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
W••• W•••••• I••
Latest filing Jan 29, 2026
First filing on the tape Aug 29, 2025 · 3 filings
SEC status approved since Aug 1, 2025
RAUM
$348M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
100%
$348M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$31.6M
derived; firm RAUM over IAPD count
Employees
14
7 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$348M as of Jan 29, 2026
Aug 29, 2025$0 then
HNW client RAUM$318M as of Jan 29, 2026
Nov 29, 2025$318M then
State-registered IARs (5.B.3)7 as of Jan 29, 2026
Aug 29, 20256 then
Employees (5.A)14 as of Jan 29, 2026
Aug 29, 20257 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 29, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $31.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $514,244derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 11.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $348MreportedItem 5.I
- Custody
- $17.5M, 2 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)
- 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$318M91%
- Individuals$30.4M8.7%
- Individual clients
- 100reported
- HNW clients
- 174reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 677reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $17.5M for 2 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•••••••• L••• P••••• | Seattle, Wa | Aug 1, 2025 | 13 y | 5 |
| J•••••• D• C•••••• | Seattle, Wa | Aug 29, 2025 | 10 y | 1 |
| K• L•••• L•• | Seattle, Wa | Aug 29, 2025 | 22 y | 2 |
| R••••• C••••••• | Seattle, Wa | Aug 29, 2025 | 16 y | 1 |
| J••• F•••••• C•••••Certified Financial Planner | Seattle, Wa | Sep 2, 2025 | 32 y | 1 |
| E•••• E• S••••••• | Seattle, Wa | Oct 10, 2025 | 16 y | 2 |
| M•••••• J••••• T•••••••Chartered Financial Analyst | Seattle, Wa | Feb 11, 2026 | 14 y | 1 |
| L•••• N••••• S••••••Certified Financial Planner | Seattle, Wa | Mar 31, 2026 | 9 y | 1 |
| D••••• R•• C•••• | Seattle, Wa | Jun 8, 2026 | 11 y | 0 |
| M••••• R••• C••••••• | Seattle, Wa | Jun 15, 2026 | 13 y | 0 |
| E••• D••••• A••••• | Seattle, Wa | Jun 25, 2026 | 10 y | 0 |
Advisor movement
1 left, 3 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 9.1% of current headcount1 left over 36 months
Left, latest
- A••••••• J••••• to J••• M••••• S••••••••• L••Apr 14, 2026 · RIA to wirehouse
Joined, latest
- L•••• N••••• S•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 31, 2026 · Wirehouse to independent RIA
- M•••••• J••••• T••••••• from H•••••• T••••••• • K•••• L••Feb 11, 2026 · Other
- E•••• E• S••••••• from M••••• S••••••Oct 10, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J••• F•••••• C••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 2, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- K• L•••• L•• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 29, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- R••••• C••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 29, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J•••••• D• C•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 29, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A••••••• J••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 29, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- E•••••••• L••• P••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 1, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 2, 2025 · Seattle, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• R••••• · Presidentcontrolsince 08/2025 · owns less than 5%
- C•••••• J•••• F• · Chief Executive Officercontrolsince 08/2025 · owns less than 5%
- S••••••• Y•••• E•••• · Chief Compliance Officercontrolsince 11/2025 · owns less than 5%
- T•••••••• M••••••• J••••• · Chief Investment Officersince 01/2026 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Seattle, Wa · principal | 11 | 6 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 677Aug 29, 2025 to Nov 29, 2025
- Advisory employees · 6 to 7Aug 29, 2025 to Nov 29, 2025
- HNW clients · unset to 174.0Aug 29, 2025 to Nov 29, 2025
- Individual clients · unset to 100.0Aug 29, 2025 to Nov 29, 2025
- Assets in custody · $0 to $17.5MAug 29, 2025 to Nov 29, 2025
- Employees · 7 to 14Aug 29, 2025 to Nov 29, 2025
- Financial planning clients · 0 to 11-25Aug 29, 2025 to Nov 29, 2025
- State-registered IARs · 6 to 7Aug 29, 2025 to Nov 29, 2025
- Discretionary RAUM · $0 to $287MAug 29, 2025 to Nov 29, 2025
- HNW RAUM · unset to 317743705.0Aug 29, 2025 to Nov 29, 2025
- Individual RAUM · unset to 30399531.0Aug 29, 2025 to Nov 29, 2025
- Non-discretionary RAUM · $0 to $61.2MAug 29, 2025 to Nov 29, 2025
- RAUM · $0 to $348MAug 29, 2025 to Nov 29, 2025
Signals
2 dated events
- A••••••• J••••• left W••• W•••••• I•• for J••• M••••• S••••••••• L•• (registered 2026-08-13)Apr 14, 2026 · Advisor changed firm · fact
- 4 advisors left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (Seattle, WA) for W••• W•••••• I•• within 3 daysSep 2, 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
- Business email
- e•••••••••@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- a•••••••••@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- a•••••••••@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- b•••••••••@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- b•••••••••@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 206-467-2802reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 206-274-7785reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 206-467-2800reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/wafd-wealth-managementreportedpublic record, Form ADV, Sep 19, 2026
- Website
- w•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 206-467-2800reportedpublic record, Form ADV, Jan 29, 2026
- Team page
- w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $31.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026