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
A•••• C•••••• M••••••••• L••
Latest filing Aug 26, 2026
First filing on the tape Mar 30, 2012 · 21 filings
SEC status approved since Jul 17, 2006
RAUM
$200M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$200M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$100M
derived; firm RAUM over IAPD count
Employees
9
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$200M as of Aug 26, 2026
Mar 30, 2012$91.6M then
HNW client RAUM$166M as of Aug 26, 2026
Mar 27, 2018$42.9M then
State-registered IARs (5.B.3)2 as of Aug 26, 2026
Feb 12, 20132 then
Employees (5.A)9 as of Aug 26, 2026
Feb 12, 20135 then
Private funds: no history
RAUM +3.9% over the last fiscal year+8.2% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Bank affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- 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
- $100MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $917,572derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -22%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$166M83%
- Individuals$33.9M17%
- Individual clients
- 60reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 218reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• L••• K••••••• | Vancouver, Wa | Jan 1, 2026 | 11 y | 0 |
| S••••• B•••••• A•••• | Vancouver, Wa | Aug 29, 2026 | 28 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 headcount2 left over 36 months
Left, latest
- P••••• M•••••• G•••••••• to S••••• O•• A••••••• G••••Jan 7, 2025 · RIA to RIA
- K•••••• C•••••• L•• to F••••• 8• I••••••••• S••••••••• L••Jan 7, 2025 · RIA to RIA
- W•••••• A•••• H••••• to L••••••••• C•••••• M••••••••• L••Jan 30, 2017 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• S•••••• B•••••• · Managing Member/Chief Compliance Officercontrolsince 04/2005 · owns less than 5%
Entity owners
- A•••• T•••• C•••••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- A•••• T•••• C••••••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Vancouver, Wa · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- L••• O•••••, OR3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Feb 3, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $192,433,350 to $200,030,786, advisors 2 to 2, private clients 140 to 109, offices 1 to 1 (2025-03-11 to 2026-02-03)peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- HNW clients · 43 to 49Mar 11, 2025 to Feb 3, 2026
- Individual clients · 97 to 60Mar 11, 2025 to Feb 3, 2026
- Discretionary RAUM · $192M to $200MMar 11, 2025 to Feb 3, 2026
- HNW RAUM · $140M to $166MMar 11, 2025 to Feb 3, 2026
- Individual RAUM · $52.1M to $33.9MMar 11, 2025 to Feb 3, 2026
- RAUM · $192M to $200MMar 11, 2025 to Feb 3, 2026
- Accounts · 268 to 218Aug 19, 2024 to Mar 11, 2025
- Advisory employees · 4 to 2Aug 19, 2024 to Mar 11, 2025
- HNW clients · 13 to 43Aug 19, 2024 to Mar 11, 2025
- Financial planning clients · unset to 0Aug 19, 2024 to Mar 11, 2025
- State-registered IARs · 4 to 2Aug 19, 2024 to Mar 11, 2025
- Discretionary RAUM · $179M to $192MAug 19, 2024 to Mar 11, 2025
- HNW RAUM · $95.2M to $140MAug 19, 2024 to Mar 11, 2025
- Individual RAUM · $84.1M to $52.1MAug 19, 2024 to Mar 11, 2025
- RAUM · $179M to $192MAug 19, 2024 to Mar 11, 2025
- State-registered IARs · 0 to 4Mar 18, 2024 to Aug 19, 2024
- Other offices · 0 to 1Mar 18, 2024 to Aug 19, 2024
- Accounts · 177 to 268Mar 29, 2023 to Mar 18, 2024
- HNW clients · 10 to 13Mar 29, 2023 to Mar 18, 2024
- Individual clients · 92 to 97Mar 29, 2023 to Mar 18, 2024
- Discretionary RAUM · $158M to $179MMar 29, 2023 to Mar 18, 2024
- HNW RAUM · $60.1M to $95.2MMar 29, 2023 to Mar 18, 2024
- Individual RAUM · $97.6M to $84.1MMar 29, 2023 to Mar 18, 2024
- RAUM · $158M to $179MMar 29, 2023 to Mar 18, 2024
- Accounts · 252 to 177Jun 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $178M to $158MJun 30, 2022 to Mar 29, 2023
- HNW RAUM · $80.8M to $60.1MJun 30, 2022 to Mar 29, 2023
- Individual RAUM · $97.4M to $97.6MJun 30, 2022 to Mar 29, 2023
- RAUM · $178M to $158MJun 30, 2022 to Mar 29, 2023
- HQ city · L••• O••••• to VANCOUVERFeb 17, 2022 to Jun 30, 2022
- HQ state · OR to WAFeb 17, 2022 to Jun 30, 2022
- Accounts · 225 to 252Mar 18, 2021 to Feb 17, 2022
- HNW clients · 4 to 10Mar 18, 2021 to Feb 17, 2022
- Individual clients · 93 to 92Mar 18, 2021 to Feb 17, 2022
- HQ city · PORTLAND to L••• O•••••Mar 18, 2021 to Feb 17, 2022
- State-registered IARs · 2 to 0Mar 18, 2021 to Feb 17, 2022
- Discretionary RAUM · $125M to $178MMar 18, 2021 to Feb 17, 2022
- HNW RAUM · $41.1M to $80.8MMar 18, 2021 to Feb 17, 2022
- Individual RAUM · $83.6M to $97.4MMar 18, 2021 to Feb 17, 2022
- RAUM · $125M to $178MMar 18, 2021 to Feb 17, 2022
Signals
2 dated events
- K•••••• C•••••• L•• left A•••• C•••••• M••••••••• L•• for F••••• 8• I••••••••• S••••••••• L•• (registered 2025-01-07)Jan 7, 2025 · Advisor changed firm · fact
- P••••• M•••••• G•••••••• left A•••• C•••••• M••••••••• L•• for S••••• O•• A••••••• G•••• (registered 2024-12-17)Jan 7, 2025 · Advisor changed firm · 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 503-292-1041reportedpublic record, Form ADV, Aug 26, 2026
- Team page
- ALLENTRUST.COM/teamreportedpublished by the firm, firm site, Sep 16, 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
- $100Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026