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.

Former SEC-registered adviser

Confluence Wealth Management LLC

Former SEC-registered adviserPortland, OregonCRD 107810SEC 801-56974IAPD
Latest filing Jul 7, 2020
First filing on the tape Dec 1, 2011 · 25 filings
RAUM
$782M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
95%
$745M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$782M as of Feb 25, 2020
Apr 3, 2012$327M then
HNW client RAUM$673M as of Feb 25, 2020
Mar 21, 2018$586M then
State-registered IARs (5.B.3)8 as of Feb 25, 2020
Apr 3, 20120 then
Employees (5.A)17 as of Feb 25, 2020
Apr 1, 201311 then
Private funds: no history
RAUM +20% over the last fiscal year+9.7% a year over threeIARs 7 to 8
Practice profile
derived from the filing of Jul 7, 2020; every figure names its basis
RAUM per advisor
$97.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
61derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$569,718derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
4.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.1derivedItem 5.A over advisors
Advisors per office
8.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
+14%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.1%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Custody
$333M, 238 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$673M86%
  • Individuals$72.2M9.2%
  • Pension and profit-sharing plans$19.2M2.4%
  • Charitable organizations$14.6M1.9%
  • Pooled investment vehicles$2.2M0.3%
  • Corporations and businesses$839,7510.1%
Individual clients
238reported
HNW clients
247reported
Pension plan clients
11reported
Charitable clients
5reported
Accounts
1,373reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$333M for 238 clientsreported
Compensation
% of AUM, fixedreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Jade Kathleen Kee · Ceo, Cco, Class A Membercontrol
      since 11/2011 · owns 25% to 50%
    • Howard Jason Lawton · Class A Member
      since 07/2017 · owns 5% to 10%
    • Donald Bryan Smith · Class A Member
      since 07/2017 · owns 10% to 25%
    • Kent Lantz Stringham · Class B Member
      since 01/2014 · owns 5% to 10%
    • Carmen Waiyee Wong · Class A Member
      since 07/2017 · owns 5% to 10%
    Entity owners
    • Craig Wong Irrevocable Trust Fbo Clarice J. Wong · Class B Member
      direct · owns 5% to 10%
    • Perkins & Company · Class A Member
      direct · owns 10% to 25%
    Related persons
    Schedule D 7.A
    • Perkins & Company
      insurancen
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,326 to 1,373
      Mar 21, 2019 to Feb 25, 2020
    • Advisory employees · 7 to 8
      Mar 21, 2019 to Feb 25, 2020
    • Corporate clients · 5 to 3
      Mar 21, 2019 to Feb 25, 2020
    • HNW clients · 244 to 247
      Mar 21, 2019 to Feb 25, 2020
    • Individual clients · 222 to 238
      Mar 21, 2019 to Feb 25, 2020
    • Pension plan clients · 9 to 11
      Mar 21, 2019 to Feb 25, 2020
    • Pooled vehicle clients · unset to 1.0
      Mar 21, 2019 to Feb 25, 2020
    • Assets in custody · $247M to $333M
      Mar 21, 2019 to Feb 25, 2020
    • Financial planning clients · 51-100 to 26-50
      Mar 21, 2019 to Feb 25, 2020
    • State-registered IARs · 7 to 8
      Mar 21, 2019 to Feb 25, 2020
    • Discretionary RAUM · $650M to $772M
      Mar 21, 2019 to Feb 25, 2020
    • HNW RAUM · $553M to $673M
      Mar 21, 2019 to Feb 25, 2020
    • Individual RAUM · $58.3M to $72.2M
      Mar 21, 2019 to Feb 25, 2020
    • Non-discretionary RAUM · $3.9M to $9.9M
      Mar 21, 2019 to Feb 25, 2020
    • Pension RAUM · $14.8M to $19.2M
      Mar 21, 2019 to Feb 25, 2020
    • Pooled vehicle RAUM · unset to 2202166.0
      Mar 21, 2019 to Feb 25, 2020
    • RAUM · $654M to $782M
      Mar 21, 2019 to Feb 25, 2020
    • Accounts · 1,441 to 1,326
      Oct 26, 2018 to Mar 21, 2019
    • Charity clients · 6 to 5
      Oct 26, 2018 to Mar 21, 2019
    • Corporate clients · 4 to 5
      Oct 26, 2018 to Mar 21, 2019
    • HNW clients · 241 to 244
      Oct 26, 2018 to Mar 21, 2019
    • Individual clients · 213 to 222
      Oct 26, 2018 to Mar 21, 2019
    • Pension plan clients · 10 to 9
      Oct 26, 2018 to Mar 21, 2019
    • Assets in custody · $283M to $247M
      Oct 26, 2018 to Mar 21, 2019
    • Employees · 16 to 17
      Oct 26, 2018 to Mar 21, 2019
    • State-registered IARs · 9 to 7
      Oct 26, 2018 to Mar 21, 2019
    • Discretionary RAUM · $675M to $650M
      Oct 26, 2018 to Mar 21, 2019
    • HNW RAUM · $586M to $553M
      Oct 26, 2018 to Mar 21, 2019
    • Individual RAUM · $50.7M to $58.3M
      Oct 26, 2018 to Mar 21, 2019
    • Non-discretionary RAUM · $3.9M to $3.9M
      Oct 26, 2018 to Mar 21, 2019
    • Pension RAUM · $14.9M to $14.8M
      Oct 26, 2018 to Mar 21, 2019
    • RAUM · $679M to $654M
      Oct 26, 2018 to Mar 21, 2019
    • Accounts · 1,233 to 1,441
      Dec 4, 2017 to Mar 21, 2018
    • Charity clients · unset to 6.0
      Dec 4, 2017 to Mar 21, 2018
    • Corporate clients · unset to 4.0
      Dec 4, 2017 to Mar 21, 2018
    • HNW clients · unset to 241.0
      Dec 4, 2017 to Mar 21, 2018
    • Individual clients · unset to 213.0
      Dec 4, 2017 to Mar 21, 2018
    • Pension plan clients · unset to 10.0
      Dec 4, 2017 to Mar 21, 2018
    • Assets in custody · unset to 283148578.0
      Dec 4, 2017 to Mar 21, 2018
    • Custody of client assets · false to true
      Dec 4, 2017 to Mar 21, 2018
    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