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
A•••••• S••••••••• I••• T•••••• N•••• K•••••••
Legal name A•••••• S••••••••• I•••
Latest filing Sep 11, 2026
First filing on the tape Mar 18, 2021 · 15 filings
SEC status approved since May 13, 2021
RAUM
$300M
reported, Item 5.F
Discretionary
78%
of RAUM
Private clients
99%
$298M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$50.0M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$300M as of Feb 5, 2026
Mar 15, 2022$158M then
HNW client RAUM$65.0M as of Feb 5, 2026
Mar 15, 2022$24.0M then
State-registered IARs (5.B.3)5 as of Feb 5, 2026
Mar 15, 20224 then
Employees (5.A)9 as of Feb 5, 2026
Mar 15, 20229 then
Private funds: no history
RAUM +32% over the last fiscal year+28% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Sep 11, 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)
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $50.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 118derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.4MderivedHNW RAUM over HNW clients
- Average account
- $431,034derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 78%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +29%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $300M, 696 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$233M78%
- High-net-worth individuals$65.0M22%
- Charitable organizations$2.5M0.8%
- Individual clients
- 696reported
- HNW clients
- 12reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 696reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $300M for 696 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=5.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• D•••••• K••••••• | Liberty Lake, Wa | Sep 27, 2007 | 40 y | 0 |
| J••• G•••• W••••••• | Liberty Lake, Wa | Sep 27, 2007 | 37 y | 2 |
| J•••••• M•••• N••••• | Liberty Lake, Wa | Oct 20, 2009 | 34 y | 1 |
| S•••••••• M•••• B•••• | Liberty Lake, Wa | Nov 15, 2016 | 29 y | 0 |
| C•••••• W•••••• K••••••• | Liberty Lake, Wa | Nov 11, 2021 | 14 y | 0 |
| C••••• M• A••••••• | Liberty Lake, Wa | Feb 3, 2026 | 18 y | 0 |
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
- K••••• L••• M••••• to L•••••••• W••••• M••••••••• L••Jun 5, 2013 · RIA to RIA
Joined, latest
- J•••••• M•••• N••••• from B•••••• I••••••••• M•••Oct 20, 2009 · Other
- J••• G•••• W••••••• from D••••••• I••••••••• A•••••••• I•••Sep 27, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••••• P••• D•••••• · Treasurer Ceo Co-Cco Cfocontrolsince 10/2000 · owns 50% to 75%
- N•••• M•••••• O•••• · President Cfo Co-Ccocontrolsince 12/2004 · owns 50% to 75%
- M•••• S•••• S•• · Secretary Cfosince 11/2013 · owns less than 5%
- N•••••• J•••••• M•••• · Co-Ccosince 05/2011 · 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 |
|---|---|---|---|---|---|
| Liberty Lake, Wa · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetFeb 5, 2026 to Sep 11, 2026
- Succession · false to unsetFeb 5, 2026 to Sep 11, 2026
- Accounts · 548 to 696Apr 15, 2025 to Feb 5, 2026
- Advisory employees · 5 to 6Apr 15, 2025 to Feb 5, 2026
- BD registered reps · 4 to 5Apr 15, 2025 to Feb 5, 2026
- Charity clients · 1 to 3Apr 15, 2025 to Feb 5, 2026
- HNW clients · 11 to 12Apr 15, 2025 to Feb 5, 2026
- Individual clients · 537 to 696Apr 15, 2025 to Feb 5, 2026
- Assets in custody · $225,000 to $300MApr 15, 2025 to Feb 5, 2026
- State-registered IARs · 4 to 5Apr 15, 2025 to Feb 5, 2026
- Discretionary RAUM · $172M to $235MApr 15, 2025 to Feb 5, 2026
- HNW RAUM · $55.0M to $65.0MApr 15, 2025 to Feb 5, 2026
- Individual RAUM · $170M to $233MApr 15, 2025 to Feb 5, 2026
- Non-discretionary RAUM · $55.0M to $65.0MApr 15, 2025 to Feb 5, 2026
- RAUM · $227M to $300MApr 15, 2025 to Feb 5, 2026
- Accounts · 521 to 548Mar 7, 2024 to Apr 15, 2025
- Individual clients · 509 to 537Mar 7, 2024 to Apr 15, 2025
- Assets in custody · $142M to $225,000Mar 7, 2024 to Apr 15, 2025
- Financial planning clients · unset to Mar 7, 2024 to Apr 15, 2025
- Discretionary RAUM · $135M to $172MMar 7, 2024 to Apr 15, 2025
- HNW RAUM · $30.0M to $55.0MMar 7, 2024 to Apr 15, 2025
- Individual RAUM · $149M to $170MMar 7, 2024 to Apr 15, 2025
- Non-discretionary RAUM · $45.0M to $55.0MMar 7, 2024 to Apr 15, 2025
- RAUM · $180M to $227MMar 7, 2024 to Apr 15, 2025
- Related broker-dealer · false to trueMar 7, 2024 to Apr 15, 2025
- Accounts · 456 to 521Feb 13, 2024 to Mar 7, 2024
- HNW clients · 12 to 11Feb 13, 2024 to Mar 7, 2024
- Individual clients · 454 to 509Feb 13, 2024 to Mar 7, 2024
- Discretionary RAUM · $107M to $135MFeb 13, 2024 to Mar 7, 2024
- HNW RAUM · $24.0M to $30.0MFeb 13, 2024 to Mar 7, 2024
- Individual RAUM · $117M to $149MFeb 13, 2024 to Mar 7, 2024
- Non-discretionary RAUM · $35.0M to $45.0MFeb 13, 2024 to Mar 7, 2024
- RAUM · $142M to $180MFeb 13, 2024 to Mar 7, 2024
- Accounts · 410 to 456Oct 4, 2022 to Mar 6, 2023
- Individual clients · 398 to 454Oct 4, 2022 to Mar 6, 2023
- Assets in custody · $136M to $142MOct 4, 2022 to Mar 6, 2023
- Discretionary RAUM · $115M to $107MOct 4, 2022 to Mar 6, 2023
- Individual RAUM · $133M to $117MOct 4, 2022 to Mar 6, 2023
- Non-discretionary RAUM · $43.0M to $35.0MOct 4, 2022 to Mar 6, 2023
- RAUM · $158M to $142MOct 4, 2022 to Mar 6, 2023
Signals
4 dated events
- S•••••••• M•••• B•••• added a UT registration at A•••••• S••••••••• I••• T•••••• N•••• K•••••••Sep 16, 2026 · New state registration · fact
- P••• D•••••• K••••••• added a UT registration at A•••••• S••••••••• I••• T•••••• N•••• K•••••••Sep 16, 2026 · New state registration · fact
- J••• G•••• W••••••• added a UT registration at A•••••• S••••••••• I••• T•••••• N•••• K•••••••Sep 16, 2026 · New state registration · fact
- A•••••• S••••••••• I••• T•••••• N•••• K••••••• filed its initial SEC registration (Form ADV)Mar 18, 2021 · 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
- 509-623-1543reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 509-747-9144reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-345-9734reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- A••••••S•••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 509-747-9144reportedpublic record, Form ADV, Sep 11, 2026
- Contact form
- a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $50.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026