DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

C•••• M••••••• A•••••••• L••

CRD 140339

LAKE OSWEGO, OR

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Search this name across graphsid dfx:ria:dd9395aa-075b-a378-eee3-7004a1c3110e

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 2
On other graphs: 0
Observed: Dec 7, 2011 to Mar 24, 2026
41 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=0.68 fund_share=0.0 institutional_share=0.31 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.2B••• Locked
Discretionary RAUM: $892M
Private client RAUM: $815Mderived••• Locked
Private client share: 68%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $200Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
B•••••• D••• P••••••	Chartered Financial Consultant	LAKE OSWEGO, OR	20	34	1	no
D••••• J•••• N••••	Certified Financial Planner	LAKE OSWEGO, OR	18	29

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••• A•• G••• P•••••• R•••••••• T••••• D•••• O•••••• 1•• 2•••	MANAGING MEMBER	D	yes	10/2018	Mar 4, 2022	Jul 12, 2024
P••••••• B••••••• D•••	Trustee	D	yes	10/2018	Dec 7, 2011	Jul 12, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Portland	Or	United States	1	no
Tigard	Or	United States	1	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	0	0	0.0%	0	0	0	0	0

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	$1.2B	$1.1B	12.5%	$727M	18.1%	10	10	2	2

Relationships

Registered with (6)

← T••• V•• S•••••••••Advisorregistration: current employment
Jun 29, 2016 to presentfactForm ADV
← A••• L•• W••••Advisorregistration: current employment
Jun 29, 2016 to presentfactForm ADV
← R•••••• R•••••• R•••••Advisorregistration: current employment
Feb 6, 2013 to presentfactForm ADV
← N••••• C•••••

Dated events

Occurred
Mar 4, 2022
Control person joined
Gina Patrick (Trustee) appeared on Schedule A of C•••• M••••••• A•••••••• L••
Form ADVobserved 7 days ago
Occurred
Mar 20, 2020
Regulatory AUM changed
C•••• M••••••• A•••••••• L•• reported RAUM $637.5M, up 27% from $500.5M (2019-12-20 to 2020-03-20)
Form ADVobserved 7 days ago
$137M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dd9395aa-075b-a378-eee3-7004a1c3110e
First observed: Dec 7, 2011
Last observed: Mar 24, 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.