DFX Intelligence

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S•••••••• C•••••• M••••••••• L••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $99.7M of regulatory assets across 1 registered advisors.

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

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $99.7M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +29%
Private clients: 90%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+28.7%
RAUM, one year
RAUM $77.5M to $99.7M (+28.7%) on the Form ADV filed 30 Mar 2026, while advisors on the filing held at 1.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 146253 · SEC 801-123347 · 15 filingsShow

CRD 146253SEC 801-123347First filing on the tape Feb 16, 2012, latest Mar 30, 2026SEC status approved since Feb 28, 2022IAPD

RAUM

$99.7M

reported, Item 5.F

Discretionary

91%

of RAUM

Private clients

90%

$89.7M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$99.7M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

15 filings and snapshots on the tape

RAUM +4.7% a year over three years · the tape starts Feb 16, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$99.7M as of Mar 30, 2026

Feb 16, 2012$64.3M then

HNW client RAUM$77.2M as of Mar 30, 2026

Mar 28, 2023$37.2M then

State-registered IARs (5.B.3)1 as of Mar 30, 2026

Feb 16, 20120 then

Employees (5.A)1 as of Mar 30, 2026

Mar 28, 20232 then

Private funds: no history

RAUM +29% over the last fiscal year+4.7% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 30, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $99.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 37derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $5.5MderivedHNW RAUM over HNW clients
Average account: $859,126derivedRAUM over accounts (5.F.2.f)
Discretionary: 91%derivedof RAUM
Institutional: 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +29%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -16%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, selection of other advisersreportedItem 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)
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

85% high-net-worth individuals, 14% individuals, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow

High-net-worth individuals$77.2M85%
Individuals$12.5M14%
Charitable organizations$583,1730.6%
Corporations and businesses$84,5030.1%

Individual clients: 23reported
HNW clients: 14reported
Pension plan clients: 0reported
Charitable clients: n/areported
Accounts: 116reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: RAUM: 90% private clients, 0% pooled funds, 1% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
D•••••• E•••••• D•••••	Bend, Or	Jun 18, 2012	35 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

D•••••• D••••••• E•••••• · Managing Member, President & Foundercontrol
since 04/2000 · owns 75% or more
D•••••• W••••• D••••••• · Chief Compliance Officercontrol
since 01/2017 · 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 · 150 to 116
Mar 25, 2025 to Mar 30, 2026
Corporate clients · unset to 0.0
Mar 25, 2025 to Mar 30, 2026
HNW clients · 18 to 14
Mar 25, 2025 to Mar 30, 2026
Individual clients · 26 to 23
Mar 25, 2025 to Mar 30, 2026
Employees · 2 to 1
Mar 25, 2025 to Mar 30, 2026

Full history · 53 changes

HQ city · BEND to
Mar 25, 2025 to Mar 30, 2026
HQ state · OR to
Mar 25, 2025 to Mar 30, 2026
Discretionary RAUM · $66.8M to $90.4M
Mar 25, 2025 to Mar 30, 2026
HNW RAUM · $53.2M to $77.2M
Mar 25, 2025 to Mar 30, 2026
Individual RAUM · $13.0M to $12.5M
Mar 25, 2025 to Mar 30, 2026
Non-discretionary RAUM · $10.7M to $9.3M
Mar 25, 2025 to Mar 30, 2026
RAUM · $77.5M to $99.7M
Mar 25, 2025 to Mar 30, 2026
Accounts · 156 to 150
Mar 25, 2024 to Mar 25, 2025
HNW clients · 19 to 18
Mar 25, 2024 to Mar 25, 2025
Individual clients · 23 to 26
Mar 25, 2024 to Mar 25, 2025
Financial planning clients · 0 to 0
Mar 25, 2024 to Mar 25, 2025
Discretionary RAUM · $81.1M to $66.8M
Mar 25, 2024 to Mar 25, 2025
HNW RAUM · $68.9M to $53.2M
Mar 25, 2024 to Mar 25, 2025
Individual RAUM · $11.7M to $13.0M
Mar 25, 2024 to Mar 25, 2025
Non-discretionary RAUM · $13.0M to $10.7M
Mar 25, 2024 to Mar 25, 2025
RAUM · $94.1M to $77.5M
Mar 25, 2024 to Mar 25, 2025
Accounts · 144 to 156
Mar 28, 2023 to Mar 25, 2024
Corporate clients · 0.0 to unset
Mar 28, 2023 to Mar 25, 2024
HNW clients · 6 to 19
Mar 28, 2023 to Mar 25, 2024
Individual clients · 38 to 23
Mar 28, 2023 to Mar 25, 2024
Discretionary RAUM · $78.0M to $81.1M
Mar 28, 2023 to Mar 25, 2024
HNW RAUM · $37.2M to $68.9M
Mar 28, 2023 to Mar 25, 2024
Individual RAUM · $40.3M to $11.7M
Mar 28, 2023 to Mar 25, 2024
Non-discretionary RAUM · $8.8M to $13.0M
Mar 28, 2023 to Mar 25, 2024
RAUM · $86.8M to $94.1M
Mar 28, 2023 to Mar 25, 2024
Accounts · 132 to 144
Jan 29, 2022 to Mar 28, 2023
Discretionary RAUM · $96.4M to $78.0M
Jan 29, 2022 to Mar 28, 2023
HNW RAUM · $50.5M to $37.2M
Jan 29, 2022 to Mar 28, 2023
Individual RAUM · $58.4M to $40.3M
Jan 29, 2022 to Mar 28, 2023
Non-discretionary RAUM · $13.1M to $8.8M
Jan 29, 2022 to Mar 28, 2023
RAUM · $109M to $86.8M
Jan 29, 2022 to Mar 28, 2023
Accounts · 113 to 132
Jun 18, 2012 to Jan 29, 2022
Advisory employees · unset to 1.0
Jun 18, 2012 to Jan 29, 2022
Advisory activities · 1 to 2
Jun 18, 2012 to Jan 29, 2022
Corporate clients · unset to 0.0
Jun 18, 2012 to Jan 29, 2022
HNW clients · unset to 6.0
Jun 18, 2012 to Jan 29, 2022
Individual clients · unset to 38.0
Jun 18, 2012 to Jan 29, 2022
Pension plan clients · unset to 0.0
Jun 18, 2012 to Jan 29, 2022
Pooled vehicle clients · unset to 0.0
Jun 18, 2012 to Jan 29, 2022
Employees · unset to 2.0
Jun 18, 2012 to Jan 29, 2022
Financial planning clients · unset to 0
Jun 18, 2012 to Jan 29, 2022
State-registered IARs · 0 to 1
Jun 18, 2012 to Jan 29, 2022
Other offices · unset to 0.0
Jun 18, 2012 to Jan 29, 2022
Discretionary RAUM · $57.4M to $96.4M
Jun 18, 2012 to Jan 29, 2022
HNW RAUM · unset to 50458836.0
Jun 18, 2012 to Jan 29, 2022
Individual RAUM · unset to 58408157.0
Jun 18, 2012 to Jan 29, 2022
Non-discretionary RAUM · $6.9M to $13.1M
Jun 18, 2012 to Jan 29, 2022
RAUM · $64.3M to $109M
Jun 18, 2012 to Jan 29, 2022

Signals

2 dated events

••• Locked
Jan 29, 2022 · Control person joined · fact
••• Locked
Jan 29, 2022 · 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

Website: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $99.7Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026