DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

P•••••• C••••••••• A•••••••• I•••

Former SEC-registered adviserFormer SEC adviser· Portland, Oregon

Former SEC-registered adviser, based in Portland, Oregon.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2016-02-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: Not applicable
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: Not applicable
Private clients: Not established

Advisors Advisor movement Where the RAUM sits

As of 2016-02-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 18 Form ADV filings for this adviser, the latest 10.7 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 143673 · SEC 801-67820 · 18 filingsShow

CRD 143673SEC 801-67820First filing on the tape Dec 13, 2011, latest Feb 23, 2016IAPD

RAUM

n/a

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

reported on Schedule D

History

18 filings and snapshots on the tape

RAUM: no history

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Feb 23, 2016

Mar 12, 20120 then

Employees (5.A)1 as of Feb 23, 2016

Jan 17, 201326 then

Private funds: no history

RAUM n/a over the last fiscal yearIARs 5 to 0

Practice profile

derived from the filing of Feb 23, 2016; 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: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, 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: -100%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: hourly, fixed feesreportedItem 5.E
Advisory activities: pension consulting, publicationsreportedItem 5.G
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

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: n/areported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: 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

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C•••••••• K••• R••• · Managing Director And Chief Compliance Officercontrol
since 07/2011 · owns less than 5%
C•••••••• J•••••• F•• · Managing Directorcontrol
since 02/2010 · owns less than 5%
E••••• A••••• R••••• · Managing Directorcontrol
since 02/2007 · owns 75% or more
F•••••• C••••••••• · Managing Directorcontrol
since 01/2010 · owns less than 5%
M••• M••••••• J• · Managing Directorcontrol
since 02/2010 · owns less than 5%
R••• N•••• A•••• · Managing Directorcontrol
since 02/2010 · owns less than 5%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

New York, NY

What changed

consecutive filings, newest first

Advisory employees · 24 to 1
Mar 3, 2015 to Feb 23, 2016
Advisory activities · 3 to 2
Mar 3, 2015 to Feb 23, 2016
Employees · 24 to 1
Mar 3, 2015 to Feb 23, 2016
State-registered IARs · 5 to 0
Mar 3, 2015 to Feb 23, 2016
Advisory employees · 27 to 24
Jul 24, 2014 to Mar 3, 2015
Advisory activities · 1 to 3
Jul 24, 2014 to Mar 3, 2015
Employees · 27 to 24
Jul 24, 2014 to Mar 3, 2015
State-registered IARs · 2 to 5
Jul 24, 2014 to Mar 3, 2015
Advisory employees · 25 to 27
Dec 23, 2013 to Mar 19, 2014
Employees · 26 to 27
Dec 23, 2013 to Mar 19, 2014
State-registered IARs · 4 to 2
Dec 23, 2013 to Mar 19, 2014
Advisory employees · unset to 25.0
May 22, 2012 to Jan 17, 2013
Employees · unset to 26.0
May 22, 2012 to Jan 17, 2013
State-registered IARs · 0 to 4
May 22, 2012 to Jan 17, 2013
Insurance-licensed employees · 2 to 0
Mar 12, 2012 to Apr 11, 2012
Insurance-licensed employees · 0 to 2
Jan 10, 2012 to Mar 12, 2012
Insurance-licensed employees · unset to 0.0
Dec 13, 2011 to Jan 10, 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