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

B••••• R••• P•••••••

Former SEC-registered adviserPortland, OregonCRD 136906SEC 801-64742IAPD
Legal name M••••••• F••••••••• L••
Latest filing Nov 19, 2018
First filing on the tape Jan 18, 2012 · 13 filings
RAUM
$199M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
99%
$197M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$199M as of Mar 30, 2018
Jan 18, 2012$90.6M then
HNW client RAUM: $182M
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Feb 19, 20130 then
Employees (5.A)3 as of Mar 30, 2018
Feb 19, 20131 then
Private funds: no history
RAUM +8.3% over the last fiscal year+6.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Nov 19, 2018; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$292,641derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+8.3%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Custody
$109M, 122 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$182M92%
  • Individuals$14.5M7.3%
  • Pension and profit-sharing plans$2.4M1.2%
Individual clients
44reported
HNW clients
120reported
Pension plan clients
2reported
Charitable clients
n/areported
Accounts
681reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$109M for 122 clientsreported
Compensation
% of AUM, fixed, 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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H••••• B••••• W• · Membercontrol
    since 01/2010 · owns 50% to 75%
  • L••••••• E•••• R•••••• · Managing Member/Chief Compliance Officercontrol
    since 08/2002 · owns 50% to 75%
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 · 210 to 681
    Mar 16, 2017 to Mar 30, 2018
  • HNW clients · unset to 120.0
    Mar 16, 2017 to Mar 30, 2018
  • Individual clients · unset to 44.0
    Mar 16, 2017 to Mar 30, 2018
  • Pension plan clients · unset to 2.0
    Mar 16, 2017 to Mar 30, 2018
  • Assets in custody · unset to 109000000.0
    Mar 16, 2017 to Mar 30, 2018
  • Custody of client assets · false to true
    Mar 16, 2017 to Mar 30, 2018
  • Employees · 2 to 3
    Mar 16, 2017 to Mar 30, 2018
  • Other offices · unset to 0.0
    Mar 16, 2017 to Mar 30, 2018
  • Discretionary RAUM · $176M to $189M
    Mar 16, 2017 to Mar 30, 2018
  • HNW RAUM · unset to 182359360.0
    Mar 16, 2017 to Mar 30, 2018
  • Individual RAUM · unset to 14537864.0
    Mar 16, 2017 to Mar 30, 2018
  • Non-discretionary RAUM · $8.6M to $10.7M
    Mar 16, 2017 to Mar 30, 2018
  • Pension RAUM · unset to 2391010.0
    Mar 16, 2017 to Mar 30, 2018
  • RAUM · $184M to $199M
    Mar 16, 2017 to Mar 30, 2018
  • Accounts · 239 to 210
    Feb 8, 2016 to Mar 16, 2017
  • Employees · 3 to 2
    Feb 8, 2016 to Mar 16, 2017
  • Discretionary RAUM · $161M to $176M
    Feb 8, 2016 to Mar 16, 2017
  • Non-discretionary RAUM · $9.6M to $8.6M
    Feb 8, 2016 to Mar 16, 2017
  • RAUM · $171M to $184M
    Feb 8, 2016 to Mar 16, 2017
  • Accounts · 714 to 239
    Jan 16, 2015 to Feb 8, 2016
  • Advisory employees · 4 to 2
    Jan 16, 2015 to Feb 8, 2016
  • Employees · 4 to 3
    Jan 16, 2015 to Feb 8, 2016
  • Discretionary RAUM · $156M to $161M
    Jan 16, 2015 to Feb 8, 2016
  • Non-discretionary RAUM · $10.0M to $9.6M
    Jan 16, 2015 to Feb 8, 2016
  • RAUM · $166M to $171M
    Jan 16, 2015 to Feb 8, 2016
  • Accounts · 632 to 714
    Mar 11, 2014 to Jan 16, 2015
  • Advisory employees · 3 to 4
    Mar 11, 2014 to Jan 16, 2015
  • Employees · 3 to 4
    Mar 11, 2014 to Jan 16, 2015
  • Discretionary RAUM · $138M to $156M
    Mar 11, 2014 to Jan 16, 2015
  • Non-discretionary RAUM · $7.3M to $10.0M
    Mar 11, 2014 to Jan 16, 2015
  • RAUM · $145M to $166M
    Mar 11, 2014 to Jan 16, 2015
  • Accounts · 295 to 632
    Nov 18, 2013 to Mar 11, 2014
  • Advisory employees · 2 to 3
    Nov 18, 2013 to Mar 11, 2014
  • Employees · 2 to 3
    Nov 18, 2013 to Mar 11, 2014
  • Discretionary RAUM · $132M to $138M
    Nov 18, 2013 to Mar 11, 2014
  • Non-discretionary RAUM · $7.4M to $7.3M
    Nov 18, 2013 to Mar 11, 2014
  • RAUM · $140M to $145M
    Nov 18, 2013 to Mar 11, 2014
  • Advisory employees · 1 to 2
    Feb 19, 2013 to Nov 18, 2013
  • Employees · 1 to 2
    Feb 19, 2013 to Nov 18, 2013
  • Discretionary RAUM · $111M to $132M
    Feb 19, 2013 to Nov 18, 2013
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