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

R••••••• M•••••• W••••• M•••••••••

Independent wealth managerSpokane, WashingtonCRD 713SEC 801-113034websiteIAPD
Legal name R•••••••• M•••••• • P•••••••• I•••
Latest filing Mar 10, 2026
First filing on the tape Mar 29, 2018 · 18 filings
SEC status approved since Apr 27, 2018
RAUM
$644M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
85%
$547M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$71.5M
derived; firm RAUM over IAPD count
Employees
10
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$644M as of Mar 10, 2026
Mar 25, 2019$115M then
HNW client RAUM$345M as of Mar 10, 2026
Mar 25, 2019$32.2M then
State-registered IARs (5.B.3)10 as of Mar 10, 2026
Mar 25, 20196 then
Employees (5.A)10 as of Mar 10, 2026
Mar 25, 20198 then
Private funds: no history
RAUM +25% over the last fiscal year+30% a year over threeIARs 10 to 10
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
Archetypes, each a printed rule
  • Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
  • 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
RAUM per advisor
$71.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
141derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$502,811derivedRAUM over accounts (5.F.2.f)
Discretionary
86%derivedof RAUM
Institutional
15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
9.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+25%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+260%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$571M, 1,273 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)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$345M54%
  • Individuals$202M31%
  • Pension and profit-sharing plans$72.3M11%
  • Charitable organizations$24.3M3.8%
Individual clients
1,094reported
HNW clients
176reported
Pension plan clients
7reported
Charitable clients
n/areported
Accounts
1,280reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$571M for 1,273 clientsreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.85 fund_share=0.0 institutional_share=0.15 related_bd=false related_bank=false bd_reps=10.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
T••••• B•••• K••••••Spokane, WaOct 20, 201728 y1
M••• J• C••••••Spokane, WaOct 20, 201712 y1
F••••••• A• L••••••Spokane, WaOct 20, 201710 y1
M•••••• C•••••• C•••••••••Certified Financial PlannerSpokane, WaOct 20, 201726 y1
S••••• R•••••• L•••••Spokane, WaOct 23, 201744 y1
J••• S•••• L•••••Spokane, WaOct 23, 201741 y1
J••••••••• L•••••Spokane, WaMay 4, 202210 y0
C•••••• D•••• C••••••Certified Financial PlannerSpokane, WaFeb 1, 202420 y1
T•••••• J••• W•••••••Spokane, WaApr 30, 202613 y0
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
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L•••••• J••• S•••• · President Coo & Co-Ccocontrol
        since 01/2010 · owns 25% to 50%
      • L•••••• S••••• R•••••• · Chairman Of The Boardcontrol
        since 01/2010 · owns 25% to 50%
      • C••••••••• M•••••• C•••••• · Registered Representative
        since 03/2011 · owns less than 5%
      • M•••••••• T••••• L•• · Executive Vice President Bd Co-Cco
        since 01/2022 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Spokane, Wa · principal910
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • client count surgeChange between filings · filing Mar 10, 2026
        individual and HNW clients (Item 5.D) moved from 353.0 to 1,270.0 (+260.0%) between the annual amendments of 2025-03-05 and 2026-03-10; the peer median change was +5.0% (1216 comparable advisers, 100.0th percentile of changes)
        peers: independent wealth managers, $500M to $1B (1,216) · 100% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 1,061 to 1,280
        Jul 30, 2025 to Mar 10, 2026
      • HNW clients · 50 to 176
        Jul 30, 2025 to Mar 10, 2026
      • Individual clients · 303 to 1,094
        Jul 30, 2025 to Mar 10, 2026
      • Pension plan clients · 6 to 7
        Jul 30, 2025 to Mar 10, 2026
      • Assets in custody · $452M to $571M
        Jul 30, 2025 to Mar 10, 2026
      • Discretionary RAUM · $423M to $550M
        Jul 30, 2025 to Mar 10, 2026
      • HNW RAUM · $278M to $345M
        Jul 30, 2025 to Mar 10, 2026
      • Individual RAUM · $154M to $202M
        Jul 30, 2025 to Mar 10, 2026
      • Non-discretionary RAUM · $91.3M to $93.2M
        Jul 30, 2025 to Mar 10, 2026
      • Pension RAUM · $62.7M to $72.3M
        Jul 30, 2025 to Mar 10, 2026
      • RAUM · $514M to $644M
        Jul 30, 2025 to Mar 10, 2026
      • Financial planning clients · 1-10 to 1-10
        Mar 5, 2025 to Jul 30, 2025
      • Accounts · 943 to 1,061
        Apr 30, 2024 to Mar 5, 2025
      • Advisory employees · 8 to 10
        Apr 30, 2024 to Mar 5, 2025
      • BD registered reps · 8 to 10
        Apr 30, 2024 to Mar 5, 2025
      • HNW clients · 326 to 50
        Apr 30, 2024 to Mar 5, 2025
      • Individual clients · 609 to 303
        Apr 30, 2024 to Mar 5, 2025
      • Pension plan clients · unset to 6.0
        Apr 30, 2024 to Mar 5, 2025
      • Assets in custody · $425M to $452M
        Apr 30, 2024 to Mar 5, 2025
      • Employees · 8 to 10
        Apr 30, 2024 to Mar 5, 2025
      • Financial planning clients · 11-25 to 1-10
        Apr 30, 2024 to Mar 5, 2025
      • State-registered IARs · 8 to 10
        Apr 30, 2024 to Mar 5, 2025
      • Discretionary RAUM · $242M to $423M
        Apr 30, 2024 to Mar 5, 2025
      • HNW RAUM · $233M to $278M
        Apr 30, 2024 to Mar 5, 2025
      • Individual RAUM · $93.6M to $154M
        Apr 30, 2024 to Mar 5, 2025
      • Non-discretionary RAUM · $154M to $91.3M
        Apr 30, 2024 to Mar 5, 2025
      • Pension RAUM · $50.8M to $62.7M
        Apr 30, 2024 to Mar 5, 2025
      • RAUM · $396M to $514M
        Apr 30, 2024 to Mar 5, 2025
      • Accounts · 828 to 943
        Nov 10, 2023 to Mar 21, 2024
      • Advisory employees · 6 to 8
        Nov 10, 2023 to Mar 21, 2024
      • BD registered reps · 7 to 8
        Nov 10, 2023 to Mar 21, 2024
      • HNW clients · 179 to 326
        Nov 10, 2023 to Mar 21, 2024
      • Individual clients · 640 to 609
        Nov 10, 2023 to Mar 21, 2024
      • Assets in custody · $321M to $425M
        Nov 10, 2023 to Mar 21, 2024
      • Employees · 7 to 8
        Nov 10, 2023 to Mar 21, 2024
      • State-registered IARs · 6 to 8
        Nov 10, 2023 to Mar 21, 2024
      • Discretionary RAUM · $166M to $242M
        Nov 10, 2023 to Mar 21, 2024
      • HNW RAUM · $137M to $233M
        Nov 10, 2023 to Mar 21, 2024
      • Individual RAUM · $97.3M to $93.6M
        Nov 10, 2023 to Mar 21, 2024
      • Non-discretionary RAUM · $124M to $154M
        Nov 10, 2023 to Mar 21, 2024
      Signals
      4 dated events
      • R••••••• M•••••• W••••• M••••••••• reported RAUM $643.6M, up 25% from $514.5M (2025-07-30 to 2026-03-10)
        Mar 10, 2026 · RAUM change · derived
      • R••••••• M•••••• W••••• M••••••••• reported RAUM $514.5M, up 30% from $395.8M (2024-04-30 to 2025-03-05)
        Mar 5, 2025 · RAUM change · derived
      • R••••••• M•••••• W••••• M••••••••• reported RAUM $395.8M, up 36% from $290.0M (2023-11-10 to 2024-03-21)
        Mar 21, 2024 · RAUM change · derived
      • R•••••••• M•••••• • P•••••••• I••• filed its initial SEC registration (Form ADV)
        Mar 29, 2018 · First SEC registration · fact
      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
      509-624-3174reportedpublished by the firm, firm site, Sep 15, 2026
      Firm profile
      H•••://LINKEDIN.COM/COMPANY/R•••••••••reportedpublic record, Form ADV, Sep 18, 2026
      Website
      H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      509-624-3174reportedpublic record, Form ADV, Mar 10, 2026
      Contact form
      rmwealthmgmt.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
      Team page
      rmwealthmgmt.com/teamreportedpublished 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
      $71.5Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026