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

N•••••••• W••••• M••••••••• L••

Former SEC-registered adviserBend, OregonCRD 150422SEC 801-107657IAPD
Latest filing May 12, 2023
First filing on the tape Mar 30, 2012 · 22 filings
RAUM
$211M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
96%
$202M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$211M as of Mar 27, 2023
Mar 30, 2012$43.0M then
HNW client RAUM$160M as of Mar 27, 2023
Mar 29, 2018$90.2M then
State-registered IARs (5.B.3)4 as of Mar 27, 2023
Mar 30, 20120 then
Employees (5.A)6 as of Mar 27, 2023
Mar 30, 20176 then
Private funds: no history
RAUM -17% over the last fiscal year+13% a year over threeIARs 4 to 4
Practice profile
derived from the filing of May 12, 2023; every figure names its basis
RAUM per advisor
$52.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
68derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.6MderivedHNW RAUM over HNW clients
Average account
$327,959derivedRAUM over accounts (5.F.2.f)
Discretionary
88%derivedof RAUM
Institutional
2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-3.2%derived
Compensation
percentage of assets, commissions, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$160M76%
  • Individuals$41.6M20%
  • Charitable organizations$5.4M2.5%
  • Corporations and businesses$3.3M1.6%
Individual clients
227reported
HNW clients
44reported
Pension plan clients
n/areported
Charitable clients
2reported
Accounts
642reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, commissionsreported
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
    • R••• J•••••• W•••• · Managing Membercontrol
      since 01/2016 · owns 25% to 50%
    • S•••••••• J••••••• E••••• · Managing Membercontrol
      since 09/2009 · owns 50% to 75%
    • H••••••••• K••••••••• A•• · Chief Compliance Officer
      since 01/2012 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Bend, Or · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 634 to 642
      Jul 20, 2022 to Mar 27, 2023
    • Charity clients · unset to 2.0
      Jul 20, 2022 to Mar 27, 2023
    • Corporate clients · unset to 1.0
      Jul 20, 2022 to Mar 27, 2023
    • HNW clients · 55 to 44
      Jul 20, 2022 to Mar 27, 2023
    • Individual clients · 225 to 227
      Jul 20, 2022 to Mar 27, 2023
    • Commission compensation · false to true
      Jul 20, 2022 to Mar 27, 2023
    • Discretionary RAUM · $234M to $186M
      Jul 20, 2022 to Mar 27, 2023
    • HNW RAUM · $206M to $160M
      Jul 20, 2022 to Mar 27, 2023
    • Individual RAUM · $35.6M to $41.6M
      Jul 20, 2022 to Mar 27, 2023
    • Non-discretionary RAUM · $18.5M to $24.5M
      Jul 20, 2022 to Mar 27, 2023
    • RAUM · $253M to $211M
      Jul 20, 2022 to Mar 27, 2023
    • Accounts · 620 to 634
      Mar 31, 2021 to Mar 31, 2022
    • HNW clients · 49 to 55
      Mar 31, 2021 to Mar 31, 2022
    • Individual clients · 211 to 225
      Mar 31, 2021 to Mar 31, 2022
    • Discretionary RAUM · $188M to $234M
      Mar 31, 2021 to Mar 31, 2022
    • HNW RAUM · $155M to $206M
      Mar 31, 2021 to Mar 31, 2022
    • Individual RAUM · $37.5M to $35.6M
      Mar 31, 2021 to Mar 31, 2022
    • Non-discretionary RAUM · $15.8M to $18.5M
      Mar 31, 2021 to Mar 31, 2022
    • RAUM · $204M to $253M
      Mar 31, 2021 to Mar 31, 2022
    • Accounts · 611 to 620
      Jul 1, 2020 to Mar 31, 2021
    • HNW clients · 33 to 49
      Jul 1, 2020 to Mar 31, 2021
    • Individual clients · 232 to 211
      Jul 1, 2020 to Mar 31, 2021
    • Discretionary RAUM · $131M to $188M
      Jul 1, 2020 to Mar 31, 2021
    • HNW RAUM · $96.1M to $155M
      Jul 1, 2020 to Mar 31, 2021
    • Individual RAUM · $41.1M to $37.5M
      Jul 1, 2020 to Mar 31, 2021
    • Non-discretionary RAUM · $15.4M to $15.8M
      Jul 1, 2020 to Mar 31, 2021
    • RAUM · $146M to $204M
      Jul 1, 2020 to Mar 31, 2021
    • BD registered reps · 3 to 0
      Mar 25, 2020 to Jul 1, 2020
    • Accounts · 579 to 611
      Mar 28, 2019 to Mar 25, 2020
    • HNW clients · 35 to 33
      Mar 28, 2019 to Mar 25, 2020
    • Individual clients · 226 to 232
      Mar 28, 2019 to Mar 25, 2020
    • Discretionary RAUM · $138M to $131M
      Mar 28, 2019 to Mar 25, 2020
    • HNW RAUM · $102M to $96.1M
      Mar 28, 2019 to Mar 25, 2020
    • Individual RAUM · $36.9M to $41.1M
      Mar 28, 2019 to Mar 25, 2020
    • Non-discretionary RAUM · $11.9M to $15.4M
      Mar 28, 2019 to Mar 25, 2020
    • RAUM · $150M to $146M
      Mar 28, 2019 to Mar 25, 2020
    • Accounts · 479 to 579
      Mar 29, 2018 to Mar 28, 2019
    • HNW clients · 31 to 35
      Mar 29, 2018 to Mar 28, 2019
    • Individual clients · 170 to 226
      Mar 29, 2018 to Mar 28, 2019
    • Discretionary RAUM · $123M to $138M
      Mar 29, 2018 to Mar 28, 2019
    Signals
    5 dated events
    • 2 advisors left N•••••••• W••••• M••••••••• L•• (Bend, OR) for P•••••••• A•••• A•••••••• I••• on the same day
      Sep 27, 2023 · Team lift-out · derived
    • J•••••• E••••• S••••••• left N•••••••• W••••• M••••••••• L•• for P•••••••• A•••• A•••••••• I••• (registered 2023-07-10)
      Sep 27, 2023 · Advisor changed firm · fact
    • J••• B••••••• K•••••• left N•••••••• W••••• M••••••••• L•• for P•••••••• A•••• A•••••••• I••• (registered 2023-07-10)
      Sep 27, 2023 · Advisor changed firm · fact
    • J••••• W•••• R•• left N•••••••• W••••• M••••••••• L•• for B•••• M••••••• A•••••••• L•• (registered 2024-09-30)
      Jul 28, 2023 · Advisor changed firm · fact
    • N•••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Mar 31, 2016 · 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