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
S••••••••• P•••••••••
Legal name S••••••••• P••••••••• L••
Latest filing Jul 2, 2026
First filing on the tape Dec 4, 2024 · 10 filings
SEC status approved since Jan 3, 2025
RAUM
$348M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$348M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$348M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$348M as of Jul 2, 2026
Jan 8, 2025$0 then
HNW client RAUM$348M as of Jul 2, 2026
Apr 1, 2025$170M then
State-registered IARs (5.B.3)1 as of Jul 2, 2026
Jan 8, 20251 then
Employees (5.A)1 as of Jul 2, 2026
Jan 8, 20251 then
Private funds: no history
RAUM +105% over the last fiscal yearIARs 1 to 1offices 0 to 1
Practice profile
derived from the filing of Jul 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $348MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 255derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM 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
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +105%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +48%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 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)
- 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$348M100%
- Individual clients
- 0reported
- HNW clients
- 255reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 255reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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 |
|---|---|---|---|---|
| K••• J•••• L•••• | Seattle, Wa | Jan 3, 2025 | 13 y | 3 |
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
- K••• J•••• L•••• from C••••••• C•••••• G••••• L••Jan 3, 2025 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• K•••• J•••• · Managing Member And Chief Compliance Officercontrolsince 12/2024 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 13, 2026RAUM (Item 5.F) moved from $170,009,355 to $348,143,481 (+105.0%) between the annual amendments of 2025-04-01 and 2026-03-13; the peer median change was +15.0% (4550 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 99% percentile
What changed
consecutive filings, newest first
- Other offices · 0 to 1Feb 17, 2026 to Mar 13, 2026
- Accounts · 278 to 255Sep 23, 2025 to Jan 12, 2026
- Advisory activities · 4 to 3Sep 23, 2025 to Jan 12, 2026
- HNW clients · 251 to 255Sep 23, 2025 to Jan 12, 2026
- Financial planning clients · 0 to Sep 23, 2025 to Jan 12, 2026
- Discretionary RAUM · $354M to $348MSep 23, 2025 to Jan 12, 2026
- HNW RAUM · $354M to $348MSep 23, 2025 to Jan 12, 2026
- RAUM · $354M to $348MSep 23, 2025 to Jan 12, 2026
- Accounts · 181 to 278Apr 1, 2025 to Sep 23, 2025
- HNW clients · 172 to 251Apr 1, 2025 to Sep 23, 2025
- Financial planning clients · 0 to 0Apr 1, 2025 to Sep 23, 2025
- Discretionary RAUM · $170M to $354MApr 1, 2025 to Sep 23, 2025
- HNW RAUM · $170M to $354MApr 1, 2025 to Sep 23, 2025
- RAUM · $170M to $354MApr 1, 2025 to Sep 23, 2025
- Accounts · 0 to 181Jan 8, 2025 to Apr 1, 2025
- Charity clients · unset to 0.0Jan 8, 2025 to Apr 1, 2025
- Corporate clients · unset to 0.0Jan 8, 2025 to Apr 1, 2025
- HNW clients · unset to 172.0Jan 8, 2025 to Apr 1, 2025
- Individual clients · unset to 0.0Jan 8, 2025 to Apr 1, 2025
- Pension plan clients · unset to 0.0Jan 8, 2025 to Apr 1, 2025
- Pooled vehicle clients · unset to 0.0Jan 8, 2025 to Apr 1, 2025
- Discretionary RAUM · $0 to $170MJan 8, 2025 to Apr 1, 2025
- HNW RAUM · unset to 170009355.0Jan 8, 2025 to Apr 1, 2025
- Individual RAUM · unset to 0.0Jan 8, 2025 to Apr 1, 2025
- Pension RAUM · unset to 0.0Jan 8, 2025 to Apr 1, 2025
- Pooled vehicle RAUM · unset to 0.0Jan 8, 2025 to Apr 1, 2025
- RAUM · $0 to $170MJan 8, 2025 to Apr 1, 2025
- HQ city · unset to Dec 19, 2024 to Jan 8, 2025
- HQ state · unset to Dec 19, 2024 to Jan 8, 2025
- Legal name · S••••••••• P•••••••••, LLC to S••••••••• P••••••••• LLCDec 4, 2024 to Dec 5, 2024
Signals
2 dated events
- S••••••••• P••••••••• reported RAUM $354.2M, up 108% from $170.0M (2025-04-01 to 2025-09-23)Sep 23, 2025 · RAUM change · derived
- S••••••••• P••••••••• filed its initial SEC registration (Form ADV)Dec 4, 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 email
- info@smartharvestportfolios.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 888-542-2982reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 206-656-7770reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- smartharvestportfolios.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 206-841-9944reportedpublic record, Form ADV, Jul 2, 2026
- Contact form
- smartharvestportfolios.com/contactreportedpublished 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
- $348Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026