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.

Former SEC-registered adviser

Retirement Asset Management, LLC

Former SEC-registered adviserBellevue, WashingtonCRD 140866SEC 801-67053IAPD
Latest filing Apr 30, 2012
First filing on the tape Nov 8, 2011 · 8 filings
RAUM
$16.1M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$16.1M as of Apr 30, 2012
Nov 8, 2011$174M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 30, 2012; 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
unknownderivedHNW RAUM over HNW clients
Average account
$214,229derivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
75reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
Left, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Evan Taylor Drake · Chief Investment Officercontrol
    since 01/2012 · owns less than 5%
  • Hubbard Luellen Lockwood · Chief Operating Officer/Chief Compliance Officercontrol
    since 09/2007 · owns less than 5%
  • Keith David Welty · Presidentcontrol
    since 01/2007 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Lake Oswego, OR
What changed
consecutive filings, newest first
  • Accounts · 693 to 75
    Mar 29, 2012 to Apr 30, 2012
  • Discretionary RAUM · $161M to $15.1M
    Mar 29, 2012 to Apr 30, 2012
  • Non-discretionary RAUM · $2.0M to $1.0M
    Mar 29, 2012 to Apr 30, 2012
  • RAUM · $163M to $16.1M
    Mar 29, 2012 to Apr 30, 2012
  • Accounts · 714 to 693
    Feb 10, 2012 to Mar 29, 2012
  • Discretionary RAUM · $174M to $161M
    Feb 10, 2012 to Mar 29, 2012
  • Non-discretionary RAUM · $0 to $2.0M
    Feb 10, 2012 to Mar 29, 2012
  • RAUM · $174M to $163M
    Feb 10, 2012 to Mar 29, 2012
  • Insurance-licensed employees · 0 to 1
    Jan 23, 2012 to Jan 30, 2012
  • Related adviser · false to true
    Jan 9, 2012 to Jan 23, 2012
  • Insurance-licensed employees · unset to 0.0
    Dec 7, 2011 to Jan 9, 2012
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