7MApr 12, 2024 to Aug 13, 2024
Signals
2 dated events
- 2 advisors left S•••••• F•••••••• G••••• I••• (Kirkland, WA) for S•••••• F•••••••• M••••••••• on the same dayApr 2, 2024 · Team lift-out · derived
- S•••••• F•••••••• M••••••••• filed its initial SEC registration (Form ADV)Sep 8, 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
- Firm profile
- linkedin.com/company/schmidt-financial-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- schmidtfm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 425-893-9195reportedpublic record, Form ADV, Mar 27, 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
- $249Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026