DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

S•••• I••••••••• M••••••••• C••••••

Former SEC-registered adviserPortland, OregonCRD 104535SEC 801-42418IAPD
Latest filing Mar 26, 2019
First filing on the tape Mar 19, 2012 · 17 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$488M as of Mar 29, 2018
Mar 19, 2012$479M then
HNW client RAUM: $348M
State-registered IARs (5.B.3)0 as of Mar 26, 2019
Mar 28, 20137 then
Employees (5.A)0 as of Mar 26, 2019
Mar 28, 201311 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 6 to 0
Practice profile
derived from the filing of Mar 26, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • A•••••••• J•••••••• A•• · Chief Technology Officercontrol
      since 12/2015 · owns less than 5%
    • B•••• W••••••• A••••• · Chief Executive Officer, Shareholdercontrol
      since 12/2017 · owns 50% to 75%
    • L•••••• H•••••• P•• W••• · President, Shareholdercontrol
      since 12/2017 · owns 10% to 25%
    • V•• H•••• J••••• T••••• · Chief Compliance Officer / Chief Financial Officercontrol
      since 07/2006 · owns less than 5%
    • W•••••• T••••••• J•••• · Vice President And Secretary, Shareholdercontrol
      since 12/2017 · owns 25% to 50%
    Entity owners
    • M••••• A••••••• I••• · Parent Company
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Great Falls, MT1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 582.0 to unset
      Aug 31, 2018 to Mar 26, 2019
    • Advisory employees · 6 to 0
      Aug 31, 2018 to Mar 26, 2019
    • Charity clients · 10.0 to unset
      Aug 31, 2018 to Mar 26, 2019
    • Corporate clients · 3.0 to unset
      Aug 31, 2018 to Mar 26, 2019
    • HNW clients · 148.0 to unset
      Aug 31, 2018 to Mar 26, 2019
    • Individual clients · 84.0 to unset
      Aug 31, 2018 to Mar 26, 2019
    • Pension plan clients · 18.0 to unset
      Aug 31, 2018 to Mar 26, 2019
    • Pooled vehicle clients · 0.0 to unset
      Aug 31, 2018 to Mar 26, 2019
    • Assets in custody · 81514052.0 to unset
      Aug 31, 2018 to Mar 26, 2019
    • Custody of client assets · true to false
      Aug 31, 2018 to Mar 26, 2019
    • Employees · 10 to 0
      Aug 31, 2018 to Mar 26, 2019
    • State-registered IARs · 6 to 0
      Aug 31, 2018 to Mar 26, 2019
    • Discretionary RAUM · 488477368.0 to unset
      Aug 31, 2018 to Mar 26, 2019
    • HNW RAUM · 348494461.0 to unset
      Aug 31, 2018 to Mar 26, 2019
    • Individual RAUM · 53134225.0 to unset
      Aug 31, 2018 to Mar 26, 2019
    • Non-discretionary RAUM · 0.0 to unset
      Aug 31, 2018 to Mar 26, 2019
    • Pension RAUM · 53715096.0 to unset
      Aug 31, 2018 to Mar 26, 2019
    • Pooled vehicle RAUM · 0.0 to unset
      Aug 31, 2018 to Mar 26, 2019
    • RAUM · 488477368.0 to unset
      Aug 31, 2018 to Mar 26, 2019
    • Accounts · 590 to 582
      Dec 22, 2017 to Mar 29, 2018
    • Advisory employees · 7 to 6
      Dec 22, 2017 to Mar 29, 2018
    • Charity clients · unset to 10.0
      Dec 22, 2017 to Mar 29, 2018
    • Corporate clients · unset to 3.0
      Dec 22, 2017 to Mar 29, 2018
    • HNW clients · unset to 148.0
      Dec 22, 2017 to Mar 29, 2018
    • Individual clients · unset to 84.0
      Dec 22, 2017 to Mar 29, 2018
    • Pension plan clients · unset to 18.0
      Dec 22, 2017 to Mar 29, 2018
    • Pooled vehicle clients · unset to 0.0
      Dec 22, 2017 to Mar 29, 2018
    • Assets in custody · $88.3M to $81.5M
      Dec 22, 2017 to Mar 29, 2018
    • Employees · 13 to 10
      Dec 22, 2017 to Mar 29, 2018
    • State-registered IARs · 7 to 6
      Dec 22, 2017 to Mar 29, 2018
    • Discretionary RAUM · $431M to $488M
      Dec 22, 2017 to Mar 29, 2018
    • HNW RAUM · unset to 348494461.0
      Dec 22, 2017 to Mar 29, 2018
    • Individual RAUM · unset to 53134225.0
      Dec 22, 2017 to Mar 29, 2018
    • Non-discretionary RAUM · $35.5M to $0
      Dec 22, 2017 to Mar 29, 2018
    • Pension RAUM · unset to 53715096.0
      Dec 22, 2017 to Mar 29, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Dec 22, 2017 to Mar 29, 2018
    • RAUM · $467M to $488M
      Dec 22, 2017 to Mar 29, 2018
    • Assets in custody · unset to 88331286.0
      Mar 29, 2017 to Dec 22, 2017
    • Custody of client assets · false to true
      Mar 29, 2017 to Dec 22, 2017
    • Other offices · unset to 1.0
      Mar 29, 2017 to Dec 22, 2017
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026