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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Former SEC-registered adviser

H•••• W••••• W••••• M••••••••• L••

Former SEC-registered adviserPortland, OregonCRD 145662SEC 801-71085IAPD
Legal name H•••• • W••••• W••••• M••••••••• L••
Latest filing Mar 12, 2019
First filing on the tape Mar 20, 2012 · 15 filings
RAUM
$293M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
100%
$292M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$293M as of Mar 12, 2019
Mar 20, 2012$91.9M then
HNW client RAUM$208M as of Mar 12, 2019
Feb 10, 2018$255M then
State-registered IARs (5.B.3)4 as of Mar 12, 2019
Mar 20, 20120 then
Employees (5.A)7 as of Mar 12, 2019
Mar 28, 20133 then
Private funds: no history
RAUM -1.2% over the last fiscal year+13% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 12, 2019; every figure names its basis
RAUM per advisor
$73.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
46derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.0MderivedHNW RAUM over HNW clients
Average account
$495,081derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-1.2%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+9.5%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 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
  • High-net-worth individuals$208M71%
  • Individuals$83.8M29%
  • Pension and profit-sharing plans$1.0M0.3%
Individual clients
133reported
HNW clients
52reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
591reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H••••• A••••• E••• · Principal/Managing Membercontrol
      since 11/2007 · owns 75% or more
    • W•••••• G••••••• T••• · Chief Compliance Officer/Vice Presidentcontrol
      since 11/2007 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 537 to 591
      Feb 10, 2018 to Mar 12, 2019
    • Advisory employees · 4 to 5
      Feb 10, 2018 to Mar 12, 2019
    • HNW clients · 79 to 52
      Feb 10, 2018 to Mar 12, 2019
    • Individual clients · 90 to 133
      Feb 10, 2018 to Mar 12, 2019
    • Employees · 6 to 7
      Feb 10, 2018 to Mar 12, 2019
    • Financial planning clients · 101-250 to 1-10
      Feb 10, 2018 to Mar 12, 2019
    • Discretionary RAUM · $280M to $277M
      Feb 10, 2018 to Mar 12, 2019
    • HNW RAUM · $255M to $208M
      Feb 10, 2018 to Mar 12, 2019
    • Individual RAUM · $41.5M to $83.8M
      Feb 10, 2018 to Mar 12, 2019
    • Non-discretionary RAUM · $16.5M to $15.4M
      Feb 10, 2018 to Mar 12, 2019
    • Pension RAUM · unset to 1007945.0
      Feb 10, 2018 to Mar 12, 2019
    • RAUM · $296M to $293M
      Feb 10, 2018 to Mar 12, 2019
    • Accounts · 501 to 537
      Jan 26, 2017 to Feb 10, 2018
    • HNW clients · unset to 79.0
      Jan 26, 2017 to Feb 10, 2018
    • Individual clients · unset to 90.0
      Jan 26, 2017 to Feb 10, 2018
    • Other offices · unset to 0.0
      Jan 26, 2017 to Feb 10, 2018
    • Discretionary RAUM · $228M to $280M
      Jan 26, 2017 to Feb 10, 2018
    • HNW RAUM · unset to 254798068.0
      Jan 26, 2017 to Feb 10, 2018
    • Individual RAUM · unset to 41478755.0
      Jan 26, 2017 to Feb 10, 2018
    • Non-discretionary RAUM · $12.5M to $16.5M
      Jan 26, 2017 to Feb 10, 2018
    • RAUM · $241M to $296M
      Jan 26, 2017 to Feb 10, 2018
    • Accounts · 458 to 501
      Aug 22, 2016 to Jan 26, 2017
    • Discretionary RAUM · $187M to $228M
      Aug 22, 2016 to Jan 26, 2017
    • Non-discretionary RAUM · $14.7M to $12.5M
      Aug 22, 2016 to Jan 26, 2017
    • RAUM · $201M to $241M
      Aug 22, 2016 to Jan 26, 2017
    • Accounts · 414 to 458
      Aug 17, 2015 to Feb 24, 2016
    • Employees · 5 to 6
      Aug 17, 2015 to Feb 24, 2016
    • Financial planning clients · 11-25 to 101-250
      Aug 17, 2015 to Feb 24, 2016
    • Discretionary RAUM · $160M to $187M
      Aug 17, 2015 to Feb 24, 2016
    • Non-discretionary RAUM · $13.9M to $14.7M
      Aug 17, 2015 to Feb 24, 2016
    • RAUM · $174M to $201M
      Aug 17, 2015 to Feb 24, 2016
    • Advisory employees · 3 to 4
      Jul 14, 2015 to Aug 17, 2015
    • State-registered IARs · 3 to 4
      Jul 14, 2015 to Aug 17, 2015
    • Legal name · H•••• W••••• W••••• M••••••••• L•• to H•••• • W••••• W••••• M••••••••• L••
      Jul 14, 2015 to Aug 17, 2015
    • Accounts · 441 to 414
      Apr 9, 2014 to Mar 2, 2015
    • Employees · 3 to 5
      Apr 9, 2014 to Mar 2, 2015
    • Discretionary RAUM · $140M to $160M
      Apr 9, 2014 to Mar 2, 2015
    • Non-discretionary RAUM · $15.1M to $13.9M
      Apr 9, 2014 to Mar 2, 2015
    • RAUM · $155M to $174M
      Apr 9, 2014 to Mar 2, 2015
    • Accounts · 379 to 441
      Nov 20, 2013 to Mar 6, 2014
    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