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

V•••••••• V•••••••• L••

Former SEC-registered adviserBend, OregonCRD 135060SEC 801-67710IAPD
Latest filing Jun 25, 2020
First filing on the tape Mar 19, 2012 · 24 filings
RAUM
$138M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$127M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$138M as of Mar 31, 2020
Mar 19, 2012$98.5M then
HNW client RAUM$113M as of Mar 31, 2020
Mar 20, 2018$115M then
State-registered IARs (5.B.3)3 as of Mar 31, 2020
Mar 19, 20120 then
Employees (5.A)5 as of Mar 31, 2020
Apr 1, 20135 then
Private funds2 as of Mar 20, 2018
Mar 21, 20141 then
RAUM -4.6% over the last fiscal year+5.2% a year over threeIARs 3 to 3offices 1 to 0
Practice profile
derived from the filing of Jun 25, 2020; every figure names its basis
RAUM per advisor
$45.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
42derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$310,804derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
7.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-4.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-6.0%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, otherreportedItem 5.G
Custody
$45.6M, 74 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$113M82%
  • Individuals$13.8M10%
  • Pension and profit-sharing plans$10.3M7.5%
  • Corporations and businesses$688,9420.5%
Individual clients
48reported
HNW clients
77reported
Pension plan clients
17reported
Charitable clients
n/areported
Accounts
443reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$45.6M for 74 clientsreported
Compensation
% of AUMreported
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
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    3 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    C•••••••• V••••••••• F•••• L•••no longer reportedHedge Fund$4.6M25Sep 29, 2017
    C•••••••• V••••••••• F•••• L•no longer reportedHedge Fund$3.4M1Sep 4, 2013
    C•••••••• T••• R••• F•••• L•••no longer reportedHedge Fund$3.4M15Sep 29, 2017
    Owners and control persons
    Schedule A and B, latest filing
    • V••••••••• W••••••• L•••••• · Manager, Member, Chief Compliance Officercontrol
      since 10/1996 · owns less than 5%
    • V••••••••• J••••••• N•••• · Trusteecontrol
      since 07/2010 · owns 50% to 75% of V•••••••• R•••••••• T••••
    • V••••••••• W••••••• L•••••• · Trusteecontrol
      since 07/2010 · owns 50% to 75% of V•••••••• R•••••••• T••••
    • G•••• A•••••• D•••• · Member
      since 07/2017 · owns 10% to 25%
    Entity owners
    • V•••••••• R•••••••• T•••• · Owner
      direct · 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 · 488 to 443
      Mar 28, 2019 to Mar 31, 2020
    • HNW clients · 88 to 77
      Mar 28, 2019 to Mar 31, 2020
    • Individual clients · 45 to 48
      Mar 28, 2019 to Mar 31, 2020
    • Pension plan clients · 15 to 17
      Mar 28, 2019 to Mar 31, 2020
    • Assets in custody · $76.5M to $45.6M
      Mar 28, 2019 to Mar 31, 2020
    • Other offices · 1 to 0
      Mar 28, 2019 to Mar 31, 2020
    • Discretionary RAUM · $144M to $138M
      Mar 28, 2019 to Mar 31, 2020
    • HNW RAUM · $121M to $113M
      Mar 28, 2019 to Mar 31, 2020
    • Individual RAUM · $14.4M to $13.8M
      Mar 28, 2019 to Mar 31, 2020
    • Pension RAUM · $8.4M to $10.3M
      Mar 28, 2019 to Mar 31, 2020
    • RAUM · $144M to $138M
      Mar 28, 2019 to Mar 31, 2020
    • Accounts · 479 to 488
      Jan 17, 2019 to Mar 28, 2019
    • Advisory activities · 2 to 3
      Jan 17, 2019 to Mar 28, 2019
    • HNW clients · 86 to 88
      Jan 17, 2019 to Mar 28, 2019
    • Individual clients · 48 to 45
      Jan 17, 2019 to Mar 28, 2019
    • Pension plan clients · 8 to 15
      Jan 17, 2019 to Mar 28, 2019
    • Pooled vehicle clients · 2.0 to unset
      Jan 17, 2019 to Mar 28, 2019
    • Assets in custody · $71.7M to $76.5M
      Jan 17, 2019 to Mar 28, 2019
    • Financial planning clients · 0 to 101-250
      Jan 17, 2019 to Mar 28, 2019
    • Private funds · 2 to unset
      Jan 17, 2019 to Mar 28, 2019
    • Discretionary RAUM · $143M to $144M
      Jan 17, 2019 to Mar 28, 2019
    • HNW RAUM · $115M to $121M
      Jan 17, 2019 to Mar 28, 2019
    • Individual RAUM · $15.1M to $14.4M
      Jan 17, 2019 to Mar 28, 2019
    • Pension RAUM · $4.4M to $8.4M
      Jan 17, 2019 to Mar 28, 2019
    • Pooled vehicle RAUM · 7903778.0 to unset
      Jan 17, 2019 to Mar 28, 2019
    • RAUM · $143M to $144M
      Jan 17, 2019 to Mar 28, 2019
    • Related bank · true to false
      Jan 17, 2019 to Mar 28, 2019
    • Accounts · 473 to 479
      Sep 29, 2017 to Mar 20, 2018
    • Advisory activities · 3 to 2
      Sep 29, 2017 to Mar 20, 2018
    • Corporate clients · unset to 1.0
      Sep 29, 2017 to Mar 20, 2018
    • HNW clients · unset to 86.0
      Sep 29, 2017 to Mar 20, 2018
    • Individual clients · unset to 48.0
      Sep 29, 2017 to Mar 20, 2018
    • Pension plan clients · unset to 8.0
      Sep 29, 2017 to Mar 20, 2018
    • Pooled vehicle clients · unset to 2.0
      Sep 29, 2017 to Mar 20, 2018
    • Assets in custody · unset to 71656152.0
      Sep 29, 2017 to Mar 20, 2018
    • Custody of client assets · false to true
      Sep 29, 2017 to Mar 20, 2018
    • Other offices · unset to 1.0
      Sep 29, 2017 to Mar 20, 2018
    • Discretionary RAUM · $136M to $143M
      Sep 29, 2017 to Mar 20, 2018
    • HNW RAUM · unset to 114710360.0
      Sep 29, 2017 to Mar 20, 2018
    • Individual RAUM · unset to 15081855.0
      Sep 29, 2017 to Mar 20, 2018
    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