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

Etesian Wealth Advisors, Inc.

Independent wealth managerWest Linn, OregonCRD 152127SEC 801-70785website IAPD

Latest filing Mar 17, 2026

First filing on the tape Mar 28, 2012 · 31 filings

SEC status approved since Nov 18, 2009

RAUM

$503M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

91%

$458M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$71.9M

derived; firm RAUM over IAPD count

Employees

6 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

31 filings and snapshots on the tape

RAUM$503M as of Mar 17, 2026

Mar 28, 2012$256M then

HNW client RAUM$159M as of Mar 17, 2026

Mar 26, 2018$206M then

State-registered IARs (5.B.3)6 as of Mar 17, 2026

Mar 28, 20120 then

Employees (5.A)8 as of Mar 17, 2026

Mar 18, 20137 then

Private funds: no history

RAUM +18% over the last fiscal year+25% a year over threeIARs 6 to 6offices 1 to 2

Practice profile

derived from the filing of Mar 17, 2026; every figure names its basis

Archetypes, each a printed rule

Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM

RAUM per advisor: $71.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 59derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $8.4MderivedHNW RAUM over HNW clients
Average account: $537,748derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 8.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.1derivedItem 5.A over advisors
Advisors per office: 2.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year: +18%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +7.0%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody: $205M, 137 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

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)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$299M59%
High-net-worth individuals$159M32%
Charitable organizations$32.9M6.5%
Pension and profit-sharing plans$8.0M1.6%
Corporations and businesses$4.2M0.8%

Individual clients: 396reported
HNW clients: 19reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 936reported
Financial planning clients: 251-500reported
Wrap fee programs: noreported
Custody of client assets: $205M for 137 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.91 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

7 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Stanley Clayton Lochrie	West Linn, Or	Dec 16, 2009	33 y	3
Benjamin W Wright	West Linn, Or	Oct 13, 2016	10 y	0
Jesse Jonathan Steele	West Linn, Or	Dec 13, 2017	19 y	0
Michael Allen Rue	West Linn, Or	Jul 17, 2024	32 y	3
George Lester Taylor	West Linn, Or	Jan 2, 2025	43 y	3
Marie Magdalena Taylor	West Linn, Or	Jan 13, 2025	39 y	1
Jacob Charles Scarminach	West Linn, Or	Mar 12, 2025	11 y	2

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

Gregory Scott Barker to Barker Wealth Management, LLC
Jun 1, 2015 · Other
Tammi Jo Ortega to Cgc Financial Services
May 5, 2015 · Other
Eric J Stutzman to Selkirk Wealth Advisors, LLC
Nov 26, 2014 · Other
Joseph Edward Fleischmann to Commonwealth Financial Network
May 12, 2014 · Other
Steven Ray Cole to Salmon Bay Wealth Management, LLC
May 28, 2013 · Other

Joined, latest

Jacob Charles Scarminach from MML Investors Services, LLC
Mar 12, 2025 · Affiliated broker-dealer or bank to independent RIA
Marie Magdalena Taylor from Threadline Wealth
Jan 13, 2025 · RIA to RIA
George Lester Taylor from Sagepoint Financial, Inc.
Jan 2, 2025 · Other
Michael Allen Rue from Cambridge Investment Research Advisors, Inc.
Jul 17, 2024 · Affiliated broker-dealer or bank to independent RIA
Gregory Scott Barker from Threadline Wealth
Nov 3, 2014 · Other
Eric J Stutzman from Abridge Partners, LLC
Jan 10, 2013 · Other
Steven Ray Cole from Threadline Wealth
Apr 11, 2011 · Other
Joseph Edward Fleischmann from Nrp Advisors, Inc.
Oct 5, 2010 · Other
Stanley Clayton Lochrie from Sagepoint Financial, Inc.
Dec 16, 2009 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Barbara Lochrie · Ownercontrol
since 07/2012 · owns 25% to 50%
Clayton Stanley Lochrie · Owner, President, Chief Compliance Officercontrol
since 12/2009 · owns 25% to 50%
Jonathan Jesse Steele · Shareholder
since 04/2019 · owns 10% to 25%
W Benjamin Wright · Shareholder
since 04/2019 · owns 10% to 25%

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
West Linn, Or · principal	7	0	0

Offices

Schedule D 1.F, the 25 largest

, 1 employees

What changed

consecutive filings, newest first

Accounts · 930 to 936
Sep 3, 2025 to Mar 17, 2026
Corporate clients · unset to 14.0
Sep 3, 2025 to Mar 17, 2026
HNW clients · 12 to 19
Sep 3, 2025 to Mar 17, 2026
Individual clients · 376 to 396
Sep 3, 2025 to Mar 17, 2026
Assets in custody · $12.6M to $205M
Sep 3, 2025 to Mar 17, 2026
Financial planning clients · 101-250 to 251-500
Sep 3, 2025 to Mar 17, 2026
Discretionary RAUM · $422M to $503M
Sep 3, 2025 to Mar 17, 2026
HNW RAUM · $98.4M to $159M
Sep 3, 2025 to Mar 17, 2026
Individual RAUM · $295M to $299M
Sep 3, 2025 to Mar 17, 2026
Non-discretionary RAUM · $4.9M to $0
Sep 3, 2025 to Mar 17, 2026
Pension RAUM · $4.9M to $8.0M
Sep 3, 2025 to Mar 17, 2026
RAUM · $427M to $503M
Sep 3, 2025 to Mar 17, 2026
Financial planning clients · 101-250 to 101-250
May 28, 2025 to Jun 11, 2025
Other offices · 1 to 2
May 28, 2025 to Jun 11, 2025
Accounts · 507 to 930
Jan 29, 2025 to Feb 11, 2025
HNW clients · 64 to 12
Jan 29, 2025 to Feb 11, 2025
Individual clients · 183 to 376
Jan 29, 2025 to Feb 11, 2025
Assets in custody · $5.3M to $12.6M
Jan 29, 2025 to Feb 11, 2025
Discretionary RAUM · $281M to $422M
Jan 29, 2025 to Feb 11, 2025
HNW RAUM · $199M to $98.4M
Jan 29, 2025 to Feb 11, 2025
Individual RAUM · $57.6M to $295M
Jan 29, 2025 to Feb 11, 2025
Non-discretionary RAUM · $4.2M to $4.9M
Jan 29, 2025 to Feb 11, 2025
Pension RAUM · $28.2M to $4.9M
Jan 29, 2025 to Feb 11, 2025
RAUM · $285M to $427M
Jan 29, 2025 to Feb 11, 2025
Advisory employees · 4 to 6
Nov 13, 2024 to Jan 29, 2025
Employees · 6 to 8
Nov 13, 2024 to Jan 29, 2025
State-registered IARs · 4 to 6
Nov 13, 2024 to Jan 29, 2025
Accounts · 344 to 507
Jan 25, 2023 to Mar 12, 2024
Advisory activities · 4 to 3
Jan 25, 2023 to Mar 12, 2024
HNW clients · 82 to 64
Jan 25, 2023 to Mar 12, 2024
Individual clients · 167 to 183
Jan 25, 2023 to Mar 12, 2024
Assets in custody · $4.3M to $5.3M
Jan 25, 2023 to Mar 12, 2024
Discretionary RAUM · $252M to $281M
Jan 25, 2023 to Mar 12, 2024
HNW RAUM · $195M to $199M
Jan 25, 2023 to Mar 12, 2024
Individual RAUM · $56.4M to $57.6M
Jan 25, 2023 to Mar 12, 2024
Non-discretionary RAUM · $6.6M to $4.2M
Jan 25, 2023 to Mar 12, 2024
Pension RAUM · $6.8M to $28.2M
Jan 25, 2023 to Mar 12, 2024
RAUM · $258M to $285M
Jan 25, 2023 to Mar 12, 2024
Accounts · 404 to 344
Feb 10, 2022 to Jan 25, 2023
HNW clients · 70 to 82
Feb 10, 2022 to Jan 25, 2023

Signals

2 dated events

Etesian Wealth Advisors, Inc. reported RAUM $426.8M, up 50% from $284.7M (2025-01-29 to 2025-02-11)
Feb 11, 2025 · RAUM change · derived
Etesian Wealth Advisors, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Mar 28, 2012 · Succession (Item 4) · 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 phone: 503-387-3615reportedpublished by the firm, firm site, Sep 17, 2026
Firm profile: LINKEDIN.COM/COMPANY/1718569reportedpublic record, Form ADV, Sep 17, 2026
Firm profile: linkedin.com/company/etesian-wealth-advisors-llc/aboutreportedpublic record, Form ADV, Sep 17, 2026
Website: etesianwa.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone: 503-387-3615reportedpublic record, Form ADV, Mar 17, 2026
Contact form: etesianwa.com/contactreportedpublished by the firm, firm site, Sep 17, 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: $71.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026