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
A••••• A•••• M•••••••••
Legal name A••••• A•••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 12, 2012 · 19 filings
SEC status approved since Jul 1, 1998
RAUM
$946M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
52%
$495M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$158M
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$946M as of Mar 31, 2026
Mar 12, 2012$439M then
HNW client RAUM$389M as of Mar 31, 2026
Mar 21, 2018$239M then
State-registered IARs (5.B.3)6 as of Mar 31, 2026
Mar 12, 20120 then
Employees (5.A)11 as of Mar 31, 2026
Feb 28, 20136 then
Private funds: no history
RAUM +11% over the last fiscal year+7.6% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $158MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 78derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $8.8M, 2 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$389M41%
- Investment companies$316M33%
- Corporations and businesses$107M11%
- Individuals$105M11%
- Pension and profit-sharing plans$15.1M1.6%
- Charitable organizations$13.1M1.4%
- Individual clients
- 347reported
- HNW clients
- 119reported
- Pension plan clients
- 9reported
- Charitable clients
- 10reported
- Accounts
- 506reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $43.1M managedreported
- Custody of client assets
- $8.8M for 2 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.52 fund_share=0.33 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• J•••••• A••••• | Aurora, Or | Nov 17, 2016 | 43 y | 0 |
| J•••• E••••• A••••• | Aurora, Or | Jan 29, 2018 | 19 y | 0 |
| M••••••• P••• I•••• | Aurora, Or | Nov 18, 2019 | 17 y | 0 |
| L••• N• A••••• | Aurora, Or | Oct 9, 2023 | 10 y | 0 |
| C•••••••• L•• M•••• B•••••• | Aurora, Or | Feb 16, 2024 | 32 y | 0 |
| L•••••• M•••• W•••••• | Aurora, Or | Jan 1, 2025 | 33 y | 1 |
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
none on the tape
Joined, latest
- L•••••• M•••• W•••••• from E•••••••• A•••••••• L••Jan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• J••••• J•••••• · Presidentcontrolsince 07/1998 · owns less than 5%
- W••••••• L••••••• M•••• · Chief Compliance Officercontrolsince 07/2003 · owns less than 5%
- A•••••• J••••• J•••••• · Shareholder 100%controlsince 04/1999 · owns 75% or more of J• H•••••••• I•••
Entity owners
- J• H•••••••• I••• · Sole Memberdirect · 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 |
|---|---|---|---|---|---|
| Aurora, Or · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 31, 2026financial planning (Item 5.G.1): no on the filing of 2025-03-11, yes on the filing of 2026-03-31peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Advisory activities · 3 to 4Mar 11, 2025 to Mar 31, 2026
- Corporate clients · 21 to 20Mar 11, 2025 to Mar 31, 2026
- HNW clients · 113 to 119Mar 11, 2025 to Mar 31, 2026
- Individual clients · 352 to 347Mar 11, 2025 to Mar 31, 2026
- Assets in custody · $8.5M to $8.8MMar 11, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 1-10Mar 11, 2025 to Mar 31, 2026
- Discretionary RAUM · $843M to $934MMar 11, 2025 to Mar 31, 2026
- HNW RAUM · $341M to $389MMar 11, 2025 to Mar 31, 2026
- Individual RAUM · $108M to $105MMar 11, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $12.6M to $12.5MMar 11, 2025 to Mar 31, 2026
- Pension RAUM · $15.2M to $15.1MMar 11, 2025 to Mar 31, 2026
- RAUM · $855M to $946MMar 11, 2025 to Mar 31, 2026
- Wrap assets (manager) · $41.0M to $43.1MMar 11, 2025 to Mar 31, 2026
- Accounts · 504 to 506Mar 19, 2024 to Mar 11, 2025
- Advisory employees · 10 to 6Mar 19, 2024 to Mar 11, 2025
- Charity clients · 9 to 10Mar 19, 2024 to Mar 11, 2025
- Corporate clients · 23 to 21Mar 19, 2024 to Mar 11, 2025
- HNW clients · 104 to 113Mar 19, 2024 to Mar 11, 2025
- Individual clients · 358 to 352Mar 19, 2024 to Mar 11, 2025
- Assets in custody · unset to 8460648.0Mar 19, 2024 to Mar 11, 2025
- Custody of client assets · false to trueMar 19, 2024 to Mar 11, 2025
- Employees · 12 to 11Mar 19, 2024 to Mar 11, 2025
- Financial planning clients · 0 to 0Mar 19, 2024 to Mar 11, 2025
- State-registered IARs · 5 to 6Mar 19, 2024 to Mar 11, 2025
- Discretionary RAUM · $821M to $843MMar 19, 2024 to Mar 11, 2025
- HNW RAUM · $312M to $341MMar 19, 2024 to Mar 11, 2025
- Individual RAUM · $113M to $108MMar 19, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $10.8M to $12.6MMar 19, 2024 to Mar 11, 2025
- Pension RAUM · $13.8M to $15.2MMar 19, 2024 to Mar 11, 2025
- RAUM · $832M to $855MMar 19, 2024 to Mar 11, 2025
- Wrap assets (manager) · $39.6M to $41.0MMar 19, 2024 to Mar 11, 2025
- Accounts · 473 to 504Mar 23, 2023 to Mar 19, 2024
- Advisory employees · 9 to 10Mar 23, 2023 to Mar 19, 2024
- Advisory activities · 4 to 3Mar 23, 2023 to Mar 19, 2024
- Charity clients · 8 to 9Mar 23, 2023 to Mar 19, 2024
- Corporate clients · 18 to 23Mar 23, 2023 to Mar 19, 2024
- HNW clients · 100 to 104Mar 23, 2023 to Mar 19, 2024
- Individual clients · 338 to 358Mar 23, 2023 to Mar 19, 2024
- Pension plan clients · 8 to 9Mar 23, 2023 to Mar 19, 2024
- Assets in custody · 1206.0 to unsetMar 23, 2023 to Mar 19, 2024
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.
How to reach
public business contact points only, each with its source
- Business phone
- 503-885-8607reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-835-9556reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-328-9437reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 503-885-8807reportedpublic record, Form ADV, Mar 31, 2026
- Team page
- AUXIERASSET.COM/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $158Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026