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.
SEC-registered adviser
Strategic Financial Partners, Ltd
Latest filing Mar 13, 2026
First filing on the tape Mar 15, 2012 · 36 filings
SEC status approved since Dec 10, 2012
RAUM
$321M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$320M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$53.5M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$321M as of Mar 13, 2026
Mar 15, 2012$69.3M then
HNW client RAUM$251M as of Mar 13, 2026
Mar 22, 2018$77.8M then
State-registered IARs (5.B.3)6 as of Mar 13, 2026
Mar 15, 20120 then
Employees (5.A)7 as of Mar 13, 2026
Apr 1, 20139 then
Private funds: no history
RAUM +19% over the last fiscal year+13% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $53.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $356,006derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 0.8derived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.3%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $24.3MreportedItem 5.I
- Custody
- $697,632, 1 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$251M78%
- Individuals$69.6M22%
- Charitable organizations$751,5000.2%
- Individual clients
- 254reported
- HNW clients
- 86reported
- Pension plan clients
- 19reported
- Charitable clients
- 1reported
- Accounts
- 902reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $697,632 for 1 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Richard Lewis Williams | Washougal, Wa | Apr 14, 2009 | 36 y | 1 |
| Grant Frederick Carroll | Bend, Or | Apr 14, 2009 | 30 y | 1 |
| Edward William Sager | Bend, Or | Jun 29, 2009 | 24 y | 1 |
| Kevin Asher Green | Santa Fe, Nm | Feb 5, 2020 | 26 y | 1 |
| Michael Richard Eisenhauer | Bend, Or | Mar 1, 2021 | 17 y | 0 |
| Robert Ryan Kirkpatrick | Bend, Or | Jan 1, 2026 | 28 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Richard Joe Johannsen to Corecap AdvisorsNov 22, 2016 · Other
- David Alan Riback to Wellspring Advisors, Inc.Dec 8, 2014 · Other
Joined, latest
- Kevin Asher Green from Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 5, 2020 · Wirehouse to independent RIA
- Richard Joe Johannsen from Sunset Financial Services, Inc.Sep 5, 2013 · Other
- David Alan Riback from Wellspring Advisors, Inc.Apr 9, 2013 · Other
- Edward William Sager from Ws Griffith Securities, Inc.Jun 29, 2009 · Other
- Richard Lewis Williams from Ws Griffith Securities, Inc.Apr 14, 2009 · Other
- Grant Frederick Carroll from Ws Griffith Securities, Inc.Apr 14, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Frederick Grant Carroll · President/Chief Compliance Officercontrolsince 09/2008 · owns 50% to 75%
- Lewis Richard Williams · Vice Presidentcontrolsince 09/2008 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Bend, Or | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Clackamas, OR1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 900 to 902Mar 26, 2025 to Mar 13, 2026
- Charity clients · 0 to 1Mar 26, 2025 to Mar 13, 2026
- HNW clients · 82 to 86Mar 26, 2025 to Mar 13, 2026
- Individual clients · 259 to 254Mar 26, 2025 to Mar 13, 2026
- Pension plan clients · 0 to 19Mar 26, 2025 to Mar 13, 2026
- Assets in custody · $1.2M to $697,632Mar 26, 2025 to Mar 13, 2026
- Employees · 6 to 7Mar 26, 2025 to Mar 13, 2026
- Financial planning clients · 101-250 to 1-10Mar 26, 2025 to Mar 13, 2026
- Discretionary RAUM · $269M to $321MMar 26, 2025 to Mar 13, 2026
- HNW RAUM · $221M to $251MMar 26, 2025 to Mar 13, 2026
- Individual RAUM · $47.8M to $69.6MMar 26, 2025 to Mar 13, 2026
- RAUM · $269M to $321MMar 26, 2025 to Mar 13, 2026
- Accounts · 871 to 900Mar 20, 2024 to Mar 26, 2025
- HNW clients · 71 to 82Mar 20, 2024 to Mar 26, 2025
- Individual clients · 223 to 259Mar 20, 2024 to Mar 26, 2025
- Assets in custody · $1.0M to $1.2MMar 20, 2024 to Mar 26, 2025
- Financial planning clients · 251-500 to 101-250Mar 20, 2024 to Mar 26, 2025
- HQ city · unset to Mar 20, 2024 to Mar 26, 2025
- HQ state · unset to Mar 20, 2024 to Mar 26, 2025
- Other offices · 6 to 7Mar 20, 2024 to Mar 26, 2025
- Discretionary RAUM · $232M to $269MMar 20, 2024 to Mar 26, 2025
- HNW RAUM · $178M to $221MMar 20, 2024 to Mar 26, 2025
- Individual RAUM · $53.8M to $47.8MMar 20, 2024 to Mar 26, 2025
- RAUM · $232M to $269MMar 20, 2024 to Mar 26, 2025
- Accounts · 1,011 to 871Feb 2, 2023 to Mar 20, 2024
- HNW clients · 66 to 71Feb 2, 2023 to Mar 20, 2024
- Individual clients · 291 to 223Feb 2, 2023 to Mar 20, 2024
- Pension plan clients · 23 to 0Feb 2, 2023 to Mar 20, 2024
- Assets in custody · unset to 1019441.0Feb 2, 2023 to Mar 20, 2024
- Custody of client assets · false to trueFeb 2, 2023 to Mar 20, 2024
- Financial planning clients · 101-250 to 251-500Feb 2, 2023 to Mar 20, 2024
- Discretionary RAUM · $224M to $232MFeb 2, 2023 to Mar 20, 2024
- HNW RAUM · $157M to $178MFeb 2, 2023 to Mar 20, 2024
- Individual RAUM · $65.8M to $53.8MFeb 2, 2023 to Mar 20, 2024
- Pension RAUM · $1.8M to $0Feb 2, 2023 to Mar 20, 2024
- RAUM · $224M to $232MFeb 2, 2023 to Mar 20, 2024
- Accounts · 1,012 to 1,011Aug 12, 2022 to Feb 2, 2023
- HNW clients · 77 to 66Aug 12, 2022 to Feb 2, 2023
- Individual clients · 233 to 291Aug 12, 2022 to Feb 2, 2023
- Pension plan clients · 0 to 23Aug 12, 2022 to Feb 2, 2023
Signals
1 dated events
- Strategic Financial Partners, Ltd filed its initial SEC registration (Form ADV)Dec 3, 2012 · 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
- sfpltd@advisoryfirm.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 503-242-9047reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 503-242-9164reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- ADVISORYFIRM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 503-467-7832reportedpublic record, Form ADV, Mar 13, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $53.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026