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Former SEC-registered adviser

B••••• F•••••••• S•••••••• L••

Former SEC-registered adviserFederal Way, WashingtonCRD 329520SEC 801-137261websiteIAPD
Latest filing Sep 15, 2026
First filing on the tape Aug 31, 2026 · 2 filings
RAUM
$111M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$110M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$55.4M
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
2 filings and snapshots on the tape
RAUM$111M as of Sep 15, 2026
Aug 31, 2026$111M then
HNW client RAUM$90.0M as of Sep 15, 2026
Aug 31, 2026$90.0M then
State-registered IARs (5.B.3)2 as of Sep 15, 2026
Aug 31, 20262 then
Employees (5.A)2 as of Sep 15, 2026
Aug 31, 20262 then
Private funds: no history
Practice profile
derived from the filing of Sep 15, 2026; every figure names its basis
RAUM per advisor
$55.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
41derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$651,471derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$110M, 82 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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$90.0M81%
  • Individuals$20.0M18%
  • Pension and profit-sharing plans$500,0000.5%
  • Corporations and businesses$250,0000.2%
Individual clients
41reported
HNW clients
41reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
170reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$110M for 82 clientsreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
S•••• S•••••Certified Financial PlannerFederal Way, WaJul 8, 202419 y2
R•••• S•••••Federal Way, WaJul 15, 202510 y0
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    No Schedule A on the extract for this adviser.
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Federal Way, Wa · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    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
    Website
    g••••••.comreportedpublic record, Form ADV, Sep 21, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $55.4Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 15, 2026