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
H•••• I••••••••
Wealth manager with institutional or fund businessLake Oswego, OregonCRD 133017SEC 801-63556websiteIAPD
Legal name H•••• I••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Mar 30, 2012 · 41 filings
SEC status approved since Oct 5, 2004
RAUM
$2.2B
reported, Item 5.F
Discretionary
43%
of RAUM
Private clients
41%
$917M individuals and HNW
Advisors
16
registered through the firm on IAPD
RAUM per advisor
$139M
derived; firm RAUM over IAPD count
Employees
28
18 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$2.2B as of Mar 26, 2026
Mar 30, 2012$331M then
HNW client RAUM$481M as of Mar 26, 2026
Feb 26, 2018$218M then
State-registered IARs (5.B.3)16 as of Mar 26, 2026
Mar 30, 20120 then
Employees (5.A)28 as of Mar 26, 2026
Mar 14, 20138 then
Private funds: no history
RAUM +18% over the last fiscal year+16% a year over threeIARs 14 to 16
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $139MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $657,647derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 43%derivedof RAUM
- Institutional
- 59%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 16.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +23%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $131M, 406 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$1.3B57%
- High-net-worth individuals$481M22%
- Individuals$437M20%
- Charitable organizations$48.8M2.2%
- Individual clients
- 1,131reported
- HNW clients
- 136reported
- Pension plan clients
- 73reported
- Charitable clients
- 8reported
- Accounts
- 3,382reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $46.1M managedreported
- Custody of client assets
- $131M for 406 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.41 fund_share=0.0 institutional_share=0.59 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
16 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• W••••• N••••• | Lake Oswego, Or | Feb 29, 2012 | 16 y | 0 |
| W•••••• J••••• K•••••Certified Financial Planner | Lake Oswego, Or | Apr 26, 2016 | 11 y | 0 |
| M••• M•••• K••••••••Certified Financial Planner, Chartered Financial Consultant | Lake Oswego, Or | Feb 13, 2017 | 20 y | 3 |
| A••••• R•••••• G•••••••Chartered Financial Analyst | Lake Oswego, Or | Jan 2, 2020 | 12 y | 0 |
| D•••••• L•••• C••••••• | Lake Oswego, Or | Jan 13, 2022 | 11 y | 0 |
| M•••• L•••• G•••••••• B••• | Lake Oswego, Or | Apr 26, 2022 | 13 y | 0 |
| A••••• J•••• P••••• | Lake Oswego, Or | May 23, 2022 | 15 y | 0 |
| A••••• M•••• E•••••••• | Lake Oswego, Or | Jan 29, 2024 | 10 y | 0 |
| C••• D••••• M••••• | Lake Oswego, Or | Jan 14, 2025 | 10 y | 0 |
| R•••• D•••••• | Lake Oswego, Or | Jan 30, 2025 | 15 y | 0 |
| C••• T••••• | Lake Oswego, Or | Feb 5, 2025 | 11 y | 0 |
| H•••• H•••••••• | Lake Oswego, Or | Feb 18, 2025 | 11 y | 0 |
| D•••• A•••••••Certified Financial Planner | Lake Oswego, Or | Dec 11, 2025 | 9 y | 2 |
| R•••••• A••• R••••••• | Lake Oswego, Or | Jan 7, 2026 | 15 y | 2 |
| M••••••• T••••• C••••••• | Lake Oswego, Or | Jan 14, 2026 | 10 y | 0 |
| N••••• L••••••• | Lake Oswego, Or | Jan 27, 2026 | 10 y | 0 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- J•••• V•••••• S•••••• to D•••••••• I••••••••• C••••••••• L••Oct 15, 2024 · Other
- C•••••• A••••• P••••••• to C•••••• F••••••••• L••Dec 31, 2022 · RIA to a state-registered adviser
- N••••• M•••• W••••• to V•••• C•••••• P•••••••• I•••Aug 10, 2022 · RIA to RIA
- S••••• D• H•••••• to R•••• F•••••••• G••••• L••Mar 27, 2020 · RIA to RIA
- S•••••••• D••••••• T••••••••• to R•••• F•••••••• G••••• L••Mar 27, 2020 · RIA to RIA
- T••••••• P• G•••••• to F•••••••• C••••••••• G••••Nov 20, 2019 · Other
- E••• R••••• D••• to R•••• F•••••••• G••••• L••Nov 29, 2017 · Other
- R••••• T••• F••••••••• to R•••• F•••••••• G••••• L••Nov 29, 2017 · Other
Joined, latest
- R•••••• A••• R••••••• from L•• F•••••••• L••Jan 7, 2026 · Other
- D•••• A••••••• from M• H••••••• S••••••••• I•••Dec 11, 2025 · Affiliated broker-dealer or bank to independent RIA
- J•••• V•••••• S•••••• from T•• W••••• A•••••••• I•••Oct 8, 2021 · Other
- M••• M•••• K•••••••• from M•••••••Feb 13, 2017 · Other
- S••••• D• H•••••• from G• A• R••••• • C••••••Aug 26, 2016 · Other
- S•••••••• D••••••• T••••••••• from G• A• R••••• • C••••••Aug 25, 2016 · Other
- C•••••• A••••• P••••••• from T•• F•••••••• A•••••••• L••May 14, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for R•••• F•••••••• G••••• L••Mar 27, 2020 · Lake Oswego, Or
- 2 left for R•••• F•••••••• G••••• L••Nov 29, 2017 · Lake Oswego, Or
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••••• A•••••• R•••••• · Partner/Chief Compliance Officercontrolsince 01/2023 · owns 5% to 10%
- K••••••••• M•••• M•••• · Managing Partnercontrolsince 06/2020 · owns 10% to 25%
- K•••••• W••••••• J••••• · Partnercontrolsince 07/2022 · owns 10% to 25%
- N•••••• A•••••• W••••• · Managing Partnercontrolsince 06/2020 · owns 10% to 25%
- N••••• J••• · Partner; Chief People Officercontrolsince 01/2002 · owns 5% to 10%
- B•••• M••••• L•••• G•••••••• · Partnersince 01/2023 · owns 5% to 10%
- F•••••• P••••• R•• · Retiredsince 09/2004 · owns 10% to 25%
- P•••••• A•••••• J•••• · Partnersince 01/2026 · owns 5% to 10%
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 · principal | 16 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 26, 2026G•••••••• A•••••• R•••••• (PARTNER/CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2021-03-15 and 2026-03-26peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 26, 2026K•••••• W••••••• J••••• (PARTNER) appeared on Schedule A between the filings of 2021-03-15 and 2026-03-26peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 2,957 to 3,382Mar 19, 2025 to Mar 26, 2026
- Advisory employees · 14 to 18Mar 19, 2025 to Mar 26, 2026
- HNW clients · 109 to 136Mar 19, 2025 to Mar 26, 2026
- Individual clients · 920 to 1,131Mar 19, 2025 to Mar 26, 2026
- Pension plan clients · 74 to 73Mar 19, 2025 to Mar 26, 2026
- Assets in custody · $272M to $131MMar 19, 2025 to Mar 26, 2026
- Employees · 26 to 28Mar 19, 2025 to Mar 26, 2026
- State-registered IARs · 14 to 16Mar 19, 2025 to Mar 26, 2026
- Discretionary RAUM · $757M to $964MMar 19, 2025 to Mar 26, 2026
- HNW RAUM · $360M to $481MMar 19, 2025 to Mar 26, 2026
- Individual RAUM · $355M to $437MMar 19, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $1.1B to $1.3BMar 19, 2025 to Mar 26, 2026
- Pension RAUM · $1.1B to $1.3BMar 19, 2025 to Mar 26, 2026
- RAUM · $1.9B to $2.2BMar 19, 2025 to Mar 26, 2026
- Wrap assets (manager) · $26.1M to $46.1MMar 19, 2025 to Mar 26, 2026
- Accounts · 2,481 to 2,957Mar 21, 2024 to Mar 19, 2025
- Advisory employees · 12 to 14Mar 21, 2024 to Mar 19, 2025
- Charity clients · 6 to 8Mar 21, 2024 to Mar 19, 2025
- Corporate clients · unset to 0.0Mar 21, 2024 to Mar 19, 2025
- HNW clients · 90 to 109Mar 21, 2024 to Mar 19, 2025
- Individual clients · 836 to 920Mar 21, 2024 to Mar 19, 2025
- Pension plan clients · 64 to 74Mar 21, 2024 to Mar 19, 2025
- Pooled vehicle clients · unset to 0.0Mar 21, 2024 to Mar 19, 2025
- Assets in custody · $179M to $272MMar 21, 2024 to Mar 19, 2025
- Employees · 22 to 26Mar 21, 2024 to Mar 19, 2025
- Financial planning clients · 1-10 to 1-10Mar 21, 2024 to Mar 19, 2025
- State-registered IARs · 12 to 14Mar 21, 2024 to Mar 19, 2025
- Discretionary RAUM · $639M to $757MMar 21, 2024 to Mar 19, 2025
- HNW RAUM · $291M to $360MMar 21, 2024 to Mar 19, 2025
- Individual RAUM · $317M to $355MMar 21, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $1.0B to $1.1BMar 21, 2024 to Mar 19, 2025
- Pension RAUM · $1.0B to $1.1BMar 21, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · unset to 0.0Mar 21, 2024 to Mar 19, 2025
- RAUM · $1.6B to $1.9BMar 21, 2024 to Mar 19, 2025
- Wrap assets (manager) · $15.7M to $26.1MMar 21, 2024 to Mar 19, 2025
- Accounts · 2,323 to 2,481Nov 14, 2023 to Mar 21, 2024
- Advisory employees · 11 to 12Nov 14, 2023 to Mar 21, 2024
- Charity clients · 8 to 6Nov 14, 2023 to Mar 21, 2024
- Corporate clients · 0.0 to unsetNov 14, 2023 to Mar 21, 2024
- HNW clients · 76 to 90Nov 14, 2023 to Mar 21, 2024
Signals
9 dated events
- J•••• V•••••• S•••••• left H•••• I•••••••• for D•••••••• I••••••••• C••••••••• L•• (registered 2025-03-21)Oct 15, 2024 · Advisor changed firm · fact
- C•••••• A••••• P••••••• left H•••• I•••••••• for C•••••• F••••••••• L•• (registered 2025-01-22)Dec 31, 2022 · Advisor changed firm · fact
- N••••• M•••• W••••• left H•••• I•••••••• for V•••• C•••••• P•••••••• I••• (registered 2024-07-03)Aug 10, 2022 · Advisor changed firm · fact
- H•••• I•••••••• reported RAUM $1.6B, up 30% from $1.3B (2021-11-12 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- E•••••••• A•••• J•••• (Chief Financial Officer) no longer on Schedule A of H•••• I•••••••• (listed 2021-10-20, absent 2021-11-12)Nov 12, 2021 · Control person left · inference
- E•••••••• A•••• J•••• (Chief Financial Officer) appeared on Schedule A of H•••• I••••••••Mar 15, 2021 · Control person joined · fact
- J••• N•••• (Chief People Officer) appeared on Schedule A of H•••• I••••••••Mar 15, 2021 · Control person joined · fact
- Wiemer A••••• Nelson (Member) appeared on Schedule A of H•••• I••••••••Jul 20, 2020 · Control person joined · fact
- Masao Marc Kadomatsu (Member) appeared on Schedule A of H•••• I••••••••Jul 20, 2020 · Control person joined · fact
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
- i•••••••••@h•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- j•••@h•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 503-905-3100reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/human-investingreportedpublic record, Form ADV, Sep 19, 2026
- Website
- h•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 503-905-3100reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- h•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $139Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026