DFX Intelligence

N•••••••• C•••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 1b 10b

N•••••••• C•••••• M••••••••• L••

CRD 107784

HOOD RIVER, OR

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Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 2
On other graphs: 1
Observed: Mar 21, 2012 to Mar 30, 2026
27 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

N•••••••• C•••••• M••••••••• L••

Private equity manager · same CRD, same SEC file number

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderived••• Locked
Regulatory AUM: $6.9B••• Locked
Discretionary RAUM: $2.1B
Private client RAUM: $6.9Bderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $868Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••• H••• P•••••••	Certified Financial Planner\|Personal Financial Specialist	Beaufort, SC	24	25	n/a	no
P••••••• C••••• G••••	n/a	HOOD RIVER, OR	21	36

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
B••• H••••• P•••••••• L••	Private Equity Fund	$253,724	Mar 28, 2018	18	Mar 21, 2012	dropped	021-1093713
G•••••••• P•••••••• L••	Private Equity Fund	$77,522

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• M•••••	Director	A	yes	04/2024	Mar 30, 2026	Mar 30, 2026
D••••••• D•••••• J••••	Director	C	yes	04/2024	Mar 30, 2026	Mar 30, 2026

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Ketchum	Id	United States	3	no
SAN MATEO	CA	United States	2	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
3	0	3	0.0%	1	0	0	3	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$6.9B	$5.8B	19.2%	$4.6B	14.4%	17	15	3	3

Relationships

Registered with (8)

← K•••• L••• R•••••••Advisorregistration: current employment
Sep 4, 2026 to presentfactForm ADV
← J•••• J••••• J•••••••Advisorregistration: current employment
Aug 21, 2026 to presentfactForm ADV
← K•••• G••••• L•••••Advisorregistration: current employment
Jun 5, 2026 to presentfactForm ADV
← D•••• B••••

Dated events

Order

Occurred
30 Mar 2026
Ria office opened
••• Locked
Form ADV
Occurred
28 May 2024
Control person joined
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 21, 2012
Last observed: Mar 30, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 28, 2016	$3.9B	$2.6B	11	7	n/a	3	$579,393
2014	Mar 27, 2015	$4.2B	$2.4B	11	8	n/a	3	$579,393
2013	Mar 24, 2014	$4.4B	$2.1B	9	4	n/a	3	$1.0M
2012	Mar 22, 2013	$2.8B	$2.2B	8	4	n/a	3	$2.5M
2011	Mar 21, 2012	$2.3B	$2.1B	n/a	n/a	n/a	3	$2.8M