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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SEC-registered adviser
P••••••••• I••••••••• M••••••••• C•••••••••
Latest filing Mar 20, 2026
First filing on the tape Mar 28, 2012 · 36 filings
SEC status approved since Feb 28, 1988
RAUM
$758M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$683M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$190M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$758M as of Mar 20, 2026
Mar 28, 2012$529M then
HNW client RAUM$665M as of Mar 20, 2026
Mar 28, 2018$292M then
State-registered IARs (5.B.3)4 as of Mar 20, 2026
Mar 28, 20120 then
Employees (5.A)8 as of Mar 20, 2026
Apr 1, 201311 then
Private funds: 1
RAUM +8.3% over the last fiscal year+14% a year over threeIARs 4 to 4offices 2 to 1
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $190MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 10.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $212M, 79 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$665M88%
- Charitable organizations$39.2M5.2%
- Pension and profit-sharing plans$36.3M4.8%
- Individuals$18.0M2.4%
- Individual clients
- 26reported
- HNW clients
- 141reported
- Pension plan clients
- 2reported
- Charitable clients
- 7reported
- Accounts
- 473reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $212M for 79 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• M•••••• H••••••••• | Lake Oswego, Or | Apr 17, 1995 | 39 y | 0 |
| C•••••• S••••• R•••••• | Lake Oswego, Or | Oct 16, 2024 | 10 y | 0 |
| B••••••• R••••• C•••••••Chartered Financial Analyst | Lake Oswego, Or | Nov 11, 2024 | 11 y | 0 |
| D•••• J••• K••••• | Lake Oswego, Or | Nov 11, 2024 | 32 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- L••••• E•••••• C•••••••• to L••••• E• C••••••••• L••Sep 12, 2012 · Other
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L•••• E•••••••• I••••• F•••• L••no longer reported | Other Private Fund | $6.1M | 38 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- H••••••••• C••••••• M•••••• · Chief Compliance Officercontrolsince 01/2021 · owns less than 5%
- H••••••••• C••••••• M•••••• · Trustee / Ownercontrolsince 03/2013 · owns 50% to 75% of T•• C•••••• H••••••••• R•••••••• T••••
- H••••••••• E••••••••• A•• · Trustee / Ownercontrolsince 03/2013 · owns 50% to 75% of T•• C•••••• H••••••••• R•••••••• T••••
- C•••••••• B•••••••• R••••• · Director Of Investments, Investment Advisorsince 02/2024 · owns less than 5%
- P•••••• A•••••• S••••• M•••••• · Director Of Operationssince 02/2024 · owns less than 5%
Entity owners
- T•• C•••••• H••••••••• R•••••••• T•••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lake Oswego, Or · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Eugene, OR2 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 475 to 473Dec 8, 2025 to Mar 20, 2026
- HNW clients · 140 to 141Dec 8, 2025 to Mar 20, 2026
- Individual clients · 28 to 26Dec 8, 2025 to Mar 20, 2026
- Assets in custody · $200M to $212MDec 8, 2025 to Mar 20, 2026
- Discretionary RAUM · $700M to $758MDec 8, 2025 to Mar 20, 2026
- HNW RAUM · $611M to $665MDec 8, 2025 to Mar 20, 2026
- Individual RAUM · $19.8M to $18.0MDec 8, 2025 to Mar 20, 2026
- Pension RAUM · $32.8M to $36.3MDec 8, 2025 to Mar 20, 2026
- RAUM · $700M to $758MDec 8, 2025 to Mar 20, 2026
- Employees · 7 to 8Mar 14, 2025 to Dec 8, 2025
- Other offices · 2 to 1Mar 14, 2025 to Dec 8, 2025
- Accounts · 472 to 475Nov 15, 2024 to Mar 14, 2025
- Advisory employees · 3 to 4Nov 15, 2024 to Mar 14, 2025
- HNW clients · 138 to 140Nov 15, 2024 to Mar 14, 2025
- Individual clients · 32 to 28Nov 15, 2024 to Mar 14, 2025
- Pension plan clients · 3 to 2Nov 15, 2024 to Mar 14, 2025
- Assets in custody · $181M to $200MNov 15, 2024 to Mar 14, 2025
- Financial planning clients · unset to Nov 15, 2024 to Mar 14, 2025
- State-registered IARs · 3 to 4Nov 15, 2024 to Mar 14, 2025
- Discretionary RAUM · $626M to $700MNov 15, 2024 to Mar 14, 2025
- HNW RAUM · $541M to $611MNov 15, 2024 to Mar 14, 2025
- Individual RAUM · $22.2M to $19.8MNov 15, 2024 to Mar 14, 2025
- Pension RAUM · $30.1M to $32.8MNov 15, 2024 to Mar 14, 2025
- RAUM · $626M to $700MNov 15, 2024 to Mar 14, 2025
- Accounts · 459 to 472Mar 28, 2023 to Feb 28, 2024
- Charity clients · 6 to 7Mar 28, 2023 to Feb 28, 2024
- HNW clients · 139 to 138Mar 28, 2023 to Feb 28, 2024
- Individual clients · 39 to 32Mar 28, 2023 to Feb 28, 2024
- Assets in custody · $120M to $181MMar 28, 2023 to Feb 28, 2024
- Employees · 6 to 7Mar 28, 2023 to Feb 28, 2024
- Discretionary RAUM · $507M to $626MMar 28, 2023 to Feb 28, 2024
- HNW RAUM · $436M to $541MMar 28, 2023 to Feb 28, 2024
- Individual RAUM · $25.5M to $22.2MMar 28, 2023 to Feb 28, 2024
- Pension RAUM · $24.3M to $30.1MMar 28, 2023 to Feb 28, 2024
- RAUM · $507M to $626MMar 28, 2023 to Feb 28, 2024
- Accounts · 462 to 459Mar 22, 2022 to Mar 28, 2023
- HNW clients · 146 to 139Mar 22, 2022 to Mar 28, 2023
- Individual clients · 28 to 39Mar 22, 2022 to Mar 28, 2023
- Pension plan clients · 4 to 3Mar 22, 2022 to Mar 28, 2023
- Assets in custody · $162M to $120MMar 22, 2022 to Mar 28, 2023
Signals
5 dated events
- Ann E•••••••• H••••••••• (Trustee / Owner) appeared on Schedule A of P••••••••• I••••••••• M••••••••• C•••••••••Mar 29, 2021 · Control person joined · fact
- M••••• C•••• B•••• (Trustee / Owner) no longer on Schedule A of P••••••••• I••••••••• M••••••••• C••••••••• (listed 2021-01-05, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
- M••••• Robert B•••• (Chief Compliance Officer) no longer on Schedule A of P••••••••• I••••••••• M••••••••• C••••••••• (listed 2020-08-12, absent 2021-01-05)Jan 5, 2021 · Control person left · inference
- M••••• C•••• B•••• (Trustee) appeared on Schedule A of P••••••••• I••••••••• M••••••••• C•••••••••Nov 29, 2019 · Control person joined · fact
- Ann E•••••••• H••••••••• (Trustee) appeared on Schedule A of P••••••••• I••••••••• M••••••••• C•••••••••Nov 29, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- P••••••••• I••••••••• M••••••••• C••••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- welcome@progressiveinvestment.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 877-211-0034reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/progressiveinvestmentreportedpublic record, Form ADV, Sep 18, 2026
- Website
- P•••••••••INVESTMENT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 503-224-7828reportedpublic record, Form ADV, Mar 20, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $190Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026