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
D•• I••••••••• A•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Apr 5, 2024 · 11 filings
SEC status approved since Nov 27, 2024
RAUM
$141M
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
100%
$141M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$70.4M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$141M as of Mar 30, 2026
Mar 27, 2025$101M then
HNW client RAUM$107M as of Mar 30, 2026
Mar 27, 2025$101M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 27, 20252 then
Employees (5.A)2 as of Mar 30, 2026
Mar 27, 20252 then
Private funds: no history
RAUM +40% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 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
- $70.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 16derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $17.8MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 79%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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +40%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +256%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$107M76%
- Individuals$33.9M24%
- Pension and profit-sharing plans$40,7190.0%
- Individual clients
- 26reported
- HNW clients
- 6reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 95reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••••• M•••••• V•• W••••• | Mercer Island, Wa | Feb 13, 2025 | 11 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
- D••••• O•••• D••••••• from A•••• C•••• I••••••••• L••Feb 13, 2025 · RIA to a newly registered adviser
- E••••• M•••••• V•• W••••• from D•• I••••••••• M•••••••••Feb 13, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• D•••••• O•••• · President And Chief Compliance Officercontrolsince 02/2013 · owns 75% or more
- V•• W•••••• E•••••• M•••••• · Portfolio Mgr.since 10/2025 · owns less than 5%
Related persons
Schedule D 7.A
- D•• I••••••••• M•••••••••investment adviseryRAUM $524M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mercer Island, Wa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $100,661,144 to $140,734,631 (+40.0%) between the annual amendments of 2025-03-27 and 2026-03-30; the peer median change was +15.0% (4549 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 93% percentile
- HNW share shiftChange between filings · filing Mar 30, 2026HNW share of RAUM moved from 100.0% to 76.0% between the annual amendments of 2025-03-27 and 2026-03-30peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 22 to 95Aug 4, 2025 to Mar 30, 2026
- HNW clients · 9 to 6Aug 4, 2025 to Mar 30, 2026
- Individual clients · 0 to 26Aug 4, 2025 to Mar 30, 2026
- Insurance-licensed employees · 2 to 1Aug 4, 2025 to Mar 30, 2026
- Discretionary RAUM · $77.1M to $111MAug 4, 2025 to Mar 30, 2026
- HNW RAUM · $101M to $107MAug 4, 2025 to Mar 30, 2026
- Individual RAUM · $0 to $33.9MAug 4, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $23.6M to $29.6MAug 4, 2025 to Mar 30, 2026
- Pension RAUM · $0 to $40,719Aug 4, 2025 to Mar 30, 2026
- RAUM · $101M to $141MAug 4, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Mar 27, 2025 to Aug 4, 2025
- Accounts · 0 to 22Nov 1, 2024 to Mar 27, 2025
- Advisory employees · 3 to 2Nov 1, 2024 to Mar 27, 2025
- HNW clients · 0 to 9Nov 1, 2024 to Mar 27, 2025
- Employees · 3 to 2Nov 1, 2024 to Mar 27, 2025
- Insurance-licensed employees · 3 to 2Nov 1, 2024 to Mar 27, 2025
- State-registered IARs · 3 to 2Nov 1, 2024 to Mar 27, 2025
- Discretionary RAUM · $0 to $77.1MNov 1, 2024 to Mar 27, 2025
- HNW RAUM · $0 to $101MNov 1, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $0 to $23.6MNov 1, 2024 to Mar 27, 2025
- RAUM · $0 to $101MNov 1, 2024 to Mar 27, 2025
- Business name · D•• I••••••••• P•••••••• L•• to D•• I••••••••• A•••••••• L••Jun 6, 2024 to Oct 28, 2024
- Legal name · D•• I••••••••• P•••••••• L•• to D•• I••••••••• A•••••••• L••Jun 6, 2024 to Oct 28, 2024
- Business name · D•• I••••••••• P••••••• to D•• I••••••••• A•••••••• L••Jun 5, 2024 to Jun 6, 2024
- Legal name · D•• I••••••••• P•••••••• L•• to D•• I••••••••• A•••••••• L••Jun 5, 2024 to Jun 6, 2024
- Business name · D•• I••••••••• A•••••••• L•• to D•• I••••••••• P•••••••• L••Jun 6, 2024 to Jun 6, 2024
- Legal name · D•• I••••••••• A•••••••• L•• to D•• I••••••••• P•••••••• L••Jun 6, 2024 to Jun 6, 2024
Signals
1 dated events
- D•• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Oct 28, 2024 · 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
- Principal office phone
- 206.203.0010reportedpublic record, Form ADV, Mar 30, 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
- $70.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026