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
C•••••• C•••••• M••••••••• L••
Latest filing Jun 3, 2013
First filing on the tape Mar 29, 2012 · 4 filings
RAUM
$228M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$228M as of Mar 26, 2013
Mar 29, 2012$306M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 4
Employees (5.A): 6
Private funds: no history
RAUM -25% over the last fiscal year
Practice profile
derived from the filing of Jun 3, 2013; every figure names its basis
- RAUM per advisor
- $76.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $939,365derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -25%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 243reported
- Financial planning clients
- 1-10reported
- 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••• D••••• M••••••• to E•••••••• W••••• M••••••••• L••Jul 7, 2006 · Other
- E•••• A••••• B•••• to E•••••••• W••••• M••••••••• L••Jul 7, 2006 · Other
- K•••••• R••••• S•••• to E•••••••• W••••• M••••••••• L••Jul 7, 2006 · Other
- A••••• M••••• F••••• to W•••••••• W••••• A•••••••Nov 10, 2005 · Other
- B•••••• M•••••• H••••• to S••••• W••••• A•••••••• I•••Sep 26, 2005 · Other
Joined, latest
- B•••••• M•••••• H••••• from C•••••• S••••• • C••• I•••Jul 7, 2005 · Other
- E•••• A••••• B•••• from C•••••• S••••• • C••• I•••Nov 7, 2003 · Other
- J••• D••••• M••••••• from P••••••• W••••• A•••••••Jan 18, 2001 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• G••••••• J• · Managing Membercontrolsince 07/1998 · owns 75% or more
- M•••••• R••••••• J••• · Chief Compliance Officercontrolsince 07/2006 · owns less than 5%
- S••••••••• L••••• K••• · Membercontrolsince 07/2006 · owns 10% to 25%
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
- Advisory employees · 4 to 3Mar 26, 2013 to Jun 3, 2013
- State-registered IARs · 4 to 3Mar 26, 2013 to Jun 3, 2013
- Accounts · 253 to 243Oct 1, 2012 to Mar 26, 2013
- Advisory employees · unset to 4.0Oct 1, 2012 to Mar 26, 2013
- Employees · unset to 6.0Oct 1, 2012 to Mar 26, 2013
- State-registered IARs · unset to 4.0Oct 1, 2012 to Mar 26, 2013
- Discretionary RAUM · $224M to $221MOct 1, 2012 to Mar 26, 2013
- Non-discretionary RAUM · $15.9M to $7.2MOct 1, 2012 to Mar 26, 2013
- RAUM · $240M to $228MOct 1, 2012 to Mar 26, 2013
- Accounts · 232 to 253Mar 29, 2012 to Oct 1, 2012
- HQ city · PORTLAND to LAKE OSWEGOMar 29, 2012 to Oct 1, 2012
- Discretionary RAUM · $291M to $224MMar 29, 2012 to Oct 1, 2012
- Non-discretionary RAUM · $15.7M to $15.9MMar 29, 2012 to Oct 1, 2012
- RAUM · $306M to $240MMar 29, 2012 to Oct 1, 2012
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