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
9•• A••••••• S••••••• L••
Latest filing Apr 30, 2026
First filing on the tape May 23, 2024 · 9 filings
SEC status approved since Jun 27, 2024
RAUM
$168M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$151M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$55.8M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$168M as of Apr 30, 2026
Feb 14, 2025$130M then
HNW client RAUM$110M as of Apr 30, 2026
Feb 14, 2025$85.7M then
State-registered IARs (5.B.3)3 as of Apr 30, 2026
Feb 14, 20253 then
Employees (5.A)4 as of Apr 30, 2026
Feb 14, 20254 then
Private funds: no history
RAUM +29% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Apr 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
- $55.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $270,173derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.5%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$110M66%
- Individuals$40.5M24%
- Pension and profit-sharing plans$17.0M10%
- Individual clients
- 132reported
- HNW clients
- 58reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 620reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• A•••• S•••••Certified Financial Planner | Spokane, Wa | Jul 29, 2024 | 32 y | 1 |
| J•• R••• L•••••• | Spokane, Wa | Jul 29, 2024 | 30 y | 2 |
| B•••••• J•• M•••••Certified Financial Planner | Spokane, Wa | Nov 15, 2024 | 18 y | 0 |
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
- J••• A•••• S••••• from L•• F•••••••• L••Jul 29, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- J•• R••• L•••••• from L•• F•••••••• L••Jul 29, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• J•••• A•••• · Owner, Financial Advisor, And Chief Compliance Officercontrolsince 04/2024 · 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 |
|---|---|---|---|---|---|
| Spokane, Wa · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Individual clients · 137 to 132Mar 13, 2026 to Apr 30, 2026
- Pension plan clients · unset to 5.0Mar 13, 2026 to Apr 30, 2026
- HNW RAUM · $125M to $110MMar 13, 2026 to Apr 30, 2026
- Individual RAUM · $42.5M to $40.5MMar 13, 2026 to Apr 30, 2026
- Pension RAUM · unset to 16977326.0Mar 13, 2026 to Apr 30, 2026
- Accounts · 538 to 620Feb 14, 2025 to Mar 13, 2026
- HNW clients · 44 to 58Feb 14, 2025 to Mar 13, 2026
- Individual clients · 147 to 137Feb 14, 2025 to Mar 13, 2026
- Discretionary RAUM · $130M to $168MFeb 14, 2025 to Mar 13, 2026
- HNW RAUM · $85.7M to $125MFeb 14, 2025 to Mar 13, 2026
- Individual RAUM · $44.4M to $42.5MFeb 14, 2025 to Mar 13, 2026
- RAUM · $130M to $168MFeb 14, 2025 to Mar 13, 2026
- Accounts · 441 to 538Nov 19, 2024 to Feb 14, 2025
- HNW clients · 36 to 44Nov 19, 2024 to Feb 14, 2025
- Individual clients · 138 to 147Nov 19, 2024 to Feb 14, 2025
- Financial planning clients · 0 to 0Nov 19, 2024 to Feb 14, 2025
- Discretionary RAUM · $114M to $130MNov 19, 2024 to Feb 14, 2025
- HNW RAUM · $59.1M to $85.7MNov 19, 2024 to Feb 14, 2025
- Individual RAUM · $41.4M to $44.4MNov 19, 2024 to Feb 14, 2025
- Pension RAUM · 1088236.0 to unsetNov 19, 2024 to Feb 14, 2025
- RAUM · $114M to $130MNov 19, 2024 to Feb 14, 2025
- Advisory employees · 2 to 3Oct 31, 2024 to Nov 19, 2024
- BD registered reps · 2 to 0Oct 31, 2024 to Nov 19, 2024
- State-registered IARs · 2 to 3Oct 31, 2024 to Nov 19, 2024
- Accounts · 0 to 441Jul 9, 2024 to Sep 4, 2024
- HNW clients · unset to 36.0Jul 9, 2024 to Sep 4, 2024
- Individual clients · unset to 138.0Jul 9, 2024 to Sep 4, 2024
- Employees · 3 to 4Jul 9, 2024 to Sep 4, 2024
- Discretionary RAUM · $0 to $114MJul 9, 2024 to Sep 4, 2024
- HNW RAUM · unset to 59113470.0Jul 9, 2024 to Sep 4, 2024
- Individual RAUM · unset to 41440830.0Jul 9, 2024 to Sep 4, 2024
- Pension RAUM · unset to 1088236.0Jul 9, 2024 to Sep 4, 2024
- RAUM · $0 to $114MJul 9, 2024 to Sep 4, 2024
Signals
1 dated events
- 9•• A••••••• S••••••• L•• filed its initial SEC registration (Form ADV)May 23, 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
- Business phone
- 509-328-4634reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 509-328-5627reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- j•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 509-328-5627reportedpublic record, Form ADV, Apr 30, 2026
- Contact form
- j•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $55.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026