DFX Intelligence
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Reading the graph
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CRD 110228
PORTLAND, OR
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| S•••••• J••••••• B••••••••• | n/a | PORTLAND, OR | Missouri City, TX | 25 | 25 | n/a | yes |
| M••••••• D••••• T••••• | n/a | Mechanicsburg, PA | PORTLAND, OR | 21 | 22 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| G•••••••• M••••• E•••••••• | President | Na | yes | 05/2020 | Jun 22, 2015 | Mar 29, 2024 |
| H••••• J••••• P••••••• | Secretary | Na | yes | 02/2021 | Mar 23, 2021 | Mar 29, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| S••••••• E•••••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| S••••••• I•••••••• C•••••• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Portland | Or | United States | 9 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 5 | 2 | 3 | 2.6% | 1 | 0 | 0 | 14 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $35B | $34B | 2.7% | $16B | 28.6% | 81 | 82 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| N•• A•••••• S•••••••• L•• | 2 | Aug 3, 2015 | Aug 28, 2015 | ORANGE, CA | Team lift out | Other | 3.6% |
| U••••• C•••••• F•••••••• A••••••• | 2 | May 15, 2015 | Nov 14, 2016 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| S••••••• F•••••••• S•••••••• I••• | 3 | Dec 31, 2022 | Jan 6, 2026 | ST PAUL, MN | Team lift out | Other | 0.3% |
| yes |
| R•••• O•••• C•••• | n/a | The Woodlands, TX | PORTLAND, OR | 20 | 26 | 1 | yes |
| N••• J••• B•••••••• | n/a | PORTLAND, OR | Mason, OH | 19 | 30 | 1 | yes |
| R•••••• J••• R•••• | n/a | PORTLAND, OR | Sammamish, WA | 19 | 25 | 1 | yes |
| W•••••• F•••• F••••• | n/a | Pittsburgh, PA | PORTLAND, OR | 19 | 22 | 1 | yes |
| C•••••••• D•••• F••••••• | n/a | Austin, TX | PORTLAND, OR | 19 | 21 | 1 | yes |
| C••••••••• L••••••• N••••• | n/a | Milwaukie, OR | PORTLAND, OR | 19 | 24 | 1 | yes |
| R••• T• Q•••• | n/a | North Attleboro, MA | PORTLAND, OR | 18 | 19 | n/a | yes |
| C••••••••• M•••••• C•••• | n/a | Prospect, KY | PORTLAND, OR | 18 | 18 | n/a | yes |
| D•••• M•••••• K••• | n/a | PORTLAND, OR | Portland, OR | 17 | 18 | 1 | yes |
| J•••• T••••• R••••••• | n/a | PORTLAND, OR | 16 | 19 | n/a | yes |
| M•••••• S•••• N•••• | n/a | Middletown, CT | PORTLAND, OR | 16 | 30 | 2 | yes |
| L•••• J••••• C•••• | n/a | PORTLAND, OR | Sterling Heights, MI | 16 | 29 | 1 | yes |
| M•••••• S••••• M••••••••• | n/a | PORTLAND, OR | 16 | 18 | n/a | yes |
| K•••••• R•••••• S•••••••• | n/a | WALNUT CREEK, CA | 15 | 19 | n/a | yes |
| K•••• G••••• N••••• | n/a | PORTLAND, OR | Chadds Ford, PA | 15 | 24 | 1 | yes |
| C••••••••• F•••• W•••••• | n/a | Atlanta, GA | PORTLAND, OR | 15 | 21 | 1 | yes |
| B••• G•••••• | n/a | Northbrook, IL | PORTLAND, OR | 15 | 15 | n/a | yes |
| J•••••• S•••••• W•••• | n/a | Mandeville, LA | PORTLAND, OR | 14 | 15 | n/a | yes |
| C••• J••• W••••••••• | n/a | PORTLAND, OR | Lake Oswego, OR | 14 | 29 | n/a | yes |
| D••• D•••• | n/a | Alpharetta, GA | PORTLAND, OR | 13 | 22 | 1 | yes |
| M•••••• G••• M••••••• | n/a | PORTLAND, OR | Portland, OR | 12 | 30 | n/a | yes |
| K•••••• E••• W••••• | n/a | PORTLAND, OR | 12 | 24 | 1 | yes |
| A••• J••••• S•••• | n/a | PORTLAND, OR | Tualatin, OR | 12 | 16 | n/a | yes |
| CHIEF COMPLIANCE OFFICER |
| Na |
| yes |
| 06/2021 |
| Jun 9, 2021 |
| Mar 29, 2024 |
| S••••••• T•••••• R•• | VICE PRESIDENT & TREASURER | Na | yes | 05/2020 | May 11, 2020 | Mar 29, 2024 |
| S••••••• F•••••••• G••••• I••• | Owner | E | yes | 05/2000 | Mar 13, 2012 | Mar 29, 2024 |
| W••••••• G•••• L•• | VICE PRESIDENT | Na | yes | 11/2022 | Jun 30, 2023 | Mar 29, 2024 |
| n/a |
| n/a |
| n/a |
| N |
| yes |
| n/a |
| Mar 31, 2026 |
| $35B |
| $35B |
| 81 |
| 12 |
| 1 |
| n/a |
| n/a |
| 2024 | Mar 31, 2025 | $34B | $34B | 82 | 12 | 1 | n/a | n/a |
| 2023 | Mar 29, 2024 | $34B | $34B | 112 | 12 | 1 | n/a | n/a |
| 2022 | Mar 31, 2023 | $16B | $16B | 82 | 12 | 1 | n/a | n/a |
| 2021 | Mar 30, 2022 | $29B | $18B | 102 | 88 | 1 | n/a | n/a |
| 2020 | Mar 30, 2021 | $27B | $17B | 116 | 116 | 16 | n/a | n/a |
| 2019 | May 11, 2020 | $21B | $14B | 95 | 93 | 24 | n/a | n/a |
| 2018 | Mar 28, 2019 | $21B | $13B | 95 | 93 | 26 | n/a | n/a |
| 2017 | Mar 12, 2018 | $19B | $14B | 95 | 93 | 26 | n/a | n/a |
| 2016 | Mar 1, 2017 | $17B | $11B | 98 | 93 | n/a | n/a | n/a |
| 2015 | Mar 17, 2016 | $15B | $9.6B | 94 | 90 | n/a | n/a | n/a |
| 2014 | Mar 26, 2015 | $23B | $10B | 35 | 26 | n/a | n/a | n/a |
| 2013 | Mar 27, 2014 | $21B | $17B | 35 | 26 | n/a | n/a | n/a |
| 2012 | Mar 19, 2013 | $18B | $8.5B | 35 | 22 | n/a | n/a | n/a |
| 2011 | Mar 13, 2012 | $18B | $8.9B | n/a | n/a | n/a | n/a | n/a |
| ANN ARBOR, MI |
| Team lift out |
| Other |
| 3.6% |
| U••••• C•••••• F•••••••• A••••••• | 4 | May 15, 2015 | May 15, 2015 | PORTLAND, OR | Team lift out | Other | 7.1% |
| V•••• F•••••••• A•••••••• L•• | 2 | Mar 16, 2015 | Jul 16, 2015 | PORTLAND, OR | Team lift out | Other | 3.4% |