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
C••••••• R••
Legal name V•• H••••••• L••
Latest filing Feb 10, 2026
First filing on the tape Feb 6, 2025 · 5 filings
SEC status approved since Feb 14, 2025
RAUM
$241M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$241M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$121M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$241M as of Feb 10, 2026
Feb 6, 2025$0 then
HNW client RAUM$162M as of Feb 10, 2026
Apr 28, 2025$71.6M then
State-registered IARs (5.B.3)2 as of Feb 10, 2026
Feb 6, 20252 then
Employees (5.A)3 as of Feb 10, 2026
Feb 6, 20253 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 10, 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
- RAUM per advisor
- $121MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 131derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $379,059derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -60%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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$162M67%
- Individuals$79.5M33%
- Individual clients
- 175reported
- HNW clients
- 87reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 636reported
- Financial planning clients
- 0reported
- 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 |
|---|---|---|---|---|
| L••••• E•••••••• S••••• | Sumas, Wa | Feb 26, 2025 | 14 y | 2 |
| T•••• E••••• R••• | Bellingham, Wa | Feb 27, 2025 | 21 y | 1 |
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
- T•••• E••••• R••• from C••••••• W••••• A•••••••• L••Feb 27, 2025 · RIA to a newly registered adviser
- L••••• E•••••••• S••••• from C••••••• W••••• A•••••••• L••Feb 26, 2025 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••• T••••• E••••• · Membercontrolsince 11/2024 · owns 50% to 75%
- S•••••• L•••••• E•••••••• · Member And Chief Compliance Officercontrolsince 11/2024 · owns 10% to 25%
- V•••• L•••••• A••• · Membercontrolsince 11/2024 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Feb 10, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $198,851,220 to $241,081,561, advisors 2 to 2, private clients 659 to 262, offices 3 to 3 (2025-04-28 to 2026-02-10)peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Feb 10, 2026HNW share of RAUM moved from 36.0% to 67.0% between the annual amendments of 2025-04-28 and 2026-02-10peers: independent wealth managers, $100M to $500M (5,676)
- client count collapseChange between filings · filing Feb 10, 2026individual and HNW clients (Item 5.D) moved from 659.0 to 262.0 (-60.0%) between the annual amendments of 2025-04-28 and 2026-02-10; the peer median change was +3.0% (3309 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 0.9% percentile
What changed
consecutive filings, newest first
- Accounts · 664 to 636Oct 13, 2025 to Jan 21, 2026
- Corporate clients · 5.0 to unsetOct 13, 2025 to Jan 21, 2026
- HNW clients · 41 to 87Oct 13, 2025 to Jan 21, 2026
- Individual clients · 618 to 175Oct 13, 2025 to Jan 21, 2026
- Insurance-licensed employees · 2 to 0Oct 13, 2025 to Jan 21, 2026
- Discretionary RAUM · $199M to $241MOct 13, 2025 to Jan 21, 2026
- HNW RAUM · $71.6M to $162MOct 13, 2025 to Jan 21, 2026
- Individual RAUM · $127M to $79.5MOct 13, 2025 to Jan 21, 2026
- RAUM · $199M to $241MOct 13, 2025 to Jan 21, 2026
- Financial planning clients · 0 to 0Apr 28, 2025 to Oct 13, 2025
- Accounts · 0 to 664Feb 6, 2025 to Apr 28, 2025
- Corporate clients · unset to 5.0Feb 6, 2025 to Apr 28, 2025
- HNW clients · unset to 41.0Feb 6, 2025 to Apr 28, 2025
- Individual clients · unset to 618.0Feb 6, 2025 to Apr 28, 2025
- Discretionary RAUM · $0 to $199MFeb 6, 2025 to Apr 28, 2025
- HNW RAUM · unset to 71575275.0Feb 6, 2025 to Apr 28, 2025
- Individual RAUM · unset to 127150592.0Feb 6, 2025 to Apr 28, 2025
- RAUM · $0 to $199MFeb 6, 2025 to Apr 28, 2025
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
- Business email
- info@capstoneria.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- lauryn@capstoneria.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 877-739-6007reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/capstone-ria-wealth-advisors/posts/?feereportedpublic record, Form ADV, Sep 18, 2026
- Website
- capstoneria.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 877-739-6007reportedpublic record, Form ADV, Feb 10, 2026
- Contact form
- capstoneria.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- capstoneria.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $121Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026