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CRD 309098
PORTLAND, OR
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-09-02 (filing); first seen by DFX 2026-09-22.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| J•••••• R••• G••••••• | n/a | PORTLAND, OR | FRANKLIN, TN | 0 | 22 | 4 | no |
| N•••••• C•••••• | n/a | PORTLAND, OR | Santa Monica, CA | 0 | 11 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A• U• H••••••• I••• | MEMBER - CLASS A UNITS | D | yes | 05/2024 | Jun 2, 2024 | Nov 11, 2024 |
| A••••• H••••••• S••••• | Owner | E | yes | 05/2024 | Jun 2, 2024 | Nov 11, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| A••••• G•••••• A••••••• L•• | n/a | Other adviser | $1.0B | N | yes | n/a |
| A• A•••• C•••••• M••••••••• L•• | n/a | Former SEC adviser | $376M | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Franklin | Tn | United States | 2 | no |
| LA JOLLA | CA | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Philadelphia | Pa | United States | 0 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 4 | 4 | 0 | 100.0% | 1 | 3 | 0 | 5 | 4 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $92.7M | $217M | -57.3% | $320M | -33.8% | 17 | 33 | 3 | 4 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| C••••• W•••••• L•• | 2 | Sep 2, 2026 | Aug 11, 2026 | PORTLAND, OR | Team lift out | RIA to new firm | 28.6% |
| E••••••• W••••• M••••••••• L•• | 2 | May 1, 2023 | May 2, 2023 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | 2 | Jul 31, 2020 | Nov 23, 2021 | PITTSFORD, NY | Team lift out | Wirehouse to new firm | 0.0% |
Dated 2026-09-13 (filing); first seen by DFX 2026-09-15.
| no |
| J••••••• V••••••••• | Certified Financial Planner | PORTLAND, OR | Littleton, CO | 0 | 9 | 1 | no |
| Owner |
| E |
| yes |
| 05/2024 |
| Jun 2, 2024 |
| Nov 11, 2024 |
| M•••••• K••••• J••••• | CHIEF LEGAL OFFICER / BOARD MEMBER | Na | yes | 05/2024 | Jun 2, 2024 | Nov 11, 2024 |
| S•••••••• W••••• G•••• L•• | SOLE MEMBER | E | yes | 05/2024 | Jun 2, 2024 | Nov 11, 2024 |
| S•••••••• S••••• L•••• | CHIEF COMPLIANCE OFFICER | Na | yes | 04/2020 | Apr 27, 2020 | Nov 11, 2024 |
| V••••••• D•••• | CHIEF FINANCIAL OFFICER / BOARD MEMBER | Na | yes | 05/2024 | Jun 2, 2024 | Nov 11, 2024 |
| W•••••• R•••••• A••• | BOARD MEMBER | Na | yes | 05/2024 | Jun 2, 2024 | Nov 11, 2024 |
| T•• I••••••••• A•••• M••••••••• L•• | n/a | Independent wealth | $337M | Y | yes | n/a |
| S•••••••• I•••••••• S•••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| $265M |
| $261M |
| 33 |
| 3 |
| 4 |
| n/a |
| n/a |
| 2024 | Mar 6, 2025 | $217M | $214M | 33 | 4 | 4 | n/a | n/a |
| 2023 | Feb 22, 2024 | $117M | $114M | 31 | 2 | 2 | n/a | n/a |
| 2022 | Mar 29, 2023 | $320M | $320M | 24 | 4 | 2 | n/a | n/a |
| 2021 | Mar 29, 2022 | $285M | $285M | 27 | 4 | 2 | n/a | n/a |
| 2020 | Jan 29, 2021 | $140M | $140M | 23 | 4 | 1 | n/a | n/a |
| PORTLAND, OR |
| Team lift out |
| RIA to new firm |
| 40.0% |