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

A•••••• L••

Former SEC-registered adviserEugene, OregonCRD 132569SEC 801-63466IAPD
Latest filing Mar 24, 2014
First filing on the tape Mar 30, 2012 · 4 filings
RAUM
$109M
reported, Item 5.F
Discretionary
90%
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$109M as of Mar 24, 2014
Mar 30, 2012$135M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 24, 2014
Mar 30, 20120 then
Employees (5.A)3 as of Mar 24, 2014
Mar 25, 20134 then
Private funds: no history
RAUM -3.0% over the last fiscal yearIARs 3 to 2
Practice profile
derived from the filing of Mar 24, 2014; every figure names its basis
RAUM per advisor
$54.7MderivedRAUM 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
$209,579derivedRAUM over accounts (5.F.2.f)
Discretionary
90%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-3.0%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
522reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • A•••••• S••••••• D••••• · Member, Chief Compliance Officercontrol
    since 08/2004 · owns 75% or more
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 · 1,730 to 522
    Mar 28, 2013 to Mar 24, 2014
  • Advisory employees · 3 to 2
    Mar 28, 2013 to Mar 24, 2014
  • BD registered reps · 3 to 2
    Mar 28, 2013 to Mar 24, 2014
  • Employees · 4 to 3
    Mar 28, 2013 to Mar 24, 2014
  • State-registered IARs · 3 to 2
    Mar 28, 2013 to Mar 24, 2014
  • Discretionary RAUM · $102M to $98.2M
    Mar 28, 2013 to Mar 24, 2014
  • Non-discretionary RAUM · $10.9M to $11.2M
    Mar 28, 2013 to Mar 24, 2014
  • RAUM · $113M to $109M
    Mar 28, 2013 to Mar 24, 2014
  • Accounts · 644 to 1,730
    Mar 30, 2012 to Mar 25, 2013
  • Advisory employees · unset to 3.0
    Mar 30, 2012 to Mar 25, 2013
  • BD registered reps · unset to 3.0
    Mar 30, 2012 to Mar 25, 2013
  • Employees · unset to 4.0
    Mar 30, 2012 to Mar 25, 2013
  • State-registered IARs · 0 to 3
    Mar 30, 2012 to Mar 25, 2013
  • Discretionary RAUM · $105M to $102M
    Mar 30, 2012 to Mar 25, 2013
  • Non-discretionary RAUM · $30.0M to $10.9M
    Mar 30, 2012 to Mar 25, 2013
  • RAUM · $135M to $113M
    Mar 30, 2012 to Mar 25, 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