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
Q•••• I••••••••• M••••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Mar 21, 2012 · 24 filings
SEC status approved since Mar 12, 1985
RAUM
$1.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
6.0%
$102M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$285M
derived; firm RAUM over IAPD count
Employees
9
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$1.7B as of Mar 5, 2026
Mar 21, 2012$1.9B then
HNW client RAUM$65.5M as of Mar 5, 2026
Mar 21, 2018$28.0M then
State-registered IARs (5.B.3)6 as of Mar 5, 2026
Mar 21, 20120 then
Employees (5.A)9 as of Mar 5, 2026
Mar 21, 201310 then
Private funds: no history
RAUM +8.0% over the last fiscal year+4.2% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- RAUM per advisor
- $285MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 13derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $13.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 63%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +239%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
- Pension and profit-sharing plans$961M68%
- Pooled investment vehicles$161M11%
- State and municipal entities$111M7.9%
- Corporations and businesses$73.9M5.2%
- High-net-worth individuals$65.5M4.6%
- Individuals$36.6M2.6%
- Charitable organizations$3.6M0.3%
- Individual clients
- 42reported
- HNW clients
- 36reported
- Pension plan clients
- 11reported
- Charitable clients
- 2reported
- Accounts
- 125reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.06 fund_share=0.09 institutional_share=0.63 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 |
|---|---|---|---|---|
| B•••••• J•• C•••••Chartered Financial Analyst | Lake Oswego, Or | May 31, 2024 | 23 y | 0 |
| J•• P•••••• B••••••••• | Lake Oswego, Or | Sep 17, 2024 | 28 y | 1 |
| D•••••• P••• G•••••Certified Financial Planner, Chartered Financial Analyst | Lake Oswego, Or | Sep 20, 2024 | 33 y | 0 |
| E••• R••••• W••• | Lake Oswego, Or | Oct 16, 2024 | 23 y | 0 |
| C•••••• M••••••• J•••••• | Lake Oswego, Or | Oct 23, 2024 | 36 y | 0 |
| D•••• A•••• E••• | Lake Oswego, Or | Jan 17, 2025 | 28 y | 0 |
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
- J•• P•••••• B••••••••• from W••••••••• C•••••• M••••••••• I••Sep 17, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••• C••••••• M••••••• · Ceo/Chief Compliance Officercontrolsince 02/1985 · owns less than 5%
- J••••••• K••••• M••••••••• · Secretary/Treas. Senior Vice Presidentcontrolsince 03/1996 · owns less than 5%
- J••••••• M••••• L•••• · Chairmancontrolsince 02/1985 · owns less than 5%
- J••••••• C••••••• M••••••• · Shareholder, Director, Presidentcontrolsince 01/2016 · owns 50% to 75% of Q•••• I••••••••• M••••••••• H•••••••• I•••
- J••••••• K••••• M••••••••• · Shareholder, Director, Secretarycontrolsince 01/2016 · owns 50% to 75% of Q•••• I••••••••• M••••••••• H•••••••• I•••
Entity owners
- Q•••• I••••••••• M••••••••• H•••••••• I••• · Elected Managerdirect · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Lake Oswego, Or · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 121 to 125Sep 4, 2025 to Mar 5, 2026
- Advisory employees · 9 to 8Sep 4, 2025 to Mar 5, 2026
- Advisory activities · 4 to 3Sep 4, 2025 to Mar 5, 2026
- Individual clients · 40 to 42Sep 4, 2025 to Mar 5, 2026
- Employees · 10 to 9Sep 4, 2025 to Mar 5, 2026
- State-registered IARs · 5 to 6Sep 4, 2025 to Mar 5, 2026
- Discretionary RAUM · $1.7B to $1.7BSep 4, 2025 to Mar 5, 2026
- HNW RAUM · $60.6M to $65.5MSep 4, 2025 to Mar 5, 2026
- Individual RAUM · $32.2M to $36.6MSep 4, 2025 to Mar 5, 2026
- Pension RAUM · $958M to $961MSep 4, 2025 to Mar 5, 2026
- Pooled vehicle RAUM · $153M to $161MSep 4, 2025 to Mar 5, 2026
- RAUM · $1.7B to $1.7BSep 4, 2025 to Mar 5, 2026
- Accounts · 82 to 121Mar 13, 2025 to Sep 4, 2025
- Corporate clients · 7 to 6Mar 13, 2025 to Sep 4, 2025
- HNW clients · 12 to 36Mar 13, 2025 to Sep 4, 2025
- Individual clients · 11 to 40Mar 13, 2025 to Sep 4, 2025
- Pension plan clients · 17 to 11Mar 13, 2025 to Sep 4, 2025
- Discretionary RAUM · $1.6B to $1.7BMar 13, 2025 to Sep 4, 2025
- HNW RAUM · $43.6M to $60.6MMar 13, 2025 to Sep 4, 2025
- Individual RAUM · $7.6M to $32.2MMar 13, 2025 to Sep 4, 2025
- Pension RAUM · $949M to $958MMar 13, 2025 to Sep 4, 2025
- Pooled vehicle RAUM · $151M to $153MMar 13, 2025 to Sep 4, 2025
- RAUM · $1.6B to $1.7BMar 13, 2025 to Sep 4, 2025
- Accounts · 80 to 82Mar 21, 2024 to Mar 13, 2025
- HNW clients · 11 to 12Mar 21, 2024 to Mar 13, 2025
- Individual clients · 9 to 11Mar 21, 2024 to Mar 13, 2025
- Pension plan clients · 23 to 17Mar 21, 2024 to Mar 13, 2025
- Financial planning clients · unset to Mar 21, 2024 to Mar 13, 2025
- State-registered IARs · 4 to 5Mar 21, 2024 to Mar 13, 2025
- Discretionary RAUM · $1.5B to $1.6BMar 21, 2024 to Mar 13, 2025
- HNW RAUM · $38.1M to $43.6MMar 21, 2024 to Mar 13, 2025
- Individual RAUM · $7.7M to $7.6MMar 21, 2024 to Mar 13, 2025
- Pension RAUM · $951M to $949MMar 21, 2024 to Mar 13, 2025
- Pooled vehicle RAUM · $154M to $151MMar 21, 2024 to Mar 13, 2025
- RAUM · $1.5B to $1.6BMar 21, 2024 to Mar 13, 2025
- Accounts · 93 to 80Mar 9, 2023 to Mar 21, 2024
- Charity clients · 4 to 2Mar 9, 2023 to Mar 21, 2024
- Corporate clients · 8 to 7Mar 9, 2023 to Mar 21, 2024
- HNW clients · 13 to 11Mar 9, 2023 to Mar 21, 2024
- Individual clients · 10 to 9Mar 9, 2023 to Mar 21, 2024
Signals
2 dated events
- Glen Gregory Sherwood (President/Cio) no longer on Schedule A of Q•••• I••••••••• M••••••••• L•• (listed 2023-03-09, absent 2024-03-21)Mar 21, 2024 · Control person left · inference
- Q•••• I••••••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Apr 11, 2016 · Succession (Item 4) · fact
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
- Website
- Q••••INVESTMENT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 503-221-0158reportedpublic record, Form ADV, Mar 5, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $285Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026