DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

S••••••••• W••••• M••••••••• L••

CRD 167539

LAKE OSWEGO, OR

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Search this name across graphsid dfx:ria:5f596579-8ba0-c5a8-1794-5fc7dd537e1c

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 6
On other graphs: 0
Observed: May 14, 2014 to Mar 27, 2026
38 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: $204M••• Locked
Discretionary RAUM: $165M
Private client RAUM: $169Mderived••• Locked
Private client share: 83%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• J••••• L••••	Owner	E	yes	03/2013	May 14, 2014	Apr 1, 2024
C••••••• J••••• L••••	CHIEF COMPLIANCE OFFICER	D	yes	01/2018	May 14, 2014	Apr 1, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SANTA CRUZ	CA	United States	3	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
0	2	-2	n/a	0	0	0	0	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	$204M	$169M	20.4%	$171M	6.1%	2	2	1	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
P•••••••• W••••• P•••••••• L••	2	Jun 10, 2026	May 1, 2026	LAKE OSWEGO, OR	Team lift out	RIA to RIA	100.0%

Relationships

Registered with (6)

← T•••••• A•••••• D•••••Advisorregistration: previous registration
Jun 4, 2013 to Jun 10, 2026factForm ADV
← J•••• L•••• C••••••Advisorregistration: previous registration
Jun 4, 2013 to Jun 10, 2026factForm ADV
← F•••• G•••• R•••••Advisorregistration: previous registration
Jan 5, 2017 to Jun 26, 2023factForm ADV
← S•••• M•••••• E•••••

Dated events

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

Occurred
Jun 10, 2026
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
Jun 10, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Jun 10, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5f596579-8ba0-c5a8-1794-5fc7dd537e1c
First observed: May 14, 2014
Last observed: Mar 27, 2026 6 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.