DFX Intelligence
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SEC-registered adviser
T•• L•• G••••• I•••
Latest filing Feb 23, 2026
First filing on the tape Mar 23, 2012 · 18 filings
SEC status approved since Jan 2, 2004
RAUM
$507M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
96%
$487M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$254M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$507M as of Feb 23, 2026
Mar 23, 2012$201M then
HNW client RAUM$486M as of Feb 23, 2026
Mar 30, 2018$321M then
State-registered IARs (5.B.3)2 as of Feb 23, 2026
Mar 23, 20120 then
Employees (5.A)2 as of Feb 23, 2026
Mar 15, 20132 then
Private funds: no history
RAUM +31% over the last fiscal year+16% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 23, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $254MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.0MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- 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$486M96%
- Pension and profit-sharing plans$16.6M3.3%
- Charitable organizations$4.3M0.8%
- Individuals$719,9580.1%
- Individual clients
- n/areported
- HNW clients
- 54reported
- Pension plan clients
- 7reported
- Charitable clients
- 19reported
- Accounts
- 270reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••• J•••••• L•• | Lake Oswego, Or | Mar 31, 2012 | 36 y | 0 |
| B•••••• S•••• L•• | Lake Oswego, Or | Dec 5, 2024 | 36 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••• N•••••• J•••••• · President/Chief Compliance Officercontrolsince 06/1996 · owns 50% to 75%
- L••• B••••••• S•••• · Chief Operating Officercontrolsince 06/1996 · owns 25% to 50%
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 | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 306 to 270Mar 25, 2025 to Feb 23, 2026
- Charity clients · 16 to 19Mar 25, 2025 to Feb 23, 2026
- HNW clients · 55 to 54Mar 25, 2025 to Feb 23, 2026
- Pension plan clients · 10 to 7Mar 25, 2025 to Feb 23, 2026
- Discretionary RAUM · $356M to $416MMar 25, 2025 to Feb 23, 2026
- HNW RAUM · $367M to $486MMar 25, 2025 to Feb 23, 2026
- Individual RAUM · $564,480 to $719,958Mar 25, 2025 to Feb 23, 2026
- Non-discretionary RAUM · $32.3M to $91.6MMar 25, 2025 to Feb 23, 2026
- Pension RAUM · $17.4M to $16.6MMar 25, 2025 to Feb 23, 2026
- RAUM · $388M to $507MMar 25, 2025 to Feb 23, 2026
- Accounts · 276 to 306Aug 5, 2024 to Mar 25, 2025
- Charity clients · 15 to 16Aug 5, 2024 to Mar 25, 2025
- HNW clients · 52 to 55Aug 5, 2024 to Mar 25, 2025
- Pension plan clients · 12 to 10Aug 5, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0Aug 5, 2024 to Mar 25, 2025
- HQ city · unset to Aug 5, 2024 to Mar 25, 2025
- HQ state · unset to Aug 5, 2024 to Mar 25, 2025
- Discretionary RAUM · $334M to $356MAug 5, 2024 to Mar 25, 2025
- HNW RAUM · $327M to $367MAug 5, 2024 to Mar 25, 2025
- Individual RAUM · $892,887 to $564,480Aug 5, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $22.2M to $32.3MAug 5, 2024 to Mar 25, 2025
- Pension RAUM · $25.9M to $17.4MAug 5, 2024 to Mar 25, 2025
- RAUM · $356M to $388MAug 5, 2024 to Mar 25, 2025
- Accounts · 305 to 276Jan 31, 2023 to Mar 15, 2024
- Charity clients · 10 to 15Jan 31, 2023 to Mar 15, 2024
- HNW clients · 58 to 52Jan 31, 2023 to Mar 15, 2024
- Pension plan clients · 13 to 12Jan 31, 2023 to Mar 15, 2024
- Discretionary RAUM · $308M to $334MJan 31, 2023 to Mar 15, 2024
- HNW RAUM · $295M to $327MJan 31, 2023 to Mar 15, 2024
- Individual RAUM · $815,197 to $892,887Jan 31, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $15.2M to $22.2MJan 31, 2023 to Mar 15, 2024
- Pension RAUM · $25.1M to $25.9MJan 31, 2023 to Mar 15, 2024
- RAUM · $323M to $356MJan 31, 2023 to Mar 15, 2024
- Accounts · 303 to 305Mar 14, 2022 to Jan 31, 2023
- Charity clients · unset to 10.0Mar 14, 2022 to Jan 31, 2023
- HNW clients · 60 to 58Mar 14, 2022 to Jan 31, 2023
- Pension plan clients · unset to 13.0Mar 14, 2022 to Jan 31, 2023
- Discretionary RAUM · $358M to $308MMar 14, 2022 to Jan 31, 2023
- HNW RAUM · $370M to $295MMar 14, 2022 to Jan 31, 2023
- Individual RAUM · $1.1M to $815,197Mar 14, 2022 to Jan 31, 2023
Signals
1 dated events
- T•• L•• G••••• I••• reported RAUM $507.4M, up 31% from $388.3M (2025-03-25 to 2026-02-23)Feb 23, 2026 · 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 email
- n••••@t•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 503-210-9344reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 503-635-9344reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- t•••••••••.comreportedpublic record, Form ADV, Feb 23, 2026
- Principal office phone
- 503-730-9345reportedpublic record, Form ADV, Feb 23, 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
- $254Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026