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
P•••••••• A•••• A•••••••• I•••
Latest filing Mar 10, 2026
First filing on the tape Feb 7, 2012 · 35 filings
SEC status approved since Oct 3, 2001
RAUM
$611M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
96%
$584M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$102M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$611M as of Mar 10, 2026
Feb 7, 2012$230M then
HNW client RAUM$399M as of Mar 10, 2026
Jan 23, 2018$138M then
State-registered IARs (5.B.3)6 as of Mar 10, 2026
Feb 7, 20134 then
Employees (5.A)8 as of Mar 10, 2026
Feb 7, 20135 then
Private funds: no history
RAUM +6.2% over the last fiscal year+25% a year over threeIARs 5 to 6offices 1 to 2
Practice profile
derived from the filing of Mar 10, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $102MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.8MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.5%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$399M65%
- Individuals$185M30%
- Corporations and businesses$13.9M2.3%
- Charitable organizations$12.8M2.1%
- Individual clients
- 390reported
- HNW clients
- 51reported
- Pension plan clients
- 0reported
- Charitable clients
- 7reported
- Accounts
- 476reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| D••••• S•••••• B•••• | Portland, Or | Jun 29, 2001 | 42 y | 0 |
| G•••• E•••••• K••••• | Portland, Or | Sep 12, 2003 | 33 y | 0 |
| J••• B••••••• K•••••• | Bend, Or | Jul 10, 2023 | 33 y | 1 |
| J•••••• E••••• S••••••• | Bend, Or | Jul 10, 2023 | 31 y | 2 |
| R••••• C• S••••••• | Bend, Or | Jan 23, 2025 | 10 y | 2 |
| G••••• M••••• | Bend, Or | Oct 2, 2025 | 11 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- S••••• C•••••• B•••• to T••• P•••••• W••••• A•••••••• L••Nov 12, 2020 · RIA to RIA
Joined, latest
- G••••• M••••• from C•••••• S••••• • C••• I•••Oct 2, 2025 · Affiliated broker-dealer or bank to independent RIA
- R••••• C• S••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 23, 2025 · Wirehouse to independent RIA
- J••• B••••••• K•••••• from N•••••••• W••••• M••••••••• L••Jul 10, 2023 · RIA to RIA
- J•••••• E••••• S••••••• from N•••••••• W••••• M••••••••• L••Jul 10, 2023 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from N•••••••• W••••• M••••••••• L••Sep 27, 2023 · Bend, Or
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• D•••••• S•••••• · President/Chief Compliance Officercontrolsince 12/2000 · 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 | 4 | 1 | 0 | ||
| Portland, Or · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Bend, OR2 employees
What changed
consecutive filings, newest first
- Accounts · 501 to 476Jan 21, 2026 to Feb 17, 2026
- Charity clients · unset to 7.0Jan 21, 2026 to Feb 17, 2026
- Corporate clients · 15 to 28Jan 21, 2026 to Feb 17, 2026
- HNW clients · 43 to 51Jan 21, 2026 to Feb 17, 2026
- Individual clients · 439 to 390Jan 21, 2026 to Feb 17, 2026
- Employees · 7 to 8Jan 21, 2026 to Feb 17, 2026
- Discretionary RAUM · $571M to $606MJan 21, 2026 to Feb 17, 2026
- HNW RAUM · $379M to $399MJan 21, 2026 to Feb 17, 2026
- Individual RAUM · $173M to $185MJan 21, 2026 to Feb 17, 2026
- Non-discretionary RAUM · $4.6M to $4.9MJan 21, 2026 to Feb 17, 2026
- RAUM · $576M to $611MJan 21, 2026 to Feb 17, 2026
- Advisory employees · 5 to 6Mar 10, 2025 to Oct 8, 2025
- State-registered IARs · 5 to 6Mar 10, 2025 to Oct 8, 2025
- Other offices · 1 to 2Mar 10, 2025 to Oct 8, 2025
- Financial planning clients · 26-50 to 26-50Feb 12, 2025 to Mar 10, 2025
- State-registered IARs · 4 to 5Feb 12, 2025 to Mar 10, 2025
- Accounts · 502 to 501Feb 9, 2024 to Feb 12, 2025
- Advisory employees · 4 to 5Feb 9, 2024 to Feb 12, 2025
- Charity clients · 5.0 to unsetFeb 9, 2024 to Feb 12, 2025
- Corporate clients · 9 to 15Feb 9, 2024 to Feb 12, 2025
- HNW clients · 34 to 43Feb 9, 2024 to Feb 12, 2025
- Individual clients · 454 to 439Feb 9, 2024 to Feb 12, 2025
- Employees · 6 to 7Feb 9, 2024 to Feb 12, 2025
- Discretionary RAUM · $516M to $571MFeb 9, 2024 to Feb 12, 2025
- HNW RAUM · $317M to $379MFeb 9, 2024 to Feb 12, 2025
- Individual RAUM · $184M to $173MFeb 9, 2024 to Feb 12, 2025
- Non-discretionary RAUM · $3.2M to $4.6MFeb 9, 2024 to Feb 12, 2025
- RAUM · $520M to $576MFeb 9, 2024 to Feb 12, 2025
- Accounts · 482 to 502Sep 1, 2023 to Feb 9, 2024
- Advisory employees · 2 to 4Sep 1, 2023 to Feb 9, 2024
- Charity clients · 3 to 5Sep 1, 2023 to Feb 9, 2024
- Corporate clients · 13 to 9Sep 1, 2023 to Feb 9, 2024
- HNW clients · 32 to 34Sep 1, 2023 to Feb 9, 2024
- Individual clients · 434 to 454Sep 1, 2023 to Feb 9, 2024
- Employees · 2 to 6Sep 1, 2023 to Feb 9, 2024
- Financial planning clients · 1-10 to 26-50Sep 1, 2023 to Feb 9, 2024
- State-registered IARs · 2 to 4Sep 1, 2023 to Feb 9, 2024
- Discretionary RAUM · $500M to $516MSep 1, 2023 to Feb 9, 2024
- HNW RAUM · $298M to $317MSep 1, 2023 to Feb 9, 2024
- Individual RAUM · $195M to $184MSep 1, 2023 to Feb 9, 2024
Signals
2 dated events
- 2 advisors left N•••••••• W••••• M••••••••• L•• (Bend, OR) for P•••••••• A•••• A•••••••• I••• on the same daySep 27, 2023 · Team lift-out · derived
- P•••••••• A•••• A•••••••• I••• reported RAUM $504.0M, up 63% from $310.0M (2023-02-01 to 2023-09-01)Sep 1, 2023 · 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 phone
- 888-407-5463reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 888-407-5435reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- northlinewealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 503-459-4651reportedpublic record, Form ADV, Mar 10, 2026
- Contact form
- northlinewealth.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $102Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026