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.

Former SEC-registered adviser

Mcadams Wright Ragen, Inc.

Former SEC-registered adviserSeattle, WashingtonCRD 45899SEC 801-55918IAPD
Latest filing Jul 31, 2014
First filing on the tape Mar 30, 2012 · 18 filings
RAUM
$3.5B
reported, Item 5.F
Discretionary
92%
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
171
121 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$3.5B as of Mar 17, 2014
Mar 30, 2012$2.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)121 as of Mar 17, 2014
Mar 30, 20120 then
Employees (5.A)171 as of Mar 17, 2014
Mar 22, 2013170 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 117 to 121
Practice profile
derived from the filing of Jul 31, 2014; every figure names its basis
RAUM per advisor
$29.2MderivedRAUM 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
$705,955derivedRAUM over accounts (5.F.2.f)
Discretionary
92%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
17.3derived7 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
+3.4%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publicationsreportedItem 5.G
Custody
$3.6B, 5,137 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • 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
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
5,004reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$3.6B for 5,137 clientsreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Steven Gregory Booth · Directorcontrol
    since 07/2014 · owns less than 5%
  • David Jerome Director · Executive Vice President/Chief Financial Officer/Finop/Directorcontrol
    since 08/2001 · owns less than 5%
  • Alicia Maria Guagliardo · Senior Vice President, Chief Compliance Officercontrol
    since 08/2012 · owns less than 5%
  • Scott Wayne Mcadams · President/Chief Executive Officer/Directorcontrol
    since 07/1998 · owns less than 5%
  • Paul Edward Purcell · Directorcontrol
    since 07/2014 · owns less than 5%
  • Brooks Geer Ragen · Chairman Of The Board/Directorcontrol
    since 07/1998 · owns less than 5%
  • Cameron Brooks Ragen · Senior Vice Presidentcontrol
    since 12/2003 · owns less than 5%
  • Robert John Rogowski · Managing Director & Depart Chair, Investment Bankingcontrol
    since 07/2005 · owns less than 5%
  • Michael John Schroeder · Directorcontrol
    since 07/2014 · owns less than 5%
  • Dominick Paul Zarcone · Directorcontrol
    since 07/2014 · owns less than 5%
Entity owners
  • Baird Financial Corporation · Shareholder
    direct · owns 75% or more
  • Baird Financial Group, Inc. · Shareholder
    indirect · owns 75% or more of Baird Holding Company
  • Baird Holding Company · Shareholder
    indirect · owns 75% or more of Baird Financial Corporation
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Anacortes, WA
  • Bellevue, WA
  • Mount Vernon, WA
  • Portland, OR
  • Spokane, WA
  • Yakima, WA
What changed
consecutive filings, newest first
  • Accounts · 4,617 to 5,004
    Sep 5, 2013 to Mar 17, 2014
  • Advisory employees · 117 to 121
    Sep 5, 2013 to Mar 17, 2014
  • BD registered reps · 149 to 165
    Sep 5, 2013 to Mar 17, 2014
  • Assets in custody · $2.9B to $3.6B
    Sep 5, 2013 to Mar 17, 2014
  • Employees · 170 to 171
    Sep 5, 2013 to Mar 17, 2014
  • State-registered IARs · 117 to 121
    Sep 5, 2013 to Mar 17, 2014
  • Discretionary RAUM · $2.6B to $3.2B
    Sep 5, 2013 to Mar 17, 2014
  • Non-discretionary RAUM · $267M to $298M
    Sep 5, 2013 to Mar 17, 2014
  • RAUM · $2.9B to $3.5B
    Sep 5, 2013 to Mar 17, 2014
  • Accounts · 3,712 to 4,617
    Jan 7, 2013 to Mar 22, 2013
  • Advisory employees · 155 to 117
    Jan 7, 2013 to Mar 22, 2013
  • BD registered reps · 145 to 149
    Jan 7, 2013 to Mar 22, 2013
  • Assets in custody · $2.4B to $2.9B
    Jan 7, 2013 to Mar 22, 2013
  • Employees · 160 to 170
    Jan 7, 2013 to Mar 22, 2013
  • Financial planning clients · 26-50 to 1-10
    Jan 7, 2013 to Mar 22, 2013
  • State-registered IARs · 106 to 117
    Jan 7, 2013 to Mar 22, 2013
  • Discretionary RAUM · $2.2B to $2.6B
    Jan 7, 2013 to Mar 22, 2013
  • Non-discretionary RAUM · $230M to $267M
    Jan 7, 2013 to Mar 22, 2013
  • RAUM · $2.4B to $2.9B
    Jan 7, 2013 to Mar 22, 2013
  • Advisory employees · unset to 155.0
    Sep 10, 2012 to Nov 6, 2012
  • BD registered reps · unset to 145.0
    Sep 10, 2012 to Nov 6, 2012
  • Employees · unset to 160.0
    Sep 10, 2012 to Nov 6, 2012
  • State-registered IARs · 0 to 106
    Sep 10, 2012 to Nov 6, 2012
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.
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