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
A•• W••••• M••••••••• • C••••••••• S•••••••
Legal name A••••••• S••••••• • I••••••••• L••
Latest filing Mar 30, 2024
First filing on the tape Mar 15, 2012 · 29 filings
SEC status approved since Nov 6, 1997
RAUM
$1.7B
reported, Item 5.F
Discretionary
55%
of RAUM
Private clients
34%
$584M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
7 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$1.7B as of Mar 30, 2024
Mar 15, 2012$964M then
HNW client RAUM$539M as of Mar 30, 2024
Mar 29, 2018$191M then
State-registered IARs (5.B.3)8 as of Mar 30, 2024
Mar 15, 20120 then
Employees (5.A)15 as of Mar 30, 2024
Mar 26, 20138 then
Private funds: no history
RAUM +18% over the last fiscal year+13% a year over threeIARs 9 to 8
Practice profile
derived from the filing of Mar 30, 2024; every figure names its basis
- RAUM per advisor
- $216MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $4.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 55%derivedof RAUM
- Institutional
- 65%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 1.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- -11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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
- 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)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$799M46%
- High-net-worth individuals$539M31%
- Charitable organizations$318M18%
- Individuals$45.0M2.6%
- Corporations and businesses$26.6M1.5%
- Individual clients
- 155reported
- HNW clients
- 225reported
- Pension plan clients
- 24reported
- Charitable clients
- 10reported
- Accounts
- 418reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- J••• T••••• B•••••• to O•••••••••Dec 31, 2024 · Other
- R•••• L•• M••••• to O•••••••••Dec 31, 2024 · Other
- S••••• B••• W••••• to O•••••••••Dec 31, 2024 · Other
- G•••••• K•••••• S•••••• to O•••••••••Dec 31, 2024 · Other
- M•••••• P•••••• B••• to O•••••••••Dec 31, 2024 · Other
- B•••• P••••• D••••• to O•••••••••Dec 31, 2024 · Other
- A••••• J•••• M••••• to O•••••••••Dec 31, 2024 · Other
- V•••••• R••••• G•••••••• to A••••••••• I•••Aug 7, 2023 · RIA to affiliated broker-dealer or bank
- A••••• D•••• G••• to G••• W••••• S••••••••• L••Mar 2, 2022 · RIA to a state-registered adviser
Joined, latest
- V•••••• R••••• G•••••••• from O•••••• P•••••••Sep 29, 2022 · RIA to RIA
- M•••••• P•••••• B••• from V•••••••• V•••••••• L••Jan 14, 2021 · RIA to RIA
- A••••• D•••• G••• from V•••••••• V•••••••• L••Jan 14, 2021 · RIA to RIA
- G•••••• K•••••• S•••••• from C••••••• R•••• A•••••••Apr 23, 2018 · Other
- J••• T••••• B•••••• from C•••••• S••••• • C••• I•••May 2, 2017 · Other
- S••••• B••• W••••• from S••••••• I••••••••• A•••••••• I•••Sep 19, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for O•••••••••Dec 31, 2024 · Bend, Or · Firm absorbed
- 2 joined from V•••••••• V•••••••• L••Dec 31, 2020 · Bend, Or
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• R••••• L•• · Owner/Chief Compliance Officercontrolsince 02/1998 · 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 |
|---|---|---|---|---|---|
| Bend, Or · principal | 0 | 0 | 0 | ||
| Issaquah, Wa | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Seattle, WA3 employees
- Lake Oswego, OR2 employees
- Medford, OR1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 412 to 418Mar 31, 2023 to Mar 30, 2024
- Advisory employees · 8 to 7Mar 31, 2023 to Mar 30, 2024
- Charity clients · 11 to 10Mar 31, 2023 to Mar 30, 2024
- Corporate clients · 5 to 4Mar 31, 2023 to Mar 30, 2024
- HNW clients · 194 to 225Mar 31, 2023 to Mar 30, 2024
- Individual clients · 176 to 155Mar 31, 2023 to Mar 30, 2024
- Pension plan clients · 26 to 24Mar 31, 2023 to Mar 30, 2024
- Employees · 17 to 15Mar 31, 2023 to Mar 30, 2024
- Financial planning clients · 51-100 to 101-250Mar 31, 2023 to Mar 30, 2024
- State-registered IARs · 9 to 8Mar 31, 2023 to Mar 30, 2024
- Discretionary RAUM · $851M to $942MMar 31, 2023 to Mar 30, 2024
- HNW RAUM · $443M to $539MMar 31, 2023 to Mar 30, 2024
- Individual RAUM · $55.5M to $45.0MMar 31, 2023 to Mar 30, 2024
- Non-discretionary RAUM · $615M to $786MMar 31, 2023 to Mar 30, 2024
- Pension RAUM · $664M to $799MMar 31, 2023 to Mar 30, 2024
- RAUM · $1.5B to $1.7BMar 31, 2023 to Mar 30, 2024
- Accounts · 1,155 to 412Mar 16, 2022 to Mar 31, 2023
- Advisory employees · 7 to 8Mar 16, 2022 to Mar 31, 2023
- Charity clients · 9 to 11Mar 16, 2022 to Mar 31, 2023
- Corporate clients · unset to 5.0Mar 16, 2022 to Mar 31, 2023
- HNW clients · 181 to 194Mar 16, 2022 to Mar 31, 2023
- Individual clients · 184 to 176Mar 16, 2022 to Mar 31, 2023
- Pension plan clients · 29 to 26Mar 16, 2022 to Mar 31, 2023
- Employees · 11 to 17Mar 16, 2022 to Mar 31, 2023
- Discretionary RAUM · $849M to $851MMar 16, 2022 to Mar 31, 2023
- HNW RAUM · $514M to $443MMar 16, 2022 to Mar 31, 2023
- Individual RAUM · $99.7M to $55.5MMar 16, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $785M to $615MMar 16, 2022 to Mar 31, 2023
- Pension RAUM · $789M to $664MMar 16, 2022 to Mar 31, 2023
- RAUM · $1.6B to $1.5BMar 16, 2022 to Mar 31, 2023
- Accounts · 610 to 1,155Dec 13, 2021 to Mar 16, 2022
- HNW clients · 123 to 181Dec 13, 2021 to Mar 16, 2022
- Individual clients · 65 to 184Dec 13, 2021 to Mar 16, 2022
- Pension plan clients · 14 to 29Dec 13, 2021 to Mar 16, 2022
- Discretionary RAUM · $524M to $849MDec 13, 2021 to Mar 16, 2022
- HNW RAUM · $314M to $514MDec 13, 2021 to Mar 16, 2022
- Individual RAUM · $24.5M to $99.7MDec 13, 2021 to Mar 16, 2022
- Non-discretionary RAUM · $678M to $785MDec 13, 2021 to Mar 16, 2022
- Pension RAUM · $646M to $789MDec 13, 2021 to Mar 16, 2022
- RAUM · $1.2B to $1.6BDec 13, 2021 to Mar 16, 2022
Signals
13 dated events
- A•• W••••• M••••••••• • C••••••••• S••••••• no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $1.7B)Aug 1, 2025 · Left the SEC roster · derived
- S••••• B••• W••••• left A•• W••••• M••••••••• • C••••••••• S••••••• for O••••••••• (registered 2025-11-19)Dec 31, 2024 · Advisor changed firm · fact
- A••••• J•••• M••••• left A•• W••••• M••••••••• • C••••••••• S••••••• for O••••••••• (registered 2026-01-01)Dec 31, 2024 · Advisor changed firm · fact
- G•••••• K•••••• S•••••• left A•• W••••• M••••••••• • C••••••••• S••••••• for O••••••••• (registered 2024-07-01)Dec 31, 2024 · Advisor changed firm · fact
- B•••• P••••• D••••• left A•• W••••• M••••••••• • C••••••••• S••••••• for O••••••••• (registered 2024-11-27)Dec 31, 2024 · Advisor changed firm · fact
- R•••• L•• M••••• left A•• W••••• M••••••••• • C••••••••• S••••••• for O••••••••• (registered 2024-07-22)Dec 31, 2024 · Advisor changed firm · fact
- A•• W••••• M••••••••• • C••••••••• S•••••••'s advisors moved to O••••••••• (Bend, OR): 6 of 7 registered, on the same dayDec 31, 2024 · Firm absorbed (people side) · derived
- M•••••• P•••••• B••• left A•• W••••• M••••••••• • C••••••••• S••••••• for O••••••••• (registered 2024-07-01)Dec 31, 2024 · Advisor changed firm · fact
- J••• T••••• B•••••• left A•• W••••• M••••••••• • C••••••••• S••••••• for O••••••••• (registered 2024-07-01)Dec 31, 2024 · Advisor changed firm · fact
- V•••••• R••••• G•••••••• left A•• W••••• M••••••••• • C••••••••• S••••••• for A••••••••• I••• (registered 2024-01-31)Aug 7, 2023 · Advisor changed firm · fact
- A•• W••••• M••••••••• • C••••••••• S••••••• reported RAUM $1.6B, up 36% from $1.2B (2021-12-13 to 2022-03-16)Mar 16, 2022 · RAUM change · derived
- A••••• D•••• G••• left A•• W••••• M••••••••• • C••••••••• S••••••• for G••• W••••• S••••••••• L•• (registered 2022-04-28)Mar 2, 2022 · Advisor changed firm · fact
- A•• W••••• M••••••••• • C••••••••• S••••••• reported RAUM $1.1B, down 33% from $1.6B (2019-03-11 to 2020-03-23)Mar 23, 2020 · RAUM change · derived
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