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.
Former SEC-registered adviser
F•••••• C•••••• M••••••••• L••
Latest filing Feb 18, 2021
First filing on the tape Mar 9, 2012 · 18 filings
RAUM
$3.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$3.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$3.2M as of Feb 18, 2021
Mar 9, 2012$6.7M then
HNW client RAUM$0 as of Feb 18, 2021
Mar 21, 2018$0 then
State-registered IARs (5.B.3)1 as of Feb 18, 2021
Mar 9, 20120 then
Employees (5.A)2 as of Feb 18, 2021
Feb 13, 20131 then
Private funds: no history
RAUM -8.6% over the last fiscal year-23% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 18, 2021; every figure names its basis
- RAUM per advisor
- $3.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 11derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $188,235derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, subscriptionreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminars, otherreportedItem 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
- Individuals$3.2M100%
- Individual clients
- 11reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 17reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
Left, latest
- C••• D•••••• F•••••• to Z•• T••••• C•••••• L••Apr 20, 2021 · RIA to a state-registered adviser
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• D•••••• E••••• · Chief Compliance Officer/Managing Membercontrolsince 10/2004 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Portland, OR1 employees
What changed
consecutive filings, newest first
- Accounts · 18 to 17Jun 5, 2020 to Feb 18, 2021
- Discretionary RAUM · $3.5M to $3.2MJun 5, 2020 to Feb 18, 2021
- Individual RAUM · $3.5M to $3.2MJun 5, 2020 to Feb 18, 2021
- RAUM · $3.5M to $3.2MJun 5, 2020 to Feb 18, 2021
- Accounts · 21 to 18Mar 8, 2019 to Jan 8, 2020
- Individual clients · 19 to 11Mar 8, 2019 to Jan 8, 2020
- Discretionary RAUM · $6.4M to $3.5MMar 8, 2019 to Jan 8, 2020
- Individual RAUM · $6.4M to $3.5MMar 8, 2019 to Jan 8, 2020
- RAUM · $6.4M to $3.5MMar 8, 2019 to Jan 8, 2020
- Accounts · 19 to 21Mar 21, 2018 to Mar 8, 2019
- Discretionary RAUM · $7.1M to $6.4MMar 21, 2018 to Mar 8, 2019
- Individual RAUM · $7.1M to $6.4MMar 21, 2018 to Mar 8, 2019
- RAUM · $7.1M to $6.4MMar 21, 2018 to Mar 8, 2019
- Accounts · 43 to 19Mar 29, 2017 to Mar 21, 2018
- Advisory employees · 1 to 2Mar 29, 2017 to Mar 21, 2018
- Advisory activities · 3 to 4Mar 29, 2017 to Mar 21, 2018
- Charity clients · unset to 0.0Mar 29, 2017 to Mar 21, 2018
- Corporate clients · unset to 0.0Mar 29, 2017 to Mar 21, 2018
- HNW clients · unset to 0.0Mar 29, 2017 to Mar 21, 2018
- Individual clients · unset to 19.0Mar 29, 2017 to Mar 21, 2018
- Pension plan clients · unset to 0.0Mar 29, 2017 to Mar 21, 2018
- Pooled vehicle clients · unset to 0.0Mar 29, 2017 to Mar 21, 2018
- Employees · 1 to 2Mar 29, 2017 to Mar 21, 2018
- Other offices · unset to 1.0Mar 29, 2017 to Mar 21, 2018
- Discretionary RAUM · $9.7M to $7.1MMar 29, 2017 to Mar 21, 2018
- HNW RAUM · unset to 0.0Mar 29, 2017 to Mar 21, 2018
- Individual RAUM · unset to 7100000.0Mar 29, 2017 to Mar 21, 2018
- Pension RAUM · unset to 0.0Mar 29, 2017 to Mar 21, 2018
- Pooled vehicle RAUM · unset to 0.0Mar 29, 2017 to Mar 21, 2018
- RAUM · $9.7M to $7.1MMar 29, 2017 to Mar 21, 2018
- Accounts · 45 to 43Feb 5, 2016 to Mar 16, 2017
- Discretionary RAUM · $10.5M to $9.7MFeb 5, 2016 to Mar 16, 2017
- RAUM · $10.5M to $9.7MFeb 5, 2016 to Mar 16, 2017
- Discretionary RAUM · $10.6M to $10.5MFeb 20, 2015 to Feb 5, 2016
- RAUM · $10.6M to $10.5MFeb 20, 2015 to Feb 5, 2016
- Accounts · 22 to 45Aug 18, 2014 to Jan 16, 2015
- Discretionary RAUM · $4.1M to $10.6MAug 18, 2014 to Jan 16, 2015
- RAUM · $4.1M to $10.6MAug 18, 2014 to Jan 16, 2015
- Advisory activities · 2 to 3Jul 30, 2014 to Aug 14, 2014
- Advisory activities · 1 to 2Mar 6, 2014 to Jul 30, 2014
Signals
1 dated events
- F•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 16, 2015 · First SEC registration · fact
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