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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Former SEC-registered adviser
F•••
Legal name F•••••••• S••••••• I••••••••• C••••
Latest filing Oct 21, 2020
First filing on the tape Nov 11, 2011 · 47 filings
RAUM
$204M
reported, Item 5.F
Discretionary
22%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
35
22 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$204M as of Sep 20, 2019
Aug 31, 2012$261M then
HNW client RAUM: no history
State-registered IARs (5.B.3)27 as of Sep 20, 2019
Aug 29, 20132 then
Employees (5.A)35 as of Sep 20, 2019
Aug 29, 20133 then
Private funds: no history
RAUM +7.6% over the last fiscal year-26% a year over threeIARs 27 to 27offices 11 to 4
Practice profile
derived from the filing of Oct 21, 2020; every figure names its basis
- RAUM per advisor
- $7.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $202,122derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 22%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
- 5.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.6%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 assets, hourly, 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
- 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,011reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- J•• S••••••• to B• R•••• W••••• A•••••••• I•••Sep 24, 2020 · Other
- J••• G•••••• O•••••••• to B• R•••• W••••• A•••••••• I•••Sep 24, 2020 · Other
- L••••••• P•••• S••••••••• to B• R•••• W••••• A•••••••• I•••Sep 23, 2020 · Other
- G••••• W•••• H••••• to B• R•••• W••••• A•••••••• I•••Sep 23, 2020 · Other
- D•••• M•••••• S••••••••• to B• R•••• W••••• A•••••••• I•••Sep 23, 2020 · Other
- N••• E•••• L••••• to E•••• L••• F•••••••• S•••••••• L••Mar 31, 2020 · Other
- L•••• M••••••••• P••••• to C••••• 3•• W•••••• L••Jul 23, 2018 · Other
- J•••• G••• L••••• to C••••• 3•• W•••••• L••Jul 23, 2018 · Other
- J••• R••••• M•••• to C••••• I••••••••• A••••••• L••Apr 16, 2018 · Other
- K••• A• R•••• to K•• F•••••••• S•••••••• I••Jan 2, 2018 · Other
- A••••• M•••• J••••• to K•• F•••••••• S•••••••• I••Jan 2, 2018 · Other
- G••••• W•••••• H••• to K•• F•••••••• S•••••••• I••Dec 22, 2017 · Other
- T•••••• L•• B•••• to K•• F•••••••• S•••••••• I••Dec 5, 2017 · Other
- S•••• J•••••• D••• to K•• F•••••••• S•••••••• I••Dec 5, 2017 · Other
- M•••••• K•• C••••••• to M••••• W••••• M••••••••• I•••Dec 31, 2014 · Other
Joined, latest
- L•••• M••••••••• P••••• from R•••••• J•••• • A••••••••• I•••May 4, 2018 · Other
- J•••• G••• L••••• from R•••••• J•••• • A••••••••• I•••May 4, 2018 · Other
- G••••• W•••• H••••• from W•••• F•••• A•••••••Sep 19, 2013 · Other
- A••••• M•••• J••••• from H•• A••••••• S••••••• L••Aug 21, 2012 · Other
- K••• A• R•••• from U•• F•••••••• S••••••••• L••Sep 30, 2011 · Other
- E••• J•••• Q•••••••• from W•••• F•••• A•••••••Jun 6, 2011 · Other
- D•••• M•••••• S••••••••• from V••• F•••••••• A•••••••• I•••Jan 11, 2010 · Other
- L••••••• P•••• S••••••••• from V••• F•••••••• A•••••••• I•••Jan 4, 2010 · Other
- S••••• T• L••••• from L••••• F•••••••• C•••Oct 21, 2008 · Other
- J••• G•••••• O•••••••• from R•••••• J•••• F•••••••• S•••••••• I•••May 9, 2007 · Other
- M•••••• K•• C••••••• from R•••••• J•••• F•••••••• S•••••••• I•••Jan 3, 2007 · Other
- G•••••• A•••• B•••••• from E•• F•••••••• A•••••••Jan 3, 2007 · Other
- E•••• D••• F••••••••• from W•••••• • R•••Mar 6, 2006 · Other
- T•••• H••• H••••• from M••••• S•••••• D• I•••Jan 23, 2006 · Other
- J•• S••••••• from U•• F•••••••• S••••••• I•••Jan 20, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for B• R•••• W••••• A•••••••• I•••Sep 23, 2020 · East Dundee, Il · Firm absorbed
- 2 left for C••••• 3•• W•••••• L••Jul 23, 2018 · Ocala, Fl
- 2 left for K•• F•••••••• S•••••••• I••Jan 2, 2018 · Gig Harbor, Wa
- 2 left for K•• F•••••••• S•••••••• I••Dec 5, 2017 · Kirkland, Wa
- 2 joined from R•••••• J•••• • A••••••••• I•••Feb 1, 2018 · The Villages, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• M••• H•••••• · Ceo/Presidentcontrolsince 02/2016 · owns less than 5%
- P•••••• M••• H•••••• · Ownercontrolsince 02/2004 · owns 75% or more of U••••• A••••••• C••••••
- A•••••••• H••••• K••• · Cco - Riasince 02/2017 · owns less than 5%
- R•••••• M•••••• V••••••• · Finopsince 04/2018 · owns less than 5%
Entity owners
- U••••• A••••••• C•••••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- U••••• A•••••••investment adviseryRAUM $71.5M
Advisers that list F••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Colorado Springs, CO3 employees
- East Dundee, IL3 employees
- , 1 employees
What changed
consecutive filings, newest first
- HQ city · EDMONDS to BOCA RATONJun 29, 2020 to Oct 21, 2020
- HQ state · WA to FLJun 29, 2020 to Oct 21, 2020
- Other offices · 7 to 4Sep 20, 2019 to Jun 29, 2020
- Accounts · 930 to 1,011Aug 28, 2018 to Sep 20, 2019
- Other offices · 11 to 7Aug 28, 2018 to Sep 20, 2019
- Discretionary RAUM · $37.9M to $44.9MAug 28, 2018 to Sep 20, 2019
- Non-discretionary RAUM · $152M to $159MAug 28, 2018 to Sep 20, 2019
- RAUM · $190M to $204MAug 28, 2018 to Sep 20, 2019
- Discretionary RAUM · $71.5M to $37.9MMar 29, 2018 to Aug 28, 2018
- Non-discretionary RAUM · $437M to $152MMar 29, 2018 to Aug 28, 2018
- RAUM · $508M to $190MMar 29, 2018 to Aug 28, 2018
- Accounts · 3,997 to 930Mar 29, 2018 to Aug 28, 2018
- Other offices · unset to 11.0Sep 29, 2017 to Oct 18, 2017
- Accounts · 3,685 to 3,997Sep 21, 2017 to Sep 25, 2017
- Advisory employees · 18 to 22Sep 21, 2017 to Sep 25, 2017
- BD registered reps · 31 to 5Sep 21, 2017 to Sep 25, 2017
- Employees · 31 to 35Sep 21, 2017 to Sep 25, 2017
- State-registered IARs · 22 to 27Sep 21, 2017 to Sep 25, 2017
- Discretionary RAUM · $61.0M to $71.5MSep 21, 2017 to Sep 25, 2017
- Non-discretionary RAUM · $436M to $437MSep 21, 2017 to Sep 25, 2017
- RAUM · $497M to $508MSep 21, 2017 to Sep 25, 2017
- Accounts · 2,459 to 3,685Sep 1, 2016 to Sep 28, 2016
- Advisory employees · 21 to 18Sep 1, 2016 to Sep 28, 2016
- BD registered reps · 32 to 31Sep 1, 2016 to Sep 28, 2016
- Employees · 35 to 31Sep 1, 2016 to Sep 28, 2016
- Insurance-licensed employees · 6 to 5Sep 1, 2016 to Sep 28, 2016
- Discretionary RAUM · $31.1M to $61.0MSep 1, 2016 to Sep 28, 2016
- Non-discretionary RAUM · $255M to $436MSep 1, 2016 to Sep 28, 2016
- RAUM · $286M to $497MSep 1, 2016 to Sep 28, 2016
- Advisory employees · 24 to 21Jul 28, 2016 to Sep 1, 2016
- BD registered reps · 28 to 32Jul 28, 2016 to Sep 1, 2016
- Employees · 30 to 35Jul 28, 2016 to Sep 1, 2016
- Insurance-licensed employees · 5 to 6Jul 28, 2016 to Sep 1, 2016
- State-registered IARs · 24 to 22Jul 28, 2016 to Sep 1, 2016
- HQ city · SEATTLE to EDMONDSFeb 2, 2016 to Feb 22, 2016
- Related adviser · false to trueDec 15, 2015 to Feb 2, 2016
- Related adviser · true to falseSep 25, 2015 to Dec 15, 2015
- Related broker-dealer · true to falseSep 25, 2015 to Dec 15, 2015
- Accounts · 2,790 to 2,459Aug 7, 2015 to Sep 25, 2015
- Advisory employees · 27 to 24Aug 7, 2015 to Sep 25, 2015
Signals
2 dated events
- M•••••• Terrance Keller (Cco B/D) no longer on Schedule A of Fsic (listed 2018-08-28, absent 2019-09-20)Sep 20, 2019 · Control person left · inference
- Fsic reported RAUM $189.9M, down 63% from $508.2M (2018-03-29 to 2018-08-28)Aug 28, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026