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
F••• F••••••••
Legal name F••• F•••••••• C••••••••• P•
Latest filing Mar 3, 2026
First filing on the tape Mar 19, 2025 · 3 filings
SEC status approved since Apr 18, 2025
RAUM
$135M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$135M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$67.5M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$135M as of Mar 3, 2026
Mar 19, 2025$0 then
HNW client RAUM$76.4M as of Mar 3, 2026
Jun 4, 2025$55.7M then
State-registered IARs (5.B.3)2 as of Mar 3, 2026
Mar 19, 20252 then
Employees (5.A)3 as of Mar 3, 2026
Mar 19, 20253 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 3, 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
- $67.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 120derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $255,045derivedRAUM 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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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 assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $21.3M, 48 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$76.4M57%
- Individuals$58.5M43%
- Individual clients
- 197reported
- HNW clients
- 43reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 529reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $21.3M for 48 clientsreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••• J••• F••• | Port Angeles, Wa | Apr 22, 2025 | 24 y | 3 |
| J••••• C••• F••• | Port Angeles, Wa | Apr 22, 2025 | 10 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
- C••• J••• F••• from F•••••••• A•••••••• I••••••••• M•••••••••Apr 22, 2025 · RIA to a newly registered adviser
- J••••• C••• F••• from F•••••••• A•••••••• I••••••••• M•••••••••Apr 22, 2025 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from F•••••••• A•••••••• I••••••••• M•••••••••Jun 11, 2025 · Port Angeles, Wa
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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Port Angeles, Wa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 420 to 529Jun 4, 2025 to Mar 3, 2026
- HNW clients · 30 to 43Jun 4, 2025 to Mar 3, 2026
- Individual clients · 159 to 197Jun 4, 2025 to Mar 3, 2026
- Assets in custody · $14.8M to $21.3MJun 4, 2025 to Mar 3, 2026
- Financial planning clients · 0 to 1-10Jun 4, 2025 to Mar 3, 2026
- Discretionary RAUM · $107M to $135MJun 4, 2025 to Mar 3, 2026
- HNW RAUM · $55.7M to $76.4MJun 4, 2025 to Mar 3, 2026
- Individual RAUM · $51.6M to $58.5MJun 4, 2025 to Mar 3, 2026
- RAUM · $107M to $135MJun 4, 2025 to Mar 3, 2026
- Accounts · 0 to 420Mar 19, 2025 to Jun 4, 2025
- HNW clients · unset to 30.0Mar 19, 2025 to Jun 4, 2025
- Individual clients · unset to 159.0Mar 19, 2025 to Jun 4, 2025
- Assets in custody · unset to 14849396.0Mar 19, 2025 to Jun 4, 2025
- Custody of client assets · false to trueMar 19, 2025 to Jun 4, 2025
- Financial planning clients · 0 to 0Mar 19, 2025 to Jun 4, 2025
- Discretionary RAUM · $0 to $107MMar 19, 2025 to Jun 4, 2025
- HNW RAUM · unset to 55675190.0Mar 19, 2025 to Jun 4, 2025
- Individual RAUM · unset to 51635427.0Mar 19, 2025 to Jun 4, 2025
- RAUM · $0 to $107MMar 19, 2025 to Jun 4, 2025
Signals
1 dated events
- 2 advisors left F•••••••• A•••••••• I••••••••• M••••••••• (Port Angeles, WA) for F••• F•••••••• on the same dayJun 11, 2025 · Team lift-out · derived
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
- f•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 360-457-6116reportedpublic record, Form ADV, Mar 3, 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
- $67.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026