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.

Former SEC-registered adviser

Filigree Advisors

Former SEC-registered adviserLake Oswego, OregonCRD 146284SEC 801-79253IAPD
Legal name Filigree Advisors LLC
Latest filing Apr 6, 2015
First filing on the tape Feb 9, 2012 · 8 filings
RAUM
$126M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$126M as of Jan 27, 2015
Feb 9, 2012$68.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Jan 27, 2015
Mar 26, 20143 then
Employees (5.A)4 as of Jan 27, 2015
Mar 26, 20144 then
Private funds: no history
RAUM +7.4% over the last fiscal year+23% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 6, 2015; every figure names its basis
RAUM per advisor
$41.9MderivedRAUM 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
$3.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+7.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
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)
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
32reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
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
    • G. Chris Dudley · Partnercontrol
      since 10/2008 · owns 25% to 50%
    • Jay Gerald Graves · President, Chief Compliance Officercontrol
      since 01/2008 · 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 · 28 to 32
      Mar 26, 2014 to Jan 27, 2015
    • Discretionary RAUM · $117M to $126M
      Mar 26, 2014 to Jan 27, 2015
    • RAUM · $117M to $126M
      Mar 26, 2014 to Jan 27, 2015
    • Accounts · 27 to 28
      Apr 2, 2012 to Feb 19, 2014
    • Advisory employees · unset to 3.0
      Apr 2, 2012 to Feb 19, 2014
    • Employees · unset to 4.0
      Apr 2, 2012 to Feb 19, 2014
    • State-registered IARs · unset to 3.0
      Apr 2, 2012 to Feb 19, 2014
    • Discretionary RAUM · $68.0M to $117M
      Apr 2, 2012 to Feb 19, 2014
    • RAUM · $68.0M to $117M
      Apr 2, 2012 to Feb 19, 2014
    • Advisory activities · 3 to 2
      Feb 23, 2012 to Apr 2, 2012
    Signals
    1 dated events
    • Filigree Advisors filed its initial SEC registration (Form ADV)
      Feb 19, 2014 · 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