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
R•••• • Y• I••••••••• A•••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Mar 15, 2012 · 46 filings
SEC status approved since Jan 12, 1999
RAUM
$959M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
93%
$894M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$95.9M
derived; firm RAUM over IAPD count
Employees
16
10 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
46 filings and snapshots on the tape
RAUM$959M as of Mar 20, 2026
Mar 15, 2012$337M then
HNW client RAUM$772M as of Mar 20, 2026
Mar 28, 2018$258M then
State-registered IARs (5.B.3)10 as of Mar 20, 2026
Apr 1, 20135 then
Employees (5.A)16 as of Mar 20, 2026
Apr 1, 201312 then
Private funds: no history
RAUM +12% over the last fiscal year+11% a year over threeIARs 11 to 10offices 2 to 3
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $95.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $570,031derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 2.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -9.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.5%derived
- Compensation
- percentage of assets, hourly, 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
- Wrap fee program
- $953MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$772M81%
- Individuals$122M13%
- Corporations and businesses$38.8M4.0%
- Charitable organizations$16.8M1.7%
- Pension and profit-sharing plans$9.5M1.0%
- Individual clients
- 285reported
- HNW clients
- 175reported
- Pension plan clients
- 12reported
- Charitable clients
- 8reported
- Accounts
- 1,683reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Z•••••• S••••• D••••• | Eugene, Or | Aug 22, 2018 | 11 y | 0 |
| A••••• G•••• C•••••• | Eugene, Or | May 15, 2023 | 12 y | 0 |
| M•••• D•••• Y•••• | Eugene, Or | Jan 8, 2024 | 10 y | 0 |
| S•••• R••• M•••••••Certified Financial Planner | Eugene, Or | Jul 1, 2024 | 15 y | 1 |
| J••••• F•••• Y• | Eugene, Or | Aug 7, 2024 | 28 y | 0 |
| T••••• H•••• R••••Certified Financial Planner | Eastsound, Wa | Aug 19, 2024 | 42 y | 0 |
| S•••••• D•••••• A••••Certified Financial Planner | Eugene, Or | Jan 9, 2025 | 11 y | 0 |
| A•••••••• R••••• K•••• R••• | Eugene, Or | Jan 17, 2025 | 11 y | 0 |
| S•••••• L•• G•••• | Eugene, Or | Feb 21, 2025 | 39 y | 3 |
| R••• I••••• J•••••••• M••••••• | Eugene, Or | May 5, 2026 | 15 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 10% of current headcount4 left over 36 months
Left, latest
- N••••• R••••• C••••• to E•••••• A••••••• G••••• L••Jul 24, 2026 · RIA to affiliated broker-dealer or bank
- J••••• D••••• C•••• to A•••••• A••••••• S•••••••Jul 1, 2025 · RIA to affiliated broker-dealer or bank
- F•••••• G•••••• K••••• to C•••••• W••••• A••••••• G••••Jun 13, 2025 · RIA to RIA
- E•••••••• B••••••••• G•••••••• to M•••••••May 7, 2024 · RIA to RIA
- M•••••• J•••• M•••••••• to J••••••••• F•••••••• A•••••••Jul 23, 2021 · Other
- T••••• W••••• G•••••• to Z•••• L••Feb 16, 2021 · Other
- M••••• M•••••• W••••••• to L•••••••• F•••••••• P•••••••• L••Jan 13, 2021 · Other
- A•••••• R•••••• R••••• to G• W••••• M•••••••••Jun 29, 2020 · RIA to RIA
- C•••• D•••• K••••• to L•• F•••••••• L••Jul 15, 2015 · Other
- S•••• E•••••••• B••••• to S•••••• • N•••••• L••Apr 5, 2010 · Other
- F•••••• L•• S•••••• to K•• F•••••••• S•••••••• I••Apr 1, 2010 · Other
- T••• M•••••• N••••• to K•• F•••••••• S•••••••• I••Mar 16, 2010 · Other
Joined, latest
- F•••••• G•••••• K••••• from F••••• I•••••••••Mar 31, 2025 · RIA to RIA
- S•••• R••• M••••••• from K•• F•••••••• S•••••••• I••Jul 1, 2024 · Other
- S•••••• L•• G•••• from E•••••• A••••••• G••••• L••Jun 17, 2021 · Other
- J••••• D••••• C•••• from J• W• C••• A•••••••• I•••Mar 10, 2021 · RIA to RIA
- M•••••• J•••• M•••••••• from M•••••••Sep 1, 2020 · RIA to RIA
- A•••••• R•••••• R••••• from L•• F•••••••• L••May 24, 2019 · Affiliated broker-dealer or bank to independent RIA
- C•••• D•••• K••••• from K•• F•••••••• S•••••••• I••Apr 4, 2013 · Other
- S•••• E•••••••• B••••• from K•• F•••••••• S•••••••• I••Feb 23, 2009 · Other
- T••••• W••••• G•••••• from K•• F•••••••• S•••••••• I••Jan 12, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• A•••••• G•••• · Chief Operating Officercontrolsince 11/2022 · owns 5% to 10%
- R••••• T•••••• H•••• · Member, Chief Compliance Officer, And Chief Executive Officercontrolsince 09/1998 · owns 25% to 50%
- Y•• J•••••• F•••• · Member, Chief Financial Officer, And Chief Investment Officercontrolsince 11/2022 · owns 50% to 75%
- D•••••• Z••••••• S••••• · Membersince 01/2023 · owns 5% to 10%
- M•••••••• S••••• R••• · Membersince 01/2023 · owns 5% to 10%
- R••••• J••••••• M•••• · Membersince 01/2023 · owns 5% to 10%
Related persons
Schedule D 7.A
- R•••• • Y• I••••••••• S•••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Eugene, Or · principal | 10 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,639 to 1,683May 29, 2025 to Mar 20, 2026
- Advisory employees · 11 to 10May 29, 2025 to Mar 20, 2026
- Charity clients · 7 to 8May 29, 2025 to Mar 20, 2026
- Corporate clients · 13 to 20May 29, 2025 to Mar 20, 2026
- HNW clients · 167 to 175May 29, 2025 to Mar 20, 2026
- Individual clients · 286 to 285May 29, 2025 to Mar 20, 2026
- Pension plan clients · 5 to 12May 29, 2025 to Mar 20, 2026
- Employees · 17 to 16May 29, 2025 to Mar 20, 2026
- State-registered IARs · 11 to 10May 29, 2025 to Mar 20, 2026
- Discretionary RAUM · $852M to $953MMay 29, 2025 to Mar 20, 2026
- HNW RAUM · $679M to $772MMay 29, 2025 to Mar 20, 2026
- Individual RAUM · $125M to $122MMay 29, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $5.4M to $6.1MMay 29, 2025 to Mar 20, 2026
- Pension RAUM · $6.3M to $9.5MMay 29, 2025 to Mar 20, 2026
- RAUM · $858M to $959MMay 29, 2025 to Mar 20, 2026
- Financial planning clients · 1-10 to 1-10Mar 28, 2025 to May 29, 2025
- Other offices · 2 to 3Mar 28, 2025 to May 29, 2025
- Accounts · 1,631 to 1,639Mar 28, 2024 to Mar 28, 2025
- HNW clients · 170 to 167Mar 28, 2024 to Mar 28, 2025
- Individual clients · 280 to 286Mar 28, 2024 to Mar 28, 2025
- Pension plan clients · 8 to 5Mar 28, 2024 to Mar 28, 2025
- Employees · 16 to 17Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $798M to $852MMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $647M to $679MMar 28, 2024 to Mar 28, 2025
- Individual RAUM · $88.7M to $125MMar 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $12.0M to $5.4MMar 28, 2024 to Mar 28, 2025
- Pension RAUM · $9.1M to $6.3MMar 28, 2024 to Mar 28, 2025
- RAUM · $810M to $858MMar 28, 2024 to Mar 28, 2025
- Wrap assets (sponsor) · $136M to $0Mar 28, 2024 to Mar 28, 2025
- Accounts · 1,545 to 1,631Dec 14, 2023 to Mar 28, 2024
- Advisory employees · 10 to 11Dec 14, 2023 to Mar 28, 2024
- Corporate clients · 23 to 13Dec 14, 2023 to Mar 28, 2024
- HNW clients · 891 to 170Dec 14, 2023 to Mar 28, 2024
- Individual clients · 608 to 280Dec 14, 2023 to Mar 28, 2024
- Pension plan clients · 16 to 8Dec 14, 2023 to Mar 28, 2024
- State-registered IARs · 10 to 11Dec 14, 2023 to Mar 28, 2024
- Discretionary RAUM · $688M to $798MDec 14, 2023 to Mar 28, 2024
- HNW RAUM · $568M to $647MDec 14, 2023 to Mar 28, 2024
- Individual RAUM · $74.1M to $88.7MDec 14, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $10.9M to $12.0MDec 14, 2023 to Mar 28, 2024
Signals
6 dated events
- N••••• R••••• C••••• left R•••• • Y• I••••••••• A•••••••• L•• for E•••••• A••••••• G••••• L•• (registered 2026-07-31)Jul 24, 2026 · Advisor changed firm · fact
- J••••• D••••• C•••• left R•••• • Y• I••••••••• A•••••••• L•• for A•••••• A••••••• S••••••• (registered 2025-07-11)Jul 1, 2025 · Advisor changed firm · fact
- F•••••• G•••••• K••••• left R•••• • Y• I••••••••• A•••••••• L•• for C•••••• W••••• A••••••• G•••• (registered 2025-12-02)Jun 13, 2025 · Advisor changed firm · fact
- E•••••••• B••••••••• G•••••••• left R•••• • Y• I••••••••• A•••••••• L•• for Merriman (registered 2024-06-07)May 7, 2024 · Advisor changed firm · fact
- G•••• A••••• College (Chief Operating Officer) appeared on Schedule A of R•••• • Y• I••••••••• A•••••••• L••Mar 21, 2023 · Control person joined · fact
- R•••• • Y• I••••••••• A•••••••• L•• reported RAUM $746.6M, up 51% from $494.0M (2022-01-05 to 2022-03-29)Mar 29, 2022 · 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.
How to reach
public business contact points only, each with its source
- Business email
- info@roehl-yi.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 541-683-2085reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-683-4343reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/roehl-&-yi-investment-advisors-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 541-683-2085reportedpublic record, Form ADV, Mar 20, 2026
- Contact form
- roehl-yi.com/contact-usreportedpublished by the firm, firm site, Sep 16, 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
- $95.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026