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
C•••• M••••••• A•••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Dec 7, 2011 · 41 filings
SEC status approved since Jan 3, 2008
RAUM
$1.2B
reported, Item 5.F
Discretionary
74%
of RAUM
Private clients
68%
$815M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$200M
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$1.2B as of Mar 24, 2026
Mar 20, 2012$251M then
HNW client RAUM$596M as of Mar 24, 2026
Mar 29, 2018$185M then
State-registered IARs (5.B.3)6 as of Mar 24, 2026
Mar 20, 20120 then
Employees (5.A)10 as of Mar 24, 2026
Mar 27, 20137 then
Private funds: no history
RAUM +13% over the last fiscal year+18% a year over threeIARs 7 to 6
Practice profile
derived from the filing of Mar 24, 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
- 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $200MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 139derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $492,298derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 74%derivedof RAUM
- Institutional
- 31%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $224M, 285 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
- 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)
- 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$596M50%
- Pension and profit-sharing plans$377M31%
- Individuals$219M18%
- Corporations and businesses$5.2M0.4%
- Charitable organizations$607,8040.1%
- Individual clients
- 593reported
- HNW clients
- 239reported
- Pension plan clients
- 38reported
- Charitable clients
- 13reported
- Accounts
- 2,433reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $224M for 285 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.68 fund_share=0.0 institutional_share=0.31 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• D••• P••••••Chartered Financial Consultant | Lake Oswego, Or | Aug 4, 2006 | 34 y | 1 |
| D••••• J•••• N••••Certified Financial Planner | Lake Oswego, Or | Apr 4, 2008 | 29 y | 1 |
| N••••• C•••••Certified Financial Planner | Tigard, Or | Feb 6, 2013 | 16 y | 0 |
| R•••••• R•••••• R•••••Certified Financial Planner | Portland, Or | Feb 6, 2013 | 28 y | 2 |
| T••• V•• S••••••••• | Lake Oswego, Or | Jun 29, 2016 | 22 y | 2 |
| A••• L•• W•••• | Lake Oswego, Or | Jun 29, 2016 | 28 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- T••• V•• S••••••••• from S••••••• I••••••••• A•••••••• I•••Jun 29, 2016 · Other
- A••• L•• W•••• from N•• E•••••• S••••••••• C•••••••••Jun 29, 2016 · Other
- R•••••• R•••••• R••••• from L•• F•••••••• L••Feb 6, 2013 · Other
- D••••• J•••• N•••• from N•• E•••••• S••••••••• C•••••••••Apr 4, 2008 · Other
- B•••••• D••• P•••••• from N•• E•••••• S••••••••• C•••••••••Aug 4, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• B••••••• D••• · Chief Compliance Officercontrolsince 04/2019 · owns less than 5%
- W••••• A•••• L•• · Managing Membercontrolsince 07/2006 · owns 50% to 75%
- P••••••• B••••••• D••• · Trusteecontrolsince 10/2018 · owns 50% to 75% of B••• A•• G••• P•••••• R•••••••• T••••• D•••• O•••••• 1•• 2•••
- P••••••• G••• · Trusteecontrolsince 10/2018 · owns 50% to 75% of B••• A•• G••• P•••••• R•••••••• T••••• D•••• O•••••• 1•• 2•••
Entity owners
- B••• A•• G••• P•••••• R•••••••• T••••• D•••• O•••••• 1•• 2••• · Managing Memberdirect · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lake Oswego, Or · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Portland, OR1 employees
- Tigard, OR1 employees
What changed
consecutive filings, newest first
- Accounts · 2,612 to 2,433Nov 1, 2025 to Mar 24, 2026
- Charity clients · unset to 13.0Nov 1, 2025 to Mar 24, 2026
- Corporate clients · 23 to 7Nov 1, 2025 to Mar 24, 2026
- HNW clients · 235 to 239Nov 1, 2025 to Mar 24, 2026
- Individual clients · 583 to 593Nov 1, 2025 to Mar 24, 2026
- Pension plan clients · 36 to 38Nov 1, 2025 to Mar 24, 2026
- Assets in custody · $215M to $224MNov 1, 2025 to Mar 24, 2026
- State-registered IARs · 7 to 6Nov 1, 2025 to Mar 24, 2026
- Discretionary RAUM · $760M to $892MNov 1, 2025 to Mar 24, 2026
- HNW RAUM · $542M to $596MNov 1, 2025 to Mar 24, 2026
- Individual RAUM · $195M to $219MNov 1, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $305M to $306MNov 1, 2025 to Mar 24, 2026
- Pension RAUM · $315M to $377MNov 1, 2025 to Mar 24, 2026
- RAUM · $1.1B to $1.2BNov 1, 2025 to Mar 24, 2026
- Financial planning clients · 1-10 to 1-10Apr 17, 2025 to Jul 22, 2025
- Accounts · 2,364 to 2,612Jul 12, 2024 to Apr 17, 2025
- Corporate clients · 25 to 23Jul 12, 2024 to Apr 17, 2025
- HNW clients · 194 to 235Jul 12, 2024 to Apr 17, 2025
- Individual clients · 535 to 583Jul 12, 2024 to Apr 17, 2025
- Pension plan clients · 30 to 36Jul 12, 2024 to Apr 17, 2025
- Assets in custody · $98.1M to $215MJul 12, 2024 to Apr 17, 2025
- Discretionary RAUM · $618M to $760MJul 12, 2024 to Apr 17, 2025
- HNW RAUM · $414M to $542MJul 12, 2024 to Apr 17, 2025
- Individual RAUM · $185M to $195MJul 12, 2024 to Apr 17, 2025
- Non-discretionary RAUM · $252M to $305MJul 12, 2024 to Apr 17, 2025
- Pension RAUM · $260M to $315MJul 12, 2024 to Apr 17, 2025
- RAUM · $870M to $1.1BJul 12, 2024 to Apr 17, 2025
- Accounts · 2,228 to 2,364Nov 13, 2023 to Mar 27, 2024
- Corporate clients · 7 to 25Nov 13, 2023 to Mar 27, 2024
- HNW clients · 155 to 194Nov 13, 2023 to Mar 27, 2024
- Individual clients · 555 to 535Nov 13, 2023 to Mar 27, 2024
- Pension plan clients · 31 to 30Nov 13, 2023 to Mar 27, 2024
- Assets in custody · $183M to $98.1MNov 13, 2023 to Mar 27, 2024
- Discretionary RAUM · $522M to $618MNov 13, 2023 to Mar 27, 2024
- HNW RAUM · $321M to $414MNov 13, 2023 to Mar 27, 2024
- Individual RAUM · $185M to $185MNov 13, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $205M to $252MNov 13, 2023 to Mar 27, 2024
- Pension RAUM · $213M to $260MNov 13, 2023 to Mar 27, 2024
- RAUM · $727M to $870MNov 13, 2023 to Mar 27, 2024
- Accounts · 1,932 to 2,228Nov 17, 2022 to Feb 15, 2023
Signals
2 dated events
- Gina Patrick (Trustee) appeared on Schedule A of C•••• M••••••• A•••••••• L••Mar 4, 2022 · Control person joined · fact
- C•••• M••••••• A•••••••• L•• reported RAUM $637.5M, up 27% from $500.5M (2019-12-20 to 2020-03-20)Mar 20, 2020 · RAUM change · derived
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 email
- a••@c•••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- j•••••@c•••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- m•••••••••@c•••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 503-224-6868reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 503-224-6887reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-826-2739reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- w••.c•••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 503-224-6868reportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- c•••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- c•••••.comreportedpublished 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
- $200Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026