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
P••••• F••••••••
Wealth manager with institutional or fund businessPortland, OregonCRD 144469SEC 801-115031websiteIAPD
Legal name P••••• A••••••••• I•••
Latest filing Mar 27, 2026
First filing on the tape Mar 19, 2019 · 18 filings
SEC status approved since Apr 18, 2019
RAUM
$702M
reported, Item 5.F
Discretionary
58%
of RAUM
Private clients
22%
$154M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$78.0M
derived; firm RAUM over IAPD count
Employees
10
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$702M as of Mar 27, 2026
Mar 27, 2020$419M then
HNW client RAUM$93.0M as of Mar 27, 2026
Mar 27, 2020$18.2M then
State-registered IARs (5.B.3)9 as of Mar 27, 2026
Mar 27, 20206 then
Employees (5.A)10 as of Mar 27, 2026
Mar 27, 20209 then
Private funds: no history
RAUM +15% over the last fiscal year+13% a year over threeIARs 7 to 9
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- 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
- $78.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 58%derivedof RAUM
- Institutional
- 78%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +29%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.6%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 consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $199M, 322 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$547M78%
- High-net-worth individuals$93.0M13%
- Individuals$61.2M8.7%
- Individual clients
- 195reported
- HNW clients
- 49reported
- Pension plan clients
- 102reported
- Charitable clients
- n/areported
- Accounts
- 352reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $199M for 322 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.22 fund_share=0.0 institutional_share=0.78 related_bd=false related_bank=false bd_reps=8.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• Q••••••• B••••••Certified Financial Planner | Portland, Or | Jun 19, 2007 | 23 y | 1 |
| M•••••• A•••• P•••••Certified Financial Planner | Portland, Or | Jun 25, 2007 | 39 y | 0 |
| R••••• C•••••• B••••••Certified Financial Planner, Chartered Financial Consultant | Portland, Or | Apr 8, 2010 | 41 y | 0 |
| G••••••• D•••••• L••••••Certified Financial Planner | Portland, Or | Feb 14, 2013 | 23 y | 2 |
| T••••• L••••• D••••••••Chartered Financial Analyst | Portland, Or | Feb 25, 2013 | 20 y | 0 |
| W•••••• A•••• P••••• | Portland, Or | Feb 15, 2019 | 10 y | 0 |
| C•••••• W•••••• | Portland, Or | Jan 27, 2025 | 10 y | 0 |
| J•••• D•••• T••• | Portland, Or | Apr 2, 2025 | 11 y | 0 |
| W•••••• R••••• S•••••Certified Financial Planner | Portland, Or | Sep 30, 2025 | 10 y | 3 |
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 headcount1 left over 36 months
Left, latest
- A•••••• R•••• C••••• to M• H••••••• S••••••••• I•••Jun 12, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- W•••••• R••••• S••••• from A••••••••• F•••••••• S•••••••• L••Sep 30, 2025 · Affiliated broker-dealer or bank to independent RIA
- A•••••• R•••• C••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 28, 2022 · Wirehouse to independent RIA
- G••••••• D•••••• L•••••• from A••••••••• F•••••••• S•••••••• L••Feb 14, 2013 · Other
- C•••• Q••••••• B•••••• from A••••••••• F•••••••• S•••••••• L••Jun 19, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••••• T•••••• L••••• · Chief Investment Officer, Shareholdercontrolsince 12/2018 · owns 10% to 25%
- P•••••• M••••••• A•••• · Presidentcontrolsince 06/2000 · owns 50% to 75%
- P•••••• W••••••• A•••• · Cco/Director, Retirement Plan Services, Shareholdercontrolsince 12/2018 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Portland, Or · principal | 9 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 27, 2026institutional share of RAUM of 78% against a peer median of 2% (1482 comparable advisers, 100.0th percentile, 25.8 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 100% percentile
- business activity changedChange between filings · filing Mar 27, 2026wrap fee program participation (Item 5.I): yes on the filing of 2025-10-09, no on the filing of 2026-03-27peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 485 to 352Oct 9, 2025 to Mar 27, 2026
- Advisory employees · 7 to 8Oct 9, 2025 to Mar 27, 2026
- BD registered reps · 7 to 8Oct 9, 2025 to Mar 27, 2026
- HNW clients · 36 to 49Oct 9, 2025 to Mar 27, 2026
- Individual clients · 212 to 195Oct 9, 2025 to Mar 27, 2026
- Pension plan clients · 99 to 102Oct 9, 2025 to Mar 27, 2026
- Assets in custody · $75.4M to $199MOct 9, 2025 to Mar 27, 2026
- Employees · 9 to 10Oct 9, 2025 to Mar 27, 2026
- State-registered IARs · 7 to 9Oct 9, 2025 to Mar 27, 2026
- Discretionary RAUM · $324M to $410MOct 9, 2025 to Mar 27, 2026
- HNW RAUM · $69.6M to $93.0MOct 9, 2025 to Mar 27, 2026
- Individual RAUM · $62.9M to $61.2MOct 9, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $288M to $291MOct 9, 2025 to Mar 27, 2026
- Pension RAUM · $480M to $547MOct 9, 2025 to Mar 27, 2026
- RAUM · $613M to $702MOct 9, 2025 to Mar 27, 2026
- Wrap assets (manager) · 0.0 to unsetOct 9, 2025 to Mar 27, 2026
- Wrap assets (sponsor) · 162496215.0 to unsetOct 9, 2025 to Mar 27, 2026
- Wrap assets (manager) · unset to 0.0Mar 31, 2025 to Oct 9, 2025
- Wrap assets (sponsor) · unset to 162496215.0Mar 31, 2025 to Oct 9, 2025
- RAUM · $553M to $613MJul 19, 2024 to Mar 31, 2025
- Accounts · 475 to 485Jul 19, 2024 to Mar 31, 2025
- Advisory employees · 6 to 7Jul 19, 2024 to Mar 31, 2025
- HNW clients · 30 to 36Jul 19, 2024 to Mar 31, 2025
- Individual clients · 201 to 212Jul 19, 2024 to Mar 31, 2025
- Pension plan clients · 100 to 99Jul 19, 2024 to Mar 31, 2025
- Assets in custody · $60.1M to $75.4MJul 19, 2024 to Mar 31, 2025
- Financial planning clients · 26-50 to 26-50Jul 19, 2024 to Mar 31, 2025
- Discretionary RAUM · $277M to $324MJul 19, 2024 to Mar 31, 2025
- HNW RAUM · $58.6M to $69.6MJul 19, 2024 to Mar 31, 2025
- Individual RAUM · $65.2M to $62.9MJul 19, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $276M to $288MJul 19, 2024 to Mar 31, 2025
- Pension RAUM · $429M to $480MJul 19, 2024 to Mar 31, 2025
- Accounts · 440 to 475May 1, 2023 to Mar 30, 2024
- HNW clients · 43 to 30May 1, 2023 to Mar 30, 2024
- Individual clients · 190 to 201May 1, 2023 to Mar 30, 2024
- Pension plan clients · 97 to 100May 1, 2023 to Mar 30, 2024
- Assets in custody · $52.3M to $60.1MMay 1, 2023 to Mar 30, 2024
- Discretionary RAUM · $238M to $277MMay 1, 2023 to Mar 30, 2024
- HNW RAUM · $75.3M to $58.6MMay 1, 2023 to Mar 30, 2024
- Individual RAUM · $32.8M to $65.2MMay 1, 2023 to Mar 30, 2024
Signals
4 dated events
- A•••••• R•••• C••••• left P••••• F•••••••• for M• H••••••• S••••••••• I••• (registered 2024-05-06)Jun 12, 2024 · Advisor changed firm · fact
- Collins R••••• Beswick (Chief Compliance Officer) no longer on Schedule A of P••••• F•••••••• (listed 2023-05-01, absent 2024-03-30)Mar 30, 2024 · Control person left · inference
- Collins R••••• Beswick (Chief Compliance Officer) appeared on Schedule A of P••••• F••••••••Sep 14, 2021 · Control person joined · fact
- P••••• F•••••••• filed its initial SEC registration (Form ADV)Mar 19, 2019 · First SEC registration · fact
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
- hello@preisz.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 503-224-1600reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 503-274-8003reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-224-1600reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/P•••••-FINANCIALreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 503-224-1600reportedpublic record, Form ADV, Mar 27, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $78.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026