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Former SEC-registered adviser

T••••••• R••••••••• I••••••••• M••••••••• I••

Former SEC-registered adviserPortland, OregonCRD 104798SEC 801-14599IAPD
Latest filing Feb 26, 2019
First filing on the tape Mar 15, 2012 · 9 filings
RAUM
$291M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
82%
$238M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$291M as of Feb 26, 2019
Mar 15, 2012$188M then
HNW client RAUM$206M as of Feb 26, 2019
Mar 15, 2018$225M then
State-registered IARs (5.B.3)1 as of Feb 26, 2019
Mar 15, 20120 then
Employees (5.A)4 as of Feb 26, 2019
Feb 22, 20134 then
Private funds: no history
RAUM -9.9% over the last fiscal year+6.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 26, 2019; every figure names its basis
RAUM per advisor
$291MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
48derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$25.7MderivedHNW RAUM over HNW clients
Average account
$3.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-9.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-9.4%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$206M71%
  • Corporations and businesses$45.7M16%
  • Individuals$32.7M11%
  • Pension and profit-sharing plans$4.4M1.5%
  • Charitable organizations$2.6M0.9%
Individual clients
40reported
HNW clients
8reported
Pension plan clients
2reported
Charitable clients
2reported
Accounts
82reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Left, latest
none on the tape
    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
      • R••••••••• R••••••• A•••• · President, Secretary & Chief Compliance Officercontrol
        since 06/1979 · owns 75% or more
      • C••••••• J•••• H••••• · Vice President, Portfolio Manager
        since 03/2000 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 62 to 82
        Mar 15, 2018 to Feb 26, 2019
      • Charity clients · 3 to 2
        Mar 15, 2018 to Feb 26, 2019
      • HNW clients · 11 to 8
        Mar 15, 2018 to Feb 26, 2019
      • Individual clients · 42 to 40
        Mar 15, 2018 to Feb 26, 2019
      • Pension plan clients · 3 to 2
        Mar 15, 2018 to Feb 26, 2019
      • Discretionary RAUM · $323M to $291M
        Mar 15, 2018 to Feb 26, 2019
      • HNW RAUM · $225M to $206M
        Mar 15, 2018 to Feb 26, 2019
      • Individual RAUM · $36.3M to $32.7M
        Mar 15, 2018 to Feb 26, 2019
      • Pension RAUM · $5.4M to $4.4M
        Mar 15, 2018 to Feb 26, 2019
      • RAUM · $323M to $291M
        Mar 15, 2018 to Feb 26, 2019
      • Accounts · 90 to 62
        Feb 24, 2017 to Mar 15, 2018
      • Charity clients · unset to 3.0
        Feb 24, 2017 to Mar 15, 2018
      • Corporate clients · unset to 3.0
        Feb 24, 2017 to Mar 15, 2018
      • HNW clients · unset to 11.0
        Feb 24, 2017 to Mar 15, 2018
      • Individual clients · unset to 42.0
        Feb 24, 2017 to Mar 15, 2018
      • Pension plan clients · unset to 3.0
        Feb 24, 2017 to Mar 15, 2018
      • Pooled vehicle clients · unset to 0.0
        Feb 24, 2017 to Mar 15, 2018
      • Other offices · unset to 0.0
        Feb 24, 2017 to Mar 15, 2018
      • Discretionary RAUM · $289M to $323M
        Feb 24, 2017 to Mar 15, 2018
      • HNW RAUM · unset to 225017412.0
        Feb 24, 2017 to Mar 15, 2018
      • Individual RAUM · unset to 36253809.0
        Feb 24, 2017 to Mar 15, 2018
      • Pension RAUM · unset to 5387719.0
        Feb 24, 2017 to Mar 15, 2018
      • RAUM · $289M to $323M
        Feb 24, 2017 to Mar 15, 2018
      • Accounts · 94 to 90
        Feb 10, 2016 to Feb 24, 2017
      • Discretionary RAUM · $240M to $289M
        Feb 10, 2016 to Feb 24, 2017
      • RAUM · $240M to $289M
        Feb 10, 2016 to Feb 24, 2017
      • Accounts · 104 to 94
        Feb 25, 2015 to Feb 10, 2016
      • Discretionary RAUM · $265M to $240M
        Feb 25, 2015 to Feb 10, 2016
      • RAUM · $265M to $240M
        Feb 25, 2015 to Feb 10, 2016
      • Accounts · 108 to 104
        Mar 6, 2014 to Feb 25, 2015
      • Discretionary RAUM · $260M to $265M
        Mar 6, 2014 to Feb 25, 2015
      • RAUM · $260M to $265M
        Mar 6, 2014 to Feb 25, 2015
      • Accounts · 105 to 108
        Feb 22, 2013 to Feb 5, 2014
      • Discretionary RAUM · $199M to $260M
        Feb 22, 2013 to Feb 5, 2014
      • RAUM · $199M to $260M
        Feb 22, 2013 to Feb 5, 2014
      • Accounts · 114 to 105
        Mar 15, 2012 to Feb 22, 2013
      • Advisory employees · unset to 2.0
        Mar 15, 2012 to Feb 22, 2013
      • Employees · unset to 4.0
        Mar 15, 2012 to Feb 22, 2013
      • State-registered IARs · 0 to 1
        Mar 15, 2012 to Feb 22, 2013
      • Discretionary RAUM · $188M to $199M
        Mar 15, 2012 to Feb 22, 2013
      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