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
P••••• W••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Dec 12, 2023 · 9 filings
SEC status approved since Jan 11, 2024
RAUM
$290M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
24%
$70.1M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$145M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$290M as of Mar 31, 2026
Mar 29, 2025$165M then
HNW client RAUM$63.5M as of Mar 31, 2026
Mar 29, 2025$14.2M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 29, 20252 then
Employees (5.A)2 as of Mar 31, 2026
Mar 29, 20252 then
Private funds: no history
RAUM +75% over the last fiscal yearIARs 2 to 2offices 0 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $145MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 17derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $440,397derivedRAUM 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
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +75%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +74%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $272MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$63.5M90%
- Individuals$6.6M9.3%
- Corporations and businesses$508,4610.7%
- Individual clients
- 16reported
- HNW clients
- 17reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 658reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.24 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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 headcount1 left over 36 months
Left, latest
- K•••• J•••• F•••• to S• A•••••• N••••••• L••Sep 30, 2024 · Other
Joined, latest
- K•••• J•••• F•••• from H•• A•••••••• I•••Jan 29, 2024 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• K••••• J•••• · Managing Member & Chief Compliance Officercontrolsince 01/2024 · 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 |
|---|---|---|---|---|---|
| Richland, Wa | 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 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $165,157,384 to $289,781,487 (+75.0%) between the annual amendments of 2025-03-29 and 2026-03-31; the peer median change was +15.0% (4549 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 98% percentile
- institutional asset share shiftChange between filings · filing Mar 31, 2026institutional share of RAUM moved from 90.0% to 0.0% between the annual amendments of 2025-03-29 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 85 to 658Jul 6, 2025 to Mar 31, 2026
- Corporate clients · 0 to 4Jul 6, 2025 to Mar 31, 2026
- HNW clients · 12 to 17Jul 6, 2025 to Mar 31, 2026
- Individual clients · 7 to 16Jul 6, 2025 to Mar 31, 2026
- Insurance-licensed employees · 0 to 2Jul 6, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 26-50Jul 6, 2025 to Mar 31, 2026
- HQ city · RICHLAND to Jul 6, 2025 to Mar 31, 2026
- HQ state · WA to Jul 6, 2025 to Mar 31, 2026
- Other offices · 0 to 1Jul 6, 2025 to Mar 31, 2026
- Discretionary RAUM · $163M to $289MJul 6, 2025 to Mar 31, 2026
- HNW RAUM · $14.2M to $63.5MJul 6, 2025 to Mar 31, 2026
- Individual RAUM · $1.7M to $6.6MJul 6, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $2.6M to $875,759Jul 6, 2025 to Mar 31, 2026
- RAUM · $165M to $290MJul 6, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 29, 2025 to Jul 6, 2025
- Accounts · 1 to 85Sep 2, 2024 to Mar 29, 2025
- Advisory employees · 1 to 2Sep 2, 2024 to Mar 29, 2025
- HNW clients · 0 to 12Sep 2, 2024 to Mar 29, 2025
- Individual clients · 0 to 7Sep 2, 2024 to Mar 29, 2025
- Employees · 1 to 2Sep 2, 2024 to Mar 29, 2025
- State-registered IARs · 1 to 2Sep 2, 2024 to Mar 29, 2025
- Discretionary RAUM · $105M to $163MSep 2, 2024 to Mar 29, 2025
- HNW RAUM · $0 to $14.2MSep 2, 2024 to Mar 29, 2025
- Individual RAUM · $0 to $1.7MSep 2, 2024 to Mar 29, 2025
- Non-discretionary RAUM · $0 to $2.6MSep 2, 2024 to Mar 29, 2025
- RAUM · $105M to $165MSep 2, 2024 to Mar 29, 2025
- Wrap assets (manager) · $100M to $0Sep 2, 2024 to Mar 29, 2025
- Accounts · 0 to 1Dec 18, 2023 to Apr 18, 2024
- Discretionary RAUM · $0 to $105MDec 18, 2023 to Apr 18, 2024
- RAUM · $0 to $105MDec 18, 2023 to Apr 18, 2024
- Wrap assets (manager) · $0 to $100MDec 18, 2023 to Apr 18, 2024
- Business name · P••••• W••••• M••••••••• L•• to P••••• W••••• M••••••••• L••Dec 12, 2023 to Dec 18, 2023
- Legal name · P••••• W••••• M••••••••• L•• to P••••• W••••• M••••••••• L••Dec 12, 2023 to Dec 18, 2023
Signals
3 dated events
- P••••• W••••• M••••••••• L•• reported RAUM $289.8M, up 75% from $165.2M (2025-07-06 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- K•••• J•••• F•••• left P••••• W••••• M••••••••• L•• for S• A•••••• N••••••• L•• (registered 2024-01-29)Sep 30, 2024 · a•••••• firm change · fact
- P••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 12, 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 phone
- 509-643-6028reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- p•••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 509-643-6028reportedpublic record, Form ADV, Mar 31, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $145Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026