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•••• W••••••••• C•••••••••
Latest filing Dec 18, 2025
First filing on the tape Jan 3, 2012 · 17 filings
SEC status approved since Jan 30, 2006
RAUM
$501M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
63%
$315M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$167M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$501M as of Dec 18, 2025
Jan 3, 2012$203M then
HNW client RAUM$314M as of Dec 18, 2025
Dec 19, 2017$176M then
State-registered IARs (5.B.3)3 as of Dec 18, 2025
Jan 3, 20120 then
Employees (5.A)5 as of Dec 18, 2025
Dec 20, 201211 then
Private funds: no history
RAUM +34% over the last fiscal year+12% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Dec 18, 2025; 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $167MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 8derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $14.3MderivedHNW RAUM over HNW clients
- Average account
- $17.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 30%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$314M63%
- Charitable organizations$152M30%
- Corporations and businesses$33.8M6.8%
- Individuals$1.1M0.2%
- Individual clients
- 2reported
- HNW clients
- 22reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 29reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.63 fund_share=0.0 institutional_share=0.3 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• D•••• L•••• | Seattle, Wa | Jan 19, 2005 | 40 y | 0 |
| J••• P•••••• M•••••• | Seattle, Wa | Oct 5, 2005 | 30 y | 1 |
| B•••••• L•• R•••••••Chartered Financial Analyst | Seattle, Wa | Sep 15, 2025 | 12 y | 3 |
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
- S••••• J••• J•••• to S••••••• F•••••••• S•••••••• I•••Aug 31, 2012 · Other
Joined, latest
- B•••••• L•• R••••••• from F•••••• C••••••• L••Sep 15, 2025 · RIA to RIA
- J••• P•••••• M•••••• from L••••• C•••••• M••••••••• L••Oct 5, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• D•••• D•••• · Chairman, Rosfpcontrolsince 11/2003 · owns less than 5%
- L••••• D•••• D•••• · Managercontrolsince 05/2003 · owns 50% to 75% of L•••• I••••••••• L••
- M•••••••• T••••• A•• · Secretary/Treasurersince 06/2012 · owns less than 5%
Entity owners
- L•••• I••••••••• L•• · Ownerdirect · owns 75% or more
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 | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 31 to 29Dec 23, 2024 to Dec 18, 2025
- Advisory employees · 2 to 3Dec 23, 2024 to Dec 18, 2025
- HNW clients · 23 to 22Dec 23, 2024 to Dec 18, 2025
- Individual clients · 3 to 2Dec 23, 2024 to Dec 18, 2025
- Employees · 4 to 5Dec 23, 2024 to Dec 18, 2025
- Financial planning clients · 0 to 0Dec 23, 2024 to Dec 18, 2025
- State-registered IARs · 2 to 3Dec 23, 2024 to Dec 18, 2025
- Discretionary RAUM · $428M to $501MDec 23, 2024 to Dec 18, 2025
- HNW RAUM · $265M to $314MDec 23, 2024 to Dec 18, 2025
- Individual RAUM · $1.9M to $1.1MDec 23, 2024 to Dec 18, 2025
- RAUM · $428M to $501MDec 23, 2024 to Dec 18, 2025
- Accounts · 34 to 31Dec 18, 2023 to Dec 23, 2024
- Individual clients · 4 to 3Dec 18, 2023 to Dec 23, 2024
- Discretionary RAUM · $373M to $428MDec 18, 2023 to Dec 23, 2024
- HNW RAUM · $260M to $265MDec 18, 2023 to Dec 23, 2024
- Individual RAUM · $3.2M to $1.9MDec 18, 2023 to Dec 23, 2024
- RAUM · $373M to $428MDec 18, 2023 to Dec 23, 2024
- Accounts · 37 to 34Dec 19, 2022 to Dec 18, 2023
- HNW clients · 17 to 23Dec 19, 2022 to Dec 18, 2023
- Individual clients · 15 to 4Dec 19, 2022 to Dec 18, 2023
- Discretionary RAUM · $267M to $373MDec 19, 2022 to Dec 18, 2023
- HNW RAUM · $203M to $260MDec 19, 2022 to Dec 18, 2023
- Individual RAUM · $26.5M to $3.2MDec 19, 2022 to Dec 18, 2023
- RAUM · $267M to $373MDec 19, 2022 to Dec 18, 2023
- Accounts · 35 to 37Dec 17, 2021 to Dec 19, 2022
- HNW clients · 18 to 17Dec 17, 2021 to Dec 19, 2022
- Individual clients · 12 to 15Dec 17, 2021 to Dec 19, 2022
- Discretionary RAUM · $354M to $267MDec 17, 2021 to Dec 19, 2022
- HNW RAUM · $290M to $203MDec 17, 2021 to Dec 19, 2022
- Individual RAUM · $20.5M to $26.5MDec 17, 2021 to Dec 19, 2022
- RAUM · $354M to $267MDec 17, 2021 to Dec 19, 2022
- Accounts · 37 to 35Dec 21, 2020 to Dec 17, 2021
- HNW clients · 25 to 18Dec 21, 2020 to Dec 17, 2021
- Individual clients · 7 to 12Dec 21, 2020 to Dec 17, 2021
- Discretionary RAUM · $309M to $354MDec 21, 2020 to Dec 17, 2021
- HNW RAUM · $267M to $290MDec 21, 2020 to Dec 17, 2021
- Individual RAUM · $3.3M to $20.5MDec 21, 2020 to Dec 17, 2021
- RAUM · $309M to $354MDec 21, 2020 to Dec 17, 2021
- Accounts · 42 to 37Jun 29, 2020 to Dec 21, 2020
- Charity clients · 4 to 3Jun 29, 2020 to Dec 21, 2020
Signals
1 dated events
- F•••• W••••••••• C••••••••• reported RAUM $372.9M, up 40% from $267.1M (2022-12-19 to 2023-12-18)Dec 18, 2023 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 206-624-8320reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 206-624-8320reportedpublic record, Form ADV, Dec 18, 2025
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
- $167Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026