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
S••••••• S•••••••• C•••••• M••••••••• L••
Latest filing Jul 1, 2026
First filing on the tape Mar 29, 2012 · 28 filings
SEC status approved since Feb 1, 2006
RAUM
$275M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
90%
$249M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$68.8M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$275M as of Jul 1, 2026
Mar 29, 2012$99.8M then
HNW client RAUM$188M as of Jul 1, 2026
Mar 30, 2018$97.0M then
State-registered IARs (5.B.3)4 as of Jul 1, 2026
Mar 29, 20120 then
Employees (5.A)6 as of Jul 1, 2026
Apr 1, 20138 then
Private funds: no history
RAUM +10% over the last fiscal year+14% a year over threeIARs 6 to 4
Practice profile
derived from the filing of Jul 1, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $68.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $365,204derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 4.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $50.4M, 70 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$188M72%
- Individuals$61.2M23%
- Pension and profit-sharing plans$11.9M4.6%
- Corporations and businesses$567,5740.2%
- Individual clients
- 194reported
- HNW clients
- 86reported
- Pension plan clients
- 12reported
- Charitable clients
- n/areported
- Accounts
- 754reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $50.4M for 70 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• D• P••••••• | Corvallis, Or | May 15, 2015 | 23 y | 2 |
| G••• B••••••Certified Financial Planner, Chartered Financial Analyst | Corvallis, Or | Aug 19, 2016 | 28 y | 1 |
| A•••• R•••••• R••••• | Corvallis, Or | Sep 3, 2024 | 18 y | 0 |
| B••••••• S•••• M••••• | Corvallis, Or | Jan 1, 2025 | 25 y | 1 |
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 headcount1 left over 36 months
Left, latest
- J•••••• K•••••• G••••• to V•••• C•••••• P•••••••• I•••May 7, 2025 · RIA to RIA
- M•••••• J•••••• S•••• to M••••• C•••••• M••••••••• I•••Nov 17, 2016 · Other
Joined, latest
- B••••••• S•••• M••••• from 1•• G••••• A••••••• I••Jan 1, 2025 · Other
- G••• B•••••• from 1•• G••••• A••••••• I••Aug 19, 2016 · Other
- C•••••• D• P••••••• from L•• F•••••••• L••May 15, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• G••• · Member, Chief Investment Officer & Director Of Financial Planningcontrolsince 01/2016 · owns 10% to 25%
- C••••••• N••••••• M•••••• · Chief Compliance Officercontrolsince 01/2006 · owns 25% to 50%
- M•••••• B•••••••• S•••• · Membercontrolsince 09/2001 · owns 25% to 50%
Related persons
Schedule D 7.A
- N•••••• M• C•••••• C••insurancen
- S•••• M••••• C•• P•insurancen
- S••••••• I•••••••• S••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Corvallis, Or · principal | 4 | 0 | 0 | ||
| Lake Oswego, Or | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Lake Oswego, OR
What changed
consecutive filings, newest first
- Advisory employees · 5 to 4Mar 27, 2026 to Jul 1, 2026
- Employees · 7 to 6Mar 27, 2026 to Jul 1, 2026
- State-registered IARs · 5 to 4Mar 27, 2026 to Jul 1, 2026
- Accounts · 781 to 754Sep 26, 2025 to Mar 27, 2026
- HNW clients · 84 to 86Sep 26, 2025 to Mar 27, 2026
- Individual clients · 198 to 194Sep 26, 2025 to Mar 27, 2026
- Pension plan clients · 13 to 12Sep 26, 2025 to Mar 27, 2026
- Assets in custody · $38.9M to $50.4MSep 26, 2025 to Mar 27, 2026
- Employees · 6 to 7Sep 26, 2025 to Mar 27, 2026
- Financial planning clients · 1-10 to 11-25Sep 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $242M to $266MSep 26, 2025 to Mar 27, 2026
- HNW RAUM · $164M to $188MSep 26, 2025 to Mar 27, 2026
- Individual RAUM · $59.0M to $61.2MSep 26, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $7.7M to $9.2MSep 26, 2025 to Mar 27, 2026
- Pension RAUM · $10.2M to $11.9MSep 26, 2025 to Mar 27, 2026
- RAUM · $249M to $275MSep 26, 2025 to Mar 27, 2026
- Employees · 7 to 6Apr 30, 2025 to Sep 26, 2025
- State-registered IARs · 6 to 5Apr 30, 2025 to Sep 26, 2025
- Accounts · 728 to 781Mar 27, 2024 to Apr 30, 2025
- Advisory employees · 4 to 5Mar 27, 2024 to Apr 30, 2025
- Corporate clients · 4 to 1Mar 27, 2024 to Apr 30, 2025
- HNW clients · 69 to 84Mar 27, 2024 to Apr 30, 2025
- Individual clients · 94 to 198Mar 27, 2024 to Apr 30, 2025
- Pension plan clients · 11 to 13Mar 27, 2024 to Apr 30, 2025
- Assets in custody · $29.8M to $38.9MMar 27, 2024 to Apr 30, 2025
- Employees · 6 to 7Mar 27, 2024 to Apr 30, 2025
- Financial planning clients · 11-25 to 1-10Mar 27, 2024 to Apr 30, 2025
- State-registered IARs · 5 to 6Mar 27, 2024 to Apr 30, 2025
- Discretionary RAUM · $204M to $242MMar 27, 2024 to Apr 30, 2025
- HNW RAUM · $128M to $164MMar 27, 2024 to Apr 30, 2025
- Individual RAUM · $58.2M to $59.0MMar 27, 2024 to Apr 30, 2025
- Non-discretionary RAUM · $6.2M to $7.7MMar 27, 2024 to Apr 30, 2025
- Pension RAUM · $8.1M to $10.2MMar 27, 2024 to Apr 30, 2025
- RAUM · $210M to $249MMar 27, 2024 to Apr 30, 2025
- Accounts · 723 to 728Mar 23, 2023 to Mar 27, 2024
- Corporate clients · 3 to 4Mar 23, 2023 to Mar 27, 2024
- HNW clients · 72 to 69Mar 23, 2023 to Mar 27, 2024
- Individual clients · 194 to 94Mar 23, 2023 to Mar 27, 2024
- Pension plan clients · 12 to 11Mar 23, 2023 to Mar 27, 2024
- Assets in custody · $24.3M to $29.8MMar 23, 2023 to Mar 27, 2024
Signals
3 dated events
- J•••••• K•••••• G••••• left S••••••• S•••••••• C•••••• M••••••••• L•• for V•••• C•••••• P•••••••• I••• (registered 2025-05-08)May 7, 2025 · Advisor changed firm · fact
- R•••••• Schwartz (Member) no longer on Schedule A of S••••••• S•••••••• C•••••• M••••••••• L•• (listed 2020-06-24, absent 2021-02-10)Feb 10, 2021 · Control person left · inference
- Michelle Loretta Sorem (Member) no longer on Schedule A of S••••••• S•••••••• C•••••• M••••••••• L•• (listed 2018-03-30, absent 2019-01-31)Jan 31, 2019 · Control person left · inference
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 phone
- 541-248-2052reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 503-746-9666reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- SSCAPM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (541) 248-2052reportedpublic record, Form ADV, Jul 1, 2026
- Contact form
- sscapm.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- sscapm.com/team-memberreportedpublished by the firm, firm site, Sep 15, 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
- $68.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026