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

R••••••••• P••••••• S••••••••• I•••

Independent wealth managerAshland, OregonCRD 139358SEC 801-66205websiteIAPD
Legal name S• • P• F••••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 12, 2012 · 17 filings
SEC status approved since Feb 15, 2006
RAUM
$371M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$371M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$185M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$371M as of Mar 31, 2026
Mar 12, 2012$184M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 12, 20120 then
Employees (5.A)2 as of Mar 31, 2026
May 1, 20134 then
Private funds: no history
RAUM +15% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
  • Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$185MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$224,464derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%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, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$371M100%
Individual clients
556reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,651reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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
NameBranchHere sinceIn industryPrior firms
C••• M•••••• S••••Certified Financial PlannerAshland, OrSep 6, 201930 y1
C••••••••• P••••••••Ashland, OrNov 17, 202519 y1
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • P••••••••• C••••••••• · Managing Partnercontrol
      since 04/2014 · owns 50% to 75%
    • S••••• C•••• M•••••• · Chief Compliance Officercontrol
      since 02/2006 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Ashland, Or · principal210
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    ADV anomalies
    1 against comparable advisers; where to look, not conclusions
    • account count surgeChange between filings · filing Mar 31, 2026
      accounts (Item 5.F.2.f) moved from 1,053.0 to 1,651.0 (+57.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +5.0% (3687 comparable advisers, 96.0th percentile of changes)
      peers: independent wealth managers, $100M to $500M (3,687) · 96% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 1,053 to 1,651
      Mar 28, 2025 to Mar 31, 2026
    • Advisory employees · 0 to 1
      Mar 28, 2025 to Mar 31, 2026
    • Individual clients · 525 to 556
      Mar 28, 2025 to Mar 31, 2026
    • Discretionary RAUM · $324M to $371M
      Mar 28, 2025 to Mar 31, 2026
    • Individual RAUM · $324M to $371M
      Mar 28, 2025 to Mar 31, 2026
    • RAUM · $324M to $371M
      Mar 28, 2025 to Mar 31, 2026
    • Accounts · 1,366 to 1,053
      Apr 16, 2024 to Mar 28, 2025
    • Individual clients · 479 to 525
      Apr 16, 2024 to Mar 28, 2025
    • Financial planning clients · 51-100 to 51-100
      Apr 16, 2024 to Mar 28, 2025
    • Discretionary RAUM · $268M to $324M
      Apr 16, 2024 to Mar 28, 2025
    • Individual RAUM · $268M to $324M
      Apr 16, 2024 to Mar 28, 2025
    • RAUM · $268M to $324M
      Apr 16, 2024 to Mar 28, 2025
    • Accounts · 828 to 1,366
      Apr 18, 2023 to Apr 16, 2024
    • Individual clients · 419 to 479
      Apr 18, 2023 to Apr 16, 2024
    • Discretionary RAUM · $248M to $268M
      Apr 18, 2023 to Apr 16, 2024
    • Individual RAUM · $248M to $268M
      Apr 18, 2023 to Apr 16, 2024
    • RAUM · $248M to $268M
      Apr 18, 2023 to Apr 16, 2024
    • Accounts · 818 to 828
      Jul 6, 2022 to Apr 18, 2023
    • Individual clients · 405 to 419
      Jul 6, 2022 to Apr 18, 2023
    • Discretionary RAUM · $269M to $248M
      Jul 6, 2022 to Apr 18, 2023
    • Individual RAUM · $269M to $248M
      Jul 6, 2022 to Apr 18, 2023
    • RAUM · $269M to $248M
      Jul 6, 2022 to Apr 18, 2023
    • Accounts · 784 to 818
      May 18, 2021 to Jul 6, 2022
    • Individual clients · 389 to 405
      May 18, 2021 to Jul 6, 2022
    • Discretionary RAUM · $231M to $269M
      May 18, 2021 to Jul 6, 2022
    • Individual RAUM · $231M to $269M
      May 18, 2021 to Jul 6, 2022
    • RAUM · $231M to $269M
      May 18, 2021 to Jul 6, 2022
    • Accounts · 932 to 784
      Jun 12, 2020 to May 18, 2021
    • Advisory employees · 2 to 0
      Jun 12, 2020 to May 18, 2021
    • Individual clients · 332 to 389
      Jun 12, 2020 to May 18, 2021
    • Financial planning clients · 101-250 to 51-100
      Jun 12, 2020 to May 18, 2021
    • State-registered IARs · 2 to 0
      Jun 12, 2020 to May 18, 2021
    • Discretionary RAUM · $206M to $231M
      Jun 12, 2020 to May 18, 2021
    • Individual RAUM · $206M to $231M
      Jun 12, 2020 to May 18, 2021
    • RAUM · $206M to $231M
      Jun 12, 2020 to May 18, 2021
    • Accounts · 815 to 932
      Aug 28, 2019 to Jun 12, 2020
    • Individual clients · 325 to 332
      Aug 28, 2019 to Jun 12, 2020
    • Discretionary RAUM · $19.9M to $206M
      Aug 28, 2019 to Jun 12, 2020
    • Individual RAUM · $215M to $206M
      Aug 28, 2019 to Jun 12, 2020
    • Non-discretionary RAUM · $195M to $0
      Aug 28, 2019 to Jun 12, 2020
    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.
    How to reach
    public business contact points only, each with its source
    Business phone
    541-482-0138reportedpublished by the firm, firm site, Sep 15, 2026
    Website
    H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    541-482-0138reportedpublic record, Form ADV, Mar 31, 2026
    Contact form
    retirementplanningspecialists.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
    Team page
    retirementplanningspecialists.com/team-member-01reportedpublished 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
    $185Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026