DFX Intelligence

T•• I••••••••• A•••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

T•• I••••••••• A•••• M••••••••• L••

CRD 168256

PORTLAND, OR

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:305130de-fd6e-7887-b1aa-067425649177

Data as of Aug 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 54
Dated events: 25
On other graphs: 0
Observed: Oct 24, 2013 to Aug 26, 2026
108 observations

Across DFX

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.

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=5.0
Regulatory AUM: $337M••• Locked
Discretionary RAUM: $337M
Private client RAUM: $337Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $42.1Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S•••• S•••••••	n/a	PORTLAND, OR	7	26	4	no
L••••• W••••• W•••••	Certified Financial Planner	CHARLOTTE, NC \| PORTLAND, OR	7	24

Owners and control persons

••• Locked

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 1, 2024
A••••• H••••••• S•••••	Owner	E	yes	05/2024	Jun 2, 2024	Nov 1, 2024

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Charlotte	Nc	United States	4	no
Portland	Or	United States	1	no
Philadelphia	Pa	United States	0	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
6	6	0	75.0%	0	1	0	8	6

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	$337M	$575M	-41.4%	$514M	-13.2%	24	34	1	3

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M••••••••• A•••••••• L••	3	Feb 6, 2026	Feb 9, 2026	PORTLAND, OR	Team lift out	RIA to new firm	25.0%
J•••••• W••••• M••••••••• L••	3	Jan 2, 2019	Nov 20, 2018

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
T••••• A••••••• S•••••••• I•••	2	Aug 4, 2025	Nov 20, 2025	ATLANTA, GA	Team lift out	Ibd to RIA	0.1%
Y••••••••• W••••• S••••••••• L••	2	Jun 27, 2019	Jul 26, 2019

Relationships

Affiliated with (4)

← T•• I••••••••• A•••• M••••••••• 2• L••Registered adviserother investment adviser, control, common control
factForm ADV
→ A••••• I••••••••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ A• A•••• C•••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ T•• I••••••••• A•••• M••••••••• 2• L••Registered adviser

Dated events

Occurred
Aug 26, 2026
Ria office c••••d
••• Locked
Form ADVobserved today
Occurred
Aug 26, 2026
Ria office c••••d
••• Locked
Form ADVobserved today
Occurred
Jul 7, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 31, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:305130de-fd6e-7887-b1aa-067425649177
First observed: Oct 24, 2013
Last observed: Aug 26, 2026 28 days 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.