DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

A••••• F•••••••• A•••••••• L••

CRD 288462

LAKE OSWEGO, OR

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Data as of Jul 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 12
On other graphs: 0
Observed: Apr 27, 2017 to Jul 23, 2026
34 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=0.94 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $734M••• Locked
Discretionary RAUM: $703M
Private client RAUM: $690Mderived••• Locked
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor: $105Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P•••••• T•••••••	Certified Financial Planner\|Chartered Financial Analyst	LAKE OSWEGO, OR	9	19	4	no
S••••• D••••• A••••••	n/a	LAKE OSWEGO, OR	9	31

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• S•••••• D•••••	PRESIDENT AND DIRECTOR	C	yes	04/2017	Apr 27, 2017	Mar 27, 2024
A••••••• S•••••• D•••••	Principal	Na	yes	04/2017	Apr 27, 2017	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
U••••• C•••••• M••••••••• L••	n/a	n/a	n/a	N	yes	n/a

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
1	0	1	0.0%	0	0	0	5	2

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	$734M	$639M	14.8%	$463M	16.6%	10	10	0	0

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
T•• I••••••••• A•••• M••••••••• L••	2	Sep 11, 2017	Jul 7, 2017	PORTLAND, OR	Team lift out	Other	33.3%

Relationships

Registered with (10)

← J••••••••• T•••••••Advisorregistration: current employment
Apr 21, 2026 to presentfactForm ADV
← M•••••• S•••••••• E•••••Advisorregistration: current employment
Jan 19, 2025 to presentfactForm ADV
← M••••••• L••• W••••••Advisorregistration: current employment
Jun 20, 2024 to presentfactForm ADV
← J••••• L••••••• J•••••• F••

Dated events

Order

Occurred
23 Jul 2026
Ria principal change
••• Locked
Form ADV
Occurred
6 Feb 2025
Advisor changed firm
••• Locked
Form ADV
Occurred
17 Jun 2024
Advisor changed firm
••• Locked
Form ADV
Occurred
30 Mar 2023
Control person left
••• Locked
Form ADV
Occurred
24 Oct 2022
Control person left
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 27, 2017
Last observed: Jul 23, 2026 2 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.