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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
H•••••••• I••••••••• C•••••••••
Latest filing Mar 18, 2026
First filing on the tape Mar 15, 2012 · 21 filings
SEC status approved since Nov 29, 2005
RAUM
$543M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
91%
$493M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$109M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$543M as of Mar 18, 2026
Mar 15, 2012$93.1M then
HNW client RAUM$286M as of Mar 18, 2026
Feb 1, 2018$58.2M then
State-registered IARs (5.B.3)5 as of Mar 18, 2026
Feb 15, 20132 then
Employees (5.A)7 as of Mar 18, 2026
Feb 15, 20135 then
Private funds: no history
RAUM +16% over the last fiscal year+19% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 18, 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
- RAUM per advisor
- $109MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 118derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $351,668derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 6.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$286M53%
- Individuals$207M38%
- Charitable organizations$36.1M6.6%
- Corporations and businesses$13.1M2.4%
- Pension and profit-sharing plans$477,0000.1%
- Individual clients
- 403reported
- HNW clients
- 185reported
- Pension plan clients
- n/areported
- Charitable clients
- 42reported
- Accounts
- 1,544reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• J•••• S••••••• | Mcminnville, Or | Jan 3, 2012 | 15 y | 1 |
| K•••• W••••• C••••••• | Mcminnville, Or | Feb 10, 2014 | 12 y | 0 |
| M•••••• J•••• D•••••• | Mcminnville, Or | Apr 21, 2022 | 15 y | 0 |
| J•••• M••••• S••••• | Mcminnville, Or | Oct 7, 2022 | 24 y | 0 |
| J•••••• L••• C••••• | Mcminnville, Or | Mar 31, 2025 | 13 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
- C•••••••• G•••• N••••••• to W••••••••• I•••Oct 11, 2013 · Other
- B•••• J••• L••••••• to N•••• R••••Jul 7, 2011 · Other
Joined, latest
- T••••• J•••• S••••••• from M••••• S••••••Jan 3, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• K••••• W••••• · Managing Partner & Presidentcontrolsince 01/2018 · owns 25% to 50%
- C•••••••• S••••• W••••• · Founding Partnercontrolsince 07/2004 · owns 10% to 25%
- S•••••••• T•••••• J•••• · Managing Partner & Chief Compliance Officercontrolsince 01/2018 · 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 |
|---|---|---|---|---|---|
| Mcminnville, Or · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 18, 2026insurance affiliate (Item 7.A.10): no on the filing of 2025-02-03, yes on the filing of 2026-03-18peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 1,437 to 1,544Feb 3, 2025 to Mar 18, 2026
- Charity clients · 38 to 42Feb 3, 2025 to Mar 18, 2026
- Corporate clients · 18 to 19Feb 3, 2025 to Mar 18, 2026
- HNW clients · 172 to 185Feb 3, 2025 to Mar 18, 2026
- Individual clients · 342 to 403Feb 3, 2025 to Mar 18, 2026
- Employees · 5 to 7Feb 3, 2025 to Mar 18, 2026
- Discretionary RAUM · $448M to $524MFeb 3, 2025 to Mar 18, 2026
- HNW RAUM · $242M to $286MFeb 3, 2025 to Mar 18, 2026
- Individual RAUM · $176M to $207MFeb 3, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $18.7M to $19.4MFeb 3, 2025 to Mar 18, 2026
- Pension RAUM · $202,000 to $477,000Feb 3, 2025 to Mar 18, 2026
- RAUM · $466M to $543MFeb 3, 2025 to Mar 18, 2026
- Related insurance company · false to trueFeb 3, 2025 to Mar 18, 2026
- Accounts · 1,292 to 1,437May 7, 2024 to Feb 3, 2025
- Charity clients · 34 to 38May 7, 2024 to Feb 3, 2025
- Corporate clients · 20 to 18May 7, 2024 to Feb 3, 2025
- HNW clients · 167 to 172May 7, 2024 to Feb 3, 2025
- Individual clients · 344 to 342May 7, 2024 to Feb 3, 2025
- Financial planning clients · 0 to 0May 7, 2024 to Feb 3, 2025
- Discretionary RAUM · $378M to $448MMay 7, 2024 to Feb 3, 2025
- HNW RAUM · $217M to $242MMay 7, 2024 to Feb 3, 2025
- Individual RAUM · $136M to $176MMay 7, 2024 to Feb 3, 2025
- Non-discretionary RAUM · $19.1M to $18.7MMay 7, 2024 to Feb 3, 2025
- Pension RAUM · unset to 202000.0May 7, 2024 to Feb 3, 2025
- RAUM · $397M to $466MMay 7, 2024 to Feb 3, 2025
- Accounts · 1,150 to 1,292May 10, 2023 to Jan 31, 2024
- Charity clients · 29 to 34May 10, 2023 to Jan 31, 2024
- Corporate clients · 7 to 20May 10, 2023 to Jan 31, 2024
- HNW clients · 147 to 167May 10, 2023 to Jan 31, 2024
- Individual clients · 325 to 344May 10, 2023 to Jan 31, 2024
- Employees · 6 to 5May 10, 2023 to Jan 31, 2024
- Discretionary RAUM · $301M to $378MMay 10, 2023 to Jan 31, 2024
- HNW RAUM · $177M to $217MMay 10, 2023 to Jan 31, 2024
- Individual RAUM · $116M to $136MMay 10, 2023 to Jan 31, 2024
- Non-discretionary RAUM · $18.4M to $19.1MMay 10, 2023 to Jan 31, 2024
- RAUM · $319M to $397MMay 10, 2023 to Jan 31, 2024
- Accounts · 1,029 to 1,150Mar 3, 2022 to Feb 23, 2023
- Advisory employees · 3 to 5Mar 3, 2022 to Feb 23, 2023
- Charity clients · 22 to 29Mar 3, 2022 to Feb 23, 2023
- Corporate clients · 5 to 7Mar 3, 2022 to Feb 23, 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
- 503-565-2100reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/H••••••••-ICreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H••••••••-IC.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 503-565-2100reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- headwater-ic.com/contact-usreportedpublished 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
- $109Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026