DFX Intelligence

C••••••• A••••••• 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

C••••••• A••••••• S•••••••• L••

CRD 290231

PORTLAND, OR

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Search this name across graphsid dfx:ria:b2cb6463-5491-b0e9-b526-532a0148f732

Data as of Aug 17, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 19
On other graphs: 0
Observed: Dec 15, 2017 to Aug 17, 2021
25 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: $689M••• Locked
Discretionary RAUM: $689M
Private client RAUM: $689Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 26

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• R•••••• P••••••	Member	C	yes	09/2017	Dec 15, 2017	Aug 17, 2021
B••••• G•••• S••••	Member	C	yes	09/2017	Dec 15, 2017	Aug 17, 2021

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Danville	CA	United States	1	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Mar 29, 2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$689M	$511M	34.9%	n/a	n/a	26	26	1	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M••••••	9	Jan 28, 2022	Mar 16, 2022	PORTLAND, OR	Firm absorbed	RIA to ibd	100.0%
C••••• I••••••••• A••••••• L••	2	Jan 7, 2022	Mar 21, 2024

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••• A••••••• L••	3	Feb 11, 2020	Sep 5, 2019	PORTLAND, OR	Team lift out	Ibd to RIA	1.2%
C••••• A••••••• L••	2	Oct 24, 2018	Jul 6, 2018

Relationships

Controls (4)

← J••••••••• M••••••• P•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 15, 2017 to presentfactForm ADV
← P••••• D••••••• K••OwnerMEMBER, ownership code C, individual
Dec 15, 2017 to presentfactForm ADV
← B••••• G•••• S••••OwnerMEMBER, ownership code C, individual
Dec 15, 2017 to presentfactForm ADV
← B••••••••• R•••••• P••••••OwnerMEMBER, ownership code C, individual
Dec 15, 2017 to presentfact

Dated events

Occurred
Jan 28, 2022
Firm absorbed
••• Locked
Form ADVobserved 7 days ago
9 advisors
Occurred
Jan 28, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Jan 28, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Jan 28, 2022
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b2cb6463-5491-b0e9-b526-532a0148f732
First observed: Dec 15, 2017
Last observed: Aug 17, 2021 62 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.