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
H••••••••• A•••• M••••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Aug 26, 2024 · 4 filings
SEC status approved since Sep 25, 2024
RAUM
$125M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$125M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$62.4M
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
4 filings and snapshots on the tape
RAUM$125M as of Mar 5, 2026
Jan 21, 2025$108M then
HNW client RAUM$123M as of Mar 5, 2026
Jan 21, 2025$108M then
State-registered IARs (5.B.3)2 as of Mar 5, 2026
Jan 21, 20252 then
Employees (5.A)2 as of Mar 5, 2026
Jan 21, 20252 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 5, 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
- RAUM per advisor
- $62.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.2MderivedHNW RAUM over HNW clients
- Average account
- $3.9MderivedRAUM 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
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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$123M99%
- Individuals$1.8M1.5%
- Individual clients
- n/areported
- HNW clients
- 15reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 32reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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 |
|---|---|---|---|---|
| C•••• G••••• D••••Chartered Financial Analyst | Gig Harbor, Wa | Oct 1, 2024 | 15 y | 2 |
| R•••••• K••• B••••Chartered Financial Analyst | Gig Harbor, Wa | Oct 8, 2024 | 29 y | 5 |
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
- R•••••• K••• B•••• from D•••• W••••• A•••••••Oct 8, 2024 · RIA to a newly registered adviser
- C•••• G••••• D•••• from D•••• W••••• A•••••••Oct 1, 2024 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• R••••••• K••• · Ciocontrolsince 08/2024 · owns less than 5%
- D••••• C••••• G••••• · Managing Member, Ccocontrolsince 08/2024 · 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 |
|---|---|---|---|---|---|
| Gig Harbor, Wa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- HNW clients · 6 to 15Jan 21, 2025 to Mar 5, 2026
- Discretionary RAUM · $108M to $125MJan 21, 2025 to Mar 5, 2026
- HNW RAUM · $108M to $123MJan 21, 2025 to Mar 5, 2026
- Individual RAUM · $862,829 to $1.8MJan 21, 2025 to Mar 5, 2026
- RAUM · $108M to $125MJan 21, 2025 to Mar 5, 2026
- Accounts · unset to 32.0Dec 19, 2024 to Jan 21, 2025
- HNW clients · unset to 6.0Dec 19, 2024 to Jan 21, 2025
- Financial planning clients · unset to Dec 19, 2024 to Jan 21, 2025
- Discretionary RAUM · unset to 108476235.0Dec 19, 2024 to Jan 21, 2025
- HNW RAUM · unset to 107613406.0Dec 19, 2024 to Jan 21, 2025
- Individual RAUM · unset to 862829.0Dec 19, 2024 to Jan 21, 2025
- Non-discretionary RAUM · unset to 0.0Dec 19, 2024 to Jan 21, 2025
- RAUM · unset to 108476235.0Dec 19, 2024 to Jan 21, 2025
Signals
1 dated events
- H••••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 26, 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
- 253-432-1001reportedpublic record, Form ADV, Mar 5, 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
- $62.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026