InvestorTrustHub · Washington

Washington Investment Adviser & Securities Intelligence

This page organizes federal SEC/IARD facts for firms that report a Washington principal office, plus official Washington Department of Financial Institutions Division of Securities verification and filing paths. It does not rank advisers, score firms, or publish a Trust Score. A Washington principal office is not Washington state registration.

We organize the evidence. You decide.

Research WA-headquartered SEC/IARD firms Verify a Washington registration at DFI

State of the record

Universe · Current · Observations · Geography · As-of

306

Universe

SEC/IARD firms with a WA principal office. Not the state-RIA roster.

Trace this number

Source. SEC IARD firm compilation

Source date. 2026-08-27

Coverage. National roster overlay

Grain. SEC IARD roster firm with principal-office region = WA

Calculation. COUNT of roster firms with principal-office region WA = 306

Caveat. This is the national SEC/IARD roster overlay for firms that report a Washington principal office. It is not the Washington state-registered adviser universe, not a complete Washington adviser count, and not proof of current Washington DFI authority. WASHINGTON PRINCIPAL OFFICE != WASHINGTON STATE REGISTRATION.

UNKNOWN

Current

Complete Washington state-RIA count. Bulk roster is SOURCE_NOT_ACQUIRED.

Trace this number

Source. https://dfi.wa.gov/consumers/verify-license

Source date. 2026-09-04

Coverage. SOURCE_NOT_ACQUIRED

Grain. state-registered adviser

Calculation. No official bulk file was acquired. Missing is unknown, not zero. Do not use the 2024 year-end 645 as a live denominator.

Caveat. No official Washington state-RIA bulk CSV/XLSX/API was acquired. DFI Licensee Database is official and search-only. Do not estimate the missing state roster from SEC principal-office geography or from the 2024 year-end aggregate. Do not scrape the search.

SOURCE_NOT_ACQUIRED

Observations

Structured DFI enforcement bulk rows in this snapshot. Missing is not zero.

Trace this number

Source. https://dfi.wa.gov/securities-enforcement-actions

Source date. 2026-09-04

Coverage. NO_BULK_ACQUIRED

Grain. not acquired as bulk

Calculation. Bounded pass found an official HTML table, yearly archives, and PDF orders, not a CSV.

Caveat. DFI publishes a current HTML enforcement-action table plus yearly archives and PDF orders. That is not a structured bulk CSV/JSON extract and was not harvested page-by-page. Statement of Charges is not a final finding. Notice/summary process is not a final order. Order count is not quality. Penalty is not investor loss. Name-only attachment is unsafe. Missing is unknown, not zero.

DFI

Regulator

Washington Department of Financial Institutions, Division of Securities.

2026-08-27

As-of

SEC/IARD compilation IA_FIRM_SEC_Feed_08_27_2026.

Trace this number

Source. Committed WA-INV-001 public snapshot

Source date. 2026-09-04

Coverage. Deterministic generator

Grain. snapshot

Calculation. Fingerprint bb93ff70a10d5592…

Caveat. Numbers on this page must match the generated snapshot.

What the sources say

Washington evidence findings

FEDERAL GEOGRAPHY

306 SEC/IARD roster firms report a Washington principal office

That is 1.7% of roster firms with a resolved principal-office region (17,997). It is not Washington licensed advisers.

CLASS SEPARATION

National roster: 17,018 RIA facts and 6,604 ERA facts

National roster keeps RIA (17,018) and ERA (6,604) separate. Committed geography is on the combined roster. Washington principal-office counts are not an RIA-only or ERA-only state denominator. ERA is not an RIA. SEC RIA is not a Washington state RIA.

STATE GAP

Washington state-RIA bulk roster is SOURCE_NOT_ACQUIRED

Complete state-RIA count is UNKNOWN. Do not fill that gap with the 306 principal-office overlay or with the DFI year-end aggregate of 645 investment advisers. Verify on the official DFI Licensee Database using a name, CRD/IARD, or DFI file number.

YEAR-END AGGREGATE

DFI 2024 year-end figures are not a live roster

Official 2024 Year In Review (as of December 2024): 1,697 broker-dealers, 645 investment advisers, 14,753 investment adviser representatives, and 227,450 securities salespersons. Those people totals are not published here as directories. DFI YEAR-END AGGREGATE != LIVE ROSTER.

ENFORCEMENT COVERAGE

DFI securities actions are a public HTML table, not a bulk roster

Official current-index classes observed: Final Order, Consent Order, Statement of Charges, Summary Order. Statement of Charges is not a final finding. A process notice is not a final order. Name-only attachment is unsafe. The 2024 year-end 92 actions issued is an aggregate, not a live case roster.

Find advisers

Federal research and Washington state verification stay separate

Federal SEC/IARD research: firms reporting a WA principal office or any SEC/IARD firm. Identity is CRD / SEC file number. This list is not the Washington state-RIA roster.
Washington DFI verification: Licensee Database and securities license/registration checks. Helpline 1-877-RING-DFI (746-4334). Also IAPD for Form ADV registration status, including state jurisdictions.
Broker-dealer / salesperson research remains on FINRA BrokerCheck. Broker-dealer is not an investment adviser. BrokerCheck is not scraped here.

Regulator map

What each credential proves

SEC RIA is not a state RIA. CRD identity is not current Washington authority.
Credential	Regulator	What it proves	What it does not prove
SEC-registered investment adviser	U.S. Securities and Exchange Commission / IARD	Federal registration category as reported on Form ADV in the cited extract	Washington DFI state-RIA registration or current Washington notice-filing status
Exempt reporting adviser (ERA)	SEC / IARD (and Washington notice when applicable)	ERA reporting status in the cited extract	SEC RIA registration or Washington state-RIA registration
Washington state-registered investment adviser	Washington DFI Division of Securities	Washington investment-adviser registration when the official DFI/IARD record says so	SEC registration. Principal-office geography is not this credential.
Investment adviser representative	Washington DFI / CRD	Individual representative reporting when official CRD/DFI evidence exists	Firm registration. IAR is not the firm.
Broker-dealer / securities salesperson	Washington DFI / FINRA / CRD	Broker-dealer or salesperson registration when official evidence exists	Investment-adviser registration
Issuer / securities filing	Washington DFI Division of Securities	A registration, exemption, or notice-filing posture when the official filing record says so	Investment quality or Form D approval
CRD / IARD identifier	FINRA CRD / IARD infrastructure	A stable identity key when source-native	Current Washington authority by itself

Registration framework

SEC, Washington DFI, IAR, and broker-dealer stay on separate paths

This is consumer orientation, not legal advice, and not a calculation of any firm's registration eligibility. Securities Act of Washington (RCW 21.20) administered by the DFI Division of Securities — investment-adviser and IAR registration, broker-dealer and salesperson registration, securities registration/exemptions/notice filings, and related franchise/business-opportunity filing systems.

Firms that are SEC-registered typically notice-file in Washington through IARD when Washington is a notice-filing jurisdiction. Official DFI path: federally covered advisers.
Washington state registration may apply to advisers that are not SEC-registered. Official path: investment adviser registration (IARD plus paper filings with the Division).
Individuals who render advisory services generally register as investment adviser representatives. IAR is not the firm. Official path: IAR registration.
Broker-dealer and securities salesperson registration is a different credential from investment-adviser registration. Verify BD/salesperson status on BrokerCheck and DFI. Do not treat one as the other.

Issuer / securities filings

Official Washington research paths

Federal Form D is not Washington qualification or approval. Notice filings and exemptions are not a quality ranking. No statewide issuer bulk denominator was acquired. Statute RCW 21.20; IA rules WAC 460-24A; BD/salesperson rules WAC 460-20C (broker-dealers and salespersons; effective 2024-10-13).

Investment advisers home: DFI investment advisers
Bulk issuer dataset: SOURCE_NOT_ACQUIRED
Federal Form D overlay: SOURCE_NOT_ACQUIRED. FORM D FILING != WASHINGTON STATE APPROVAL. FORM D FILING != INVESTMENT QUALITY.

Exam / guidance

Qualification exams and current rule text, not a firm scorecard

Washington DFI publishes IAR/IA examination and designation-waiver rules. That is individual qualification guidance, not a public firm-level examination scorecard and not a person exam directory. Exam requirement is not a quality score.

Official IAR page: qualifying examinations and designation waivers. FINRA exam application path: how to apply. Investor education stays educational: DFI consumers. Alerts are not firm adverse evidence unless an exact official respondent identity and disposition are present.

Public contacts

No Washington search scrape

Official/public business sources only. No internet enrichment. No DFI/IAPD/BrokerCheck search scrape. No person contact publication from this ticket.

Used only as geography for the SEC/IARD overlay; not republished here as a harvested directory.

Evidence depth

Source families

Coverage describes availability. Missing is unknown, not zero.
Family	Agency	As of	Grain	Count / rows	Limitations
SEC/IARD RIA (national)	SEC / IARD	2026-08-27	Form ADV / IARD firm fact	17,018	National class. Not a Washington state-RIA count.
ERA (national)	SEC / IARD	2026-08-27	ERA reporting fact	6,604	ERA is not an RIA.
WA principal-office overlay	SEC / IARD	2026-08-27	SEC IARD roster firm with principal-office region = WA	306	This is the national SEC/IARD roster overlay for firms that report a Washington principal office. It is not the Washington state-registered adviser universe, not a complete Washington adviser count, and not proof of current Washington DFI authority. WASHINGTON PRINCIPAL OFFICE != WASHINGTON STATE REGISTRATION.
Washington state IA search	Washington DFI	2026-09-04	search result	UNKNOWN	No official Washington state-RIA bulk CSV/XLSX/API was acquired. DFI Licensee Database is official and search-only. Do not estimate the missing state roster from SEC principal-office geography or from the 2024 year-end aggregate. Do not scrape the search.
DFI year-end aggregates	Washington DFI	2024-12	DFI year-end licensee/offering aggregate — not a live roster	645 IA (year-end)	These are official year-end 2024 aggregates. DFI YEAR-END AGGREGATE != LIVE ROSTER. The 645 investment-adviser figure is not a current state-RIA denominator and is not the 306 SEC/IARD Washington principal-office overlay. IAR (14,753) and salesperson (227,450) counts are people totals and are not published here as person directories.
Washington enforcement	Washington DFI	2026-09-04	HTML table / year archive / PDF	not acquired as bulk	DFI publishes a current HTML enforcement-action table plus yearly archives and PDF orders. That is not a structured bulk CSV/JSON extract and was not harvested page-by-page. Statement of Charges is not a final finding. Notice/summary process is not a final order. Order count is not quality. Penalty is not investor loss. Name-only attachment is unsafe. Missing is unknown, not zero.
FINRA BrokerCheck / CRD	FINRA	n/a	official search	not scraped	Broker-dealer is not an investment adviser. CRD is not current Washington authority.
Issuer / securities filing	Washington DFI	2026-09-04	statute / rule / notice filing	SOURCE_NOT_ACQUIRED bulk	Federal Form D is not Washington qualification or approval. Notice filings and exemptions are not a quality ranking. No statewide issuer bulk denominator was acquired.
Form D	SEC	2026-09-04	not in committed product	SOURCE_NOT_ACQUIRED	FORM D FILING != WASHINGTON STATE APPROVAL. FORM D FILING != INVESTMENT QUALITY.
Exam / guidance	Washington DFI	2026-09-04	qualification exam / rule text	no firm-level public scorecard	Washington DFI publishes IAR/IA examination and designation-waiver rules. That is individual qualification guidance, not a public firm-level examination scorecard and not a person exam directory. Exam requirement is not a quality score.
Investor alerts	Washington DFI	2026-09-04	consumer education	not firm adverse evidence	Alerts are not attached to firm profiles without exact respondent identity.

What we don't yet know

Missing sources block a metric, not this page

Complete current Washington state-RIA denominator is UNKNOWN.
Complete Washington IAR universe is UNKNOWN and is not published as a person directory.
Complete Washington broker-dealer state roster is UNKNOWN.
Exact DFI registration status is not known for every SEC/IARD firm with a WA principal office.
Committed geography is not split into WA RIA vs WA ERA.
No structured DFI enforcement bulk extract was acquired.
No Form D Washington overlay is in the committed product.
No statewide issuer bulk denominator was acquired.

WASHINGTON OFFICE != STATE REGISTRATION
SEC RIA != WASHINGTON STATE RIA
ERA != RIA
IAR != FIRM
BROKER-DEALER != IA
CRD != CURRENT STATE AUTHORITY BY ITSELF
DFI YEAR-END AGGREGATE != LIVE ROSTER
FORM D != WASHINGTON APPROVAL
ORDER != COMPLAINT
CHARGES != FINAL FINDING
NOTICE != FINAL ORDER
NAME-ONLY ADVERSE MATCH = UNSAFE
MISSING != ZERO
NO TRUST SCORE
NO PAID RANKING