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

S•••• I•••••••• L••

Former SEC-registered adviserRoseville, CaliforniaCRD 116587SEC 801-61937IAPD
Latest filing Mar 18, 2022
First filing on the tape Mar 30, 2012 · 24 filings
RAUM
$683M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
64%
$435M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
18
18 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$683M as of Mar 18, 2022
Mar 30, 2012$180M then
HNW client RAUM$309M as of Mar 18, 2022
Mar 21, 2018$62.2M then
State-registered IARs (5.B.3)9 as of Mar 18, 2022
Mar 28, 20134 then
Employees (5.A)18 as of Mar 18, 2022
Mar 28, 20135 then
Private funds: no history
RAUM +21% over the last fiscal year+18% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Mar 18, 2022; every figure names its basis
RAUM per advisor
$75.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
59derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$645,314derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
36%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.5derived6 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-7.5%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$683M, 570 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
  • High-net-worth individuals$309M45%
  • Pension and profit-sharing plans$145M21%
  • Individuals$127M19%
  • Charitable organizations$103M15%
Individual clients
428reported
HNW clients
103reported
Pension plan clients
29reported
Charitable clients
10reported
Accounts
1,058reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$683M for 570 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H••••• J••••• C•••• · Chief Compliance Officercontrol
      since 01/2017 · owns less than 5%
    • T••••• M••••••• G•••••• · Managing Member/Chief Operating Officercontrol
      since 01/2017 · owns less than 5%
    • H••••• J••••• C•••• · Ownercontrol
      since 12/2018 · owns 75% or more of H•••• H•••••••• I••
    • S•••• R•••••• J••••• · Ownercontrol
      since 12/2018 · owns 75% or more of S•••• D••• • H•••• H•••••••• I•••
    Entity owners
    • S•••• D••• • H••••• L•• · Owner
      direct · owns 75% or more
    • H•••• H•••••••• I•• · Owner
      indirect · owns 50% to 75% of S•••• D••• • H••••• L••
    • S•••• D••• • H•••• H•••••••• I••• · Owner
      indirect · owns 50% to 75% of S•••• D••• • H••••• L••
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Portland, OR2 employees
    • Woodland, CA1 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,233 to 1,058
      Mar 18, 2021 to Mar 18, 2022
    • Advisory employees · 14 to 18
      Mar 18, 2021 to Mar 18, 2022
    • Charity clients · 6 to 10
      Mar 18, 2021 to Mar 18, 2022
    • HNW clients · 86 to 103
      Mar 18, 2021 to Mar 18, 2022
    • Individual clients · 488 to 428
      Mar 18, 2021 to Mar 18, 2022
    • Pension plan clients · 39 to 29
      Mar 18, 2021 to Mar 18, 2022
    • Assets in custody · $356M to $683M
      Mar 18, 2021 to Mar 18, 2022
    • Employees · 14 to 18
      Mar 18, 2021 to Mar 18, 2022
    • Insurance-licensed employees · 4 to 3
      Mar 18, 2021 to Mar 18, 2022
    • Discretionary RAUM · $564M to $683M
      Mar 18, 2021 to Mar 18, 2022
    • HNW RAUM · $264M to $309M
      Mar 18, 2021 to Mar 18, 2022
    • Individual RAUM · $121M to $127M
      Mar 18, 2021 to Mar 18, 2022
    • Non-discretionary RAUM · $576,676 to $0
      Mar 18, 2021 to Mar 18, 2022
    • Pension RAUM · $173M to $145M
      Mar 18, 2021 to Mar 18, 2022
    • RAUM · $564M to $683M
      Mar 18, 2021 to Mar 18, 2022
    • Accounts · 1,038 to 1,233
      Sep 4, 2020 to Mar 18, 2021
    • Advisory employees · 7 to 14
      Sep 4, 2020 to Mar 18, 2021
    • HNW clients · 89 to 86
      Sep 4, 2020 to Mar 18, 2021
    • Individual clients · 390 to 488
      Sep 4, 2020 to Mar 18, 2021
    • Pension plan clients · 41 to 39
      Sep 4, 2020 to Mar 18, 2021
    • Assets in custody · $303M to $356M
      Sep 4, 2020 to Mar 18, 2021
    • Employees · 10 to 14
      Sep 4, 2020 to Mar 18, 2021
    • Insurance-licensed employees · 3 to 4
      Sep 4, 2020 to Mar 18, 2021
    • State-registered IARs · 7 to 9
      Sep 4, 2020 to Mar 18, 2021
    • Other offices · 4 to 5
      Sep 4, 2020 to Mar 18, 2021
    • Discretionary RAUM · $574M to $564M
      Sep 4, 2020 to Mar 18, 2021
    • HNW RAUM · $316M to $264M
      Sep 4, 2020 to Mar 18, 2021
    • Individual RAUM · $108M to $121M
      Sep 4, 2020 to Mar 18, 2021
    • Non-discretionary RAUM · $272,090 to $576,676
      Sep 4, 2020 to Mar 18, 2021
    • Pension RAUM · $144M to $173M
      Sep 4, 2020 to Mar 18, 2021
    • RAUM · $575M to $564M
      Sep 4, 2020 to Mar 18, 2021
    • Accounts · 846 to 1,038
      Dec 3, 2019 to Mar 13, 2020
    • Charity clients · unset to 6.0
      Dec 3, 2019 to Mar 13, 2020
    • HNW clients · 59 to 89
      Dec 3, 2019 to Mar 13, 2020
    • Individual clients · 382 to 390
      Dec 3, 2019 to Mar 13, 2020
    • Pension plan clients · 42 to 41
      Dec 3, 2019 to Mar 13, 2020
    • Assets in custody · unset to 302839700.0
      Dec 3, 2019 to Mar 13, 2020
    • Custody of client assets · false to true
      Dec 3, 2019 to Mar 13, 2020
    • Other offices · 5 to 4
      Dec 3, 2019 to Mar 13, 2020
    • Discretionary RAUM · $416M to $574M
      Dec 3, 2019 to Mar 13, 2020
    Signals
    10 dated events
    • M••••••• L••••• P••••••• left S•••• I•••••••• L•• for E•••••• F•••••••• E•••••• (registered 2022-07-25)
      Aug 25, 2022 · Advisor changed firm · fact
    • M•••••• G•••••• T•••• left S•••• I•••••••• L•• for H•••••• A••••••• (registered 2019-11-18)
      Aug 25, 2022 · Advisor changed firm · fact
    • A•••• C•••••• S•••••••• left S•••• I•••••••• L•• for E•••••• F•••••••• E•••••• (registered 2022-07-25)
      Aug 25, 2022 · Advisor changed firm · fact
    • J•••• C•••• H•••• left S•••• I•••••••• L•• for H•••••• A••••••• (registered 2019-11-27)
      Aug 25, 2022 · Advisor changed firm · fact
    • T•••• L••• G••••• left S•••• I•••••••• L•• for E•••••• F•••••••• E•••••• (registered 2022-07-25)
      Aug 25, 2022 · Advisor changed firm · fact
    • Paul Eric Wedin no longer registered at S•••• I•••••••• L••; no later IA registration on IAPD
      Aug 25, 2022 · Advisor departure · fact
    • 2 advisors left S•••• I•••••••• L•• (Roseville, CA) for H•••••• A••••••• on the same day
      Aug 25, 2022 · Team lift-out · derived
    • S•••• I•••••••• L••'s advisors moved to E•••••• F•••••••• E•••••• (Roseville, CA): 3 of 6 registered, on the same day
      Aug 25, 2022 · Firm absorbed (people side) · derived
    • S•••• I•••••••• L•• reported RAUM $574.7M, up 38% from $415.9M (2019-12-03 to 2020-03-13)
      Mar 13, 2020 · RAUM change · derived
    • S•••• I•••••••• L•• reported RAUM $415.9M, up 35% from $308.6M (2019-02-26 to 2019-03-29)
      Mar 29, 2019 · 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.
    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