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
C•••••• I••••••••• A•••••••• I•••
Latest filing Feb 20, 2026
First filing on the tape Feb 23, 2012 · 26 filings
SEC status approved since Mar 18, 2004
RAUM
$360M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$360M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$120M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$360M as of Feb 20, 2026
Feb 23, 2012$130M then
HNW client RAUM$276M as of Feb 20, 2026
Mar 9, 2018$72.0M then
State-registered IARs (5.B.3)3 as of Feb 20, 2026
Feb 23, 20120 then
Employees (5.A)7 as of Feb 20, 2026
Mar 5, 20135 then
Private funds: no history
RAUM +8.9% over the last fiscal year+9.7% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 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
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $120MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $719,403derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$276M76%
- Individuals$84.9M24%
- Individual clients
- 115reported
- HNW clients
- 62reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 501reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••••• H• R•••Chartered Financial Analyst | Oregon City, Or | May 7, 1999 | 31 y | 0 |
| D•••• J••• S••••Chartered Financial Analyst | Oregon City, Or | Aug 18, 2023 | 25 y | 0 |
| W••••• N•• H•••••••Chartered Financial Analyst | Oregon City, Or | Nov 17, 2025 | 31 y | 1 |
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
none on the tape
Joined, latest
- W••••• N•• H••••••• from B••••• C•••••• M••••••••• I•••Nov 17, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••• M•••••••• H• · Chief Compliance Officercontrolsince 10/2004 · 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 |
|---|---|---|---|---|---|
| Oregon City, Or · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Feb 20, 2026HNW share of RAUM moved from 54.0% to 76.0% between the annual amendments of 2025-04-01 and 2026-02-20peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 489 to 501Apr 1, 2025 to Feb 20, 2026
- HNW clients · 90 to 62Apr 1, 2025 to Feb 20, 2026
- Individual clients · 106 to 115Apr 1, 2025 to Feb 20, 2026
- Financial planning clients · 0 to Apr 1, 2025 to Feb 20, 2026
- Discretionary RAUM · $309M to $337MApr 1, 2025 to Feb 20, 2026
- HNW RAUM · $179M to $276MApr 1, 2025 to Feb 20, 2026
- Individual RAUM · $152M to $84.9MApr 1, 2025 to Feb 20, 2026
- Non-discretionary RAUM · $22.0M to $23.7MApr 1, 2025 to Feb 20, 2026
- RAUM · $331M to $360MApr 1, 2025 to Feb 20, 2026
- Financial planning clients · 0 to 0Feb 27, 2025 to Apr 1, 2025
- Accounts · 472 to 489Mar 6, 2024 to Feb 27, 2025
- Charity clients · unset to 0.0Mar 6, 2024 to Feb 27, 2025
- Corporate clients · unset to 0.0Mar 6, 2024 to Feb 27, 2025
- HNW clients · 50 to 90Mar 6, 2024 to Feb 27, 2025
- Individual clients · 58 to 106Mar 6, 2024 to Feb 27, 2025
- Pension plan clients · unset to 0.0Mar 6, 2024 to Feb 27, 2025
- Pooled vehicle clients · unset to 0.0Mar 6, 2024 to Feb 27, 2025
- Employees · 6 to 7Mar 6, 2024 to Feb 27, 2025
- Discretionary RAUM · $288M to $309MMar 6, 2024 to Feb 27, 2025
- HNW RAUM · $164M to $179MMar 6, 2024 to Feb 27, 2025
- Individual RAUM · $142M to $152MMar 6, 2024 to Feb 27, 2025
- Non-discretionary RAUM · $18.0M to $22.0MMar 6, 2024 to Feb 27, 2025
- Pension RAUM · unset to 0.0Mar 6, 2024 to Feb 27, 2025
- Pooled vehicle RAUM · unset to 0.0Mar 6, 2024 to Feb 27, 2025
- RAUM · $306M to $331MMar 6, 2024 to Feb 27, 2025
- Accounts · 467 to 472Mar 9, 2023 to Mar 6, 2024
- Advisory employees · 3 to 4Mar 9, 2023 to Mar 6, 2024
- HNW clients · 104 to 50Mar 9, 2023 to Mar 6, 2024
- Individual clients · 70 to 58Mar 9, 2023 to Mar 6, 2024
- Employees · 5 to 6Mar 9, 2023 to Mar 6, 2024
- State-registered IARs · 0 to 3Mar 9, 2023 to Mar 6, 2024
- Discretionary RAUM · $260M to $288MMar 9, 2023 to Mar 6, 2024
- HNW RAUM · $189M to $164MMar 9, 2023 to Mar 6, 2024
- Individual RAUM · $84.0M to $142MMar 9, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $13.0M to $18.0MMar 9, 2023 to Mar 6, 2024
- RAUM · $273M to $306MMar 9, 2023 to Mar 6, 2024
- Accounts · 441 to 467Aug 26, 2022 to Mar 9, 2023
- HNW clients · 106 to 104Aug 26, 2022 to Mar 9, 2023
- Individual clients · 69 to 70Aug 26, 2022 to Mar 9, 2023
- Discretionary RAUM · $303M to $260MAug 26, 2022 to Mar 9, 2023
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.
How to reach
public business contact points only, each with its source
- Business phone
- 503-417-1950reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- C••••••INVESTORS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 503-417-1950reportedpublic record, Form ADV, Feb 20, 2026
- Team page
- c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $120Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026