DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

P•••••• C••••••••• A•••••••• L••

CRD 269864

PORTLAND, OR

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Search this name across graphsid dfx:ria:e806b2e6-637b-082f-09d1-5ec3e7016b0a

Data as of Mar 4, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 3
On other graphs: 1
Observed: Jun 24, 2015 to Mar 4, 2019
21 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

P•••••• C••••••••• A•••••••• L••

Investment consultant · shared crd

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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 29
Advisory employees: 28
Offices: 15Schedule D 1.F, beyond the principal office
SEC number: 801-100448
CRD: 269864

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• T••••••• C•••••••••	Member	A	yes	09/2016	Sep 12, 2017	Mar 4, 2019
C•••••••• K••• R•••	Member	Na	yes	07/2017	Sep 12, 2017	Mar 4, 2019

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	3	no
n/a	n/a	n/a	2	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 4, 2019	n/a	n/a	29	28	15	n/a	n/a
2017	Mar 2, 2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	n/a	n/a	n/a	n/a	n/a	29	31	15	1

Relationships

Controls (8)

← R••• N•••• A••••OwnerMEMBER, ownership code A, individual
Jun 24, 2015 to presentfactForm ADV
← C•••••••• K••• R•••OwnerMEMBER, ownership code NA, individual
Sep 12, 2017 to presentfactForm ADV
← C•••••••• J•••••• F••OwnerMEMBER, ownership code A, individual
Jun 24, 2015 to presentfactForm ADV
← E••••• A••••• R•••••OwnerPRESIDENT, ownership code E, individual
Jun 24, 2015 to presentfact

Dated events

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

Occurred
Jun 24, 2015
Succession filed (Item 4)
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 24, 2015
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Show 1 bookkeeping events

Occurred
Mar 4, 2019
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e806b2e6-637b-082f-09d1-5ec3e7016b0a
First observed: Jun 24, 2015
Last observed: Mar 4, 2019 92 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.