DFX Intelligence

S•••••• P••••••• I••••••••• S••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 100m 1b

S•••••• P••••••• I••••••••• S••••••••• L••

CRD 1254

PORTLAND, OR

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Data as of May 22, 2024 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 90
Dated events: 31
On other graphs: 0
Observed: Dec 1, 2011 to May 22, 2024
78 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $991M••• Locked
Discretionary RAUM: $871M
Private client RAUM: $941Mderived••• Locked
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 524

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••• J••••• S•	CHIEF FINANCIAL OFFICER	Na	yes	10/2022	Nov 1, 2022	May 22, 2024
G••••••• R••••• J•••	CHIEF COMPLIANCE OFFICER	Na	yes	07/2023	Aug 9, 2023	May 22, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••••• P••••••• I••••••••• A•••••••• L••	n/a	Bd affiliated wealth	$37B	N	yes	n/a
E••• W••••• M••••••••• L•••••	n/a	Former SEC adviser	$135M	Y	yes

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
LAKE OSWEGO	Or	United States	28	yes
Mckinleyville	CA	United States	1	yes
Kennewick	Wa	United States	1	yes
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$991M	$823M	20.4%	$860M	4.8%	524	59	4	4

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S•••••• P••••••• I••••••••• A•••••••• L••	2	Jul 10, 2024	Jun 13, 2024	MEDFORD, OR	Team lift out	RIA to ibd	66.7%
C••••• I••••••••• A••••••• L••	4	Mar 1, 2023

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L•• F•••••••• L••	4	Sep 9, 2015	Sep 8, 2015	HERMISTON, OR	Team lift out	Other	0.1%
L•• F•••••••• L••	5	Sep 9, 2015	Sep 9, 2015

Relationships

showing 80 of 90

Affiliated with (5)

← S•••••• P••••••• I••••••••• A•••••••• L••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ E••• W••••• M••••••••• L•••••Registered adviserother investment adviser, control, common control
factForm ADV
→ S•••••• P••••••• I••••••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← E••• W••••• M••••••••• L•••••

Dated events

3 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
29 Jul 2024
Advisor changed firm
••• Locked
Form ADV
Occurred
10 Jul 2024
Advisor changed firm2 events
S•••••• P••••••• I••••••••• S••••••••• L••: advisor changed firm, 2 counterparties, on 10 Jul 2024
- ••• Locked
- ••• Locked
Occurred
10 Jul 2024
Team lift-out
••• Locked
Form ADV
2 advisors
Occurred
23 Dec 2023
Advisor changed firm
••• Locked
Form ADV
Occurred
15 Sep 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 1, 2011
Last observed: May 22, 2024 28 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 13 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 4, 2014	$448M	$61.4M	82	60	n/a	n/a	n/a
2012	Mar 15, 2013	$363M	$38.8M	70	54	n/a	n/a	n/a
2011	Mar 20, 2012	$321M	$23.4M	n/a	n/a	n/a	n/a	n/a