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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

C••••• S•••• I••••••••• M••••••••• L••

Former SEC-registered adviserPortland, OregonCRD 113044SEC 801-60818IAPD
Latest filing Jul 6, 2015
First filing on the tape Mar 22, 2012 · 7 filings
RAUM
$374M
reported, Item 5.F
Discretionary
100%
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
13
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
16
$106M gross assets
History
7 filings and snapshots on the tape
RAUM$374M as of Mar 31, 2015
Mar 22, 2012$3.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Mar 22, 20120 then
Employees (5.A)13 as of Mar 31, 2015
Mar 28, 201330 then
Private funds16 as of Mar 31, 2015
Mar 22, 201217 then
RAUM -47% over the last fiscal year-54% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 6, 2015; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$62.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-47%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$116M, 6 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
6reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$116M for 6 clientsreported
Compensation
% of AUM, performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      25 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••• S•••• E••••••• R••••• L•• • C•• S•••••no longer reportedHedge Fund$74.2M19Mar 22, 2012
      C••••• S•••• E•••••••• P••••••• L•Hedge Fund$49.2M32Mar 31, 2015
      C••••• S•••• E••••••• R••••• L•• • C•• S•••••no longer reportedHedge Fund$42.2M9Mar 22, 2012
      C• O••••••••• F•••• L•Hedge Fund$38.9M3Mar 31, 2014
      C••• S•• L••no longer reportedHedge Fund$30.4M96Mar 28, 2013
      C••••• S•••• P••••••• L•Hedge Fund$17.3M11Mar 22, 2012
      C••••• S•••• D••••••••• L•• • S••••• 1•no longer reportedHedge Fund$12.1M13Mar 22, 2012
      F••• R••• L••••••••• L•Hedge Fund$11.1M12Mar 22, 2012
      C••••• S•••• T••••••• L•no longer reportedHedge Fund$6.0M9Mar 22, 2012
      C••••• S•••• P••••••• • I•• L•no longer reportedHedge Fund$3.1M3Mar 22, 2012
      C••••• S•••• P••••••• A•••• B•• L••no longer reportedHedge Fund$1.9M3Mar 22, 2012
      C••••• S•••• X• L•no longer reportedHedge Fund$1.6M2Mar 22, 2012
      C••••• S•••• S••••••••• L•no longer reportedHedge Fund$1.2M2Mar 31, 2014
      C••••• S•••• L••••••••• O••••••• L••Hedge Fund$00Mar 22, 2012
      C••••• S•••• P••••••• S•• L••Hedge Fund$00Mar 31, 2014
      C••••• S•••• L••••••••• B•• L••Hedge Fund$00Mar 22, 2012
      C••••• S•••• P••••••• I• L•Hedge Fund$00Mar 22, 2012
      C••••• S•••• S•••••• O••••••••• L•Hedge Fund$00Mar 22, 2012
      C••••• S•••• E••••••• R••••• O••••••• S•• • C•• S•••••Hedge Fund$00Mar 31, 2014
      C••••• S•••• L••••••••• I•• L•Hedge Fund$00Mar 22, 2012
      C••••• S•••• L••••••••• I• L•Hedge Fund$00Mar 22, 2012
      C••••• S•••• P••••••• B•• L••Hedge Fund$00Mar 22, 2012
      C••••• S•••• P••••••• B•• S•• L••Hedge Fund$00Mar 31, 2014
      C••••• S•••• L••••••••• S•• L••Hedge Fund$00Mar 31, 2014
      C••••• S•••• O••••••• L••Hedge Fund$00Mar 22, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• J••••• L••••• · Membercontrol
        since 01/1997 · owns 25% to 50%
      • G•••• J••••••• · Chief Executive Officercontrol
        since 01/2014 · owns 25% to 50%
      • L••••• K••••••• O• · Chief Financial Officercontrol
        since 01/2014 · owns less than 5%
      • L••••• M•••• E••• · Presidentcontrol
        since 08/2014 · owns 5% to 10%
      • T•••••••• S••••• A••• · Chief Investment Officer - Fund Of Fundscontrol
        since 01/2014 · owns 10% to 25%
      • W•••••••• M••••••• J••• · Chief Operating Officer / Chief Compliance Officercontrol
        since 01/2013 · owns 10% to 25%
      • B•••••••• J••••• A•••• · Trusteecontrol
        since 12/2012 · owns 75% or more of T•• B••••••• F••••• T••••
      Entity owners
      • T•• B••••••• F••••• T•••• · Member
        indirect · owns 75% or more of B•• C••• L••
      • B•• C••• L•• · Member
        direct · 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
      • Accounts · 17 to 6
        Mar 31, 2014 to Mar 31, 2015
      • Advisory employees · 4 to 9
        Mar 31, 2014 to Mar 31, 2015
      • Assets in custody · $445M to $116M
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 10 to 13
        Mar 31, 2014 to Mar 31, 2015
      • Private funds · 17 to 16
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $708M to $374M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $708M to $374M
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 21 to 17
        Dec 9, 2013 to Mar 31, 2014
      • Advisory employees · 7 to 4
        Dec 9, 2013 to Mar 31, 2014
      • Assets in custody · $3.3B to $445M
        Dec 9, 2013 to Mar 31, 2014
      • Employees · 30 to 10
        Dec 9, 2013 to Mar 31, 2014
      • Discretionary RAUM · $3.8B to $708M
        Dec 9, 2013 to Mar 31, 2014
      • RAUM · $3.8B to $708M
        Dec 9, 2013 to Mar 31, 2014
      • Accounts · 22 to 21
        Mar 22, 2012 to Mar 28, 2013
      • Advisory employees · unset to 7.0
        Mar 22, 2012 to Mar 28, 2013
      • Assets in custody · $3.9B to $3.3B
        Mar 22, 2012 to Mar 28, 2013
      • Employees · unset to 30.0
        Mar 22, 2012 to Mar 28, 2013
      • Discretionary RAUM · $3.9B to $3.8B
        Mar 22, 2012 to Mar 28, 2013
      • RAUM · $3.9B to $3.8B
        Mar 22, 2012 to Mar 28, 2013
      • Related adviser · true to false
        Mar 22, 2012 to Mar 28, 2013
      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