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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

C•••• F•••••••• A•••••••• L••

Former SEC-registered adviserBeaverton, OregonCRD 146084SEC 801-121484IAPD
Latest filing Jun 14, 2022
First filing on the tape May 13, 2021 · 3 filings
RAUM
$121M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$121M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$121M as of Jun 14, 2022
May 13, 2021$109M then
HNW client RAUM$109M as of Jun 14, 2022
May 13, 2021$96.8M then
State-registered IARs (5.B.3)3 as of Jun 14, 2022
May 13, 20212 then
Employees (5.A)3 as of Jun 14, 2022
May 13, 20212 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 14, 2022; every figure names its basis
RAUM per advisor
$40.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
24derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$289,013derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$109M90%
  • Individuals$12.5M10%
Individual clients
28reported
HNW clients
43reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
420reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • K••••••••• P••••• O••••• · Chief Compliance Officercontrol
      since 05/2021 · owns 50% to 75%
    • K••••• T••• P••• · Principalcontrol
      since 10/2006 · owns 50% to 75%
    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 · 406 to 420
      May 13, 2021 to Jan 17, 2022
    • HNW clients · 36 to 43
      May 13, 2021 to Jan 17, 2022
    • Individual clients · 26 to 28
      May 13, 2021 to Jan 17, 2022
    • Employees · 2 to 3
      May 13, 2021 to Jan 17, 2022
    • State-registered IARs · 2 to 3
      May 13, 2021 to Jan 17, 2022
    • Discretionary RAUM · $109M to $121M
      May 13, 2021 to Jan 17, 2022
    • HNW RAUM · $96.8M to $109M
      May 13, 2021 to Jan 17, 2022
    • Individual RAUM · $12.2M to $12.5M
      May 13, 2021 to Jan 17, 2022
    • RAUM · $109M to $121M
      May 13, 2021 to Jan 17, 2022
    Signals
    2 dated events
    • S•••••• L••••• B••• left C•••• F•••••••• A•••••••• L•• for T•• M••••• G••••• L•• (registered 2022-10-06)
      Oct 4, 2022 · Advisor changed firm · fact
    • C•••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
      May 13, 2021 · 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.
    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