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

H•••••• A•••••••• L••

Former SEC-registered adviserHood River, OregonCRD 152681SEC 801-121197IAPD
Latest filing Feb 13, 2023
First filing on the tape Feb 24, 2012 · 8 filings
RAUM
$135M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$134M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$135M as of Feb 13, 2023
Feb 24, 2012$37.1M then
HNW client RAUM$112M as of Feb 13, 2023
Mar 9, 2022$106M then
State-registered IARs (5.B.3)2 as of Feb 13, 2023
Feb 24, 20120 then
Employees (5.A)2 as of Feb 13, 2023
Mar 9, 20222 then
Private funds: no history
RAUM +3.6% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 13, 2023; every figure names its basis
RAUM per advisor
$67.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
52derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$260,667derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+3.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+7.3%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Custody
$47.2M, 55 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$112M83%
  • Individuals$22.4M17%
  • Charitable organizations$61,2940.0%
Individual clients
54reported
HNW clients
49reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
516reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$47.2M for 55 clientsreported
Compensation
% of AUM, hourlyreported
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
    • S••••• J••••• A•••• · Managing Member/Chief Compliance Officercontrol
      since 01/2010 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Portland, OR2 employees
    What changed
    consecutive filings, newest first
    • Accounts · 461 to 516
      Mar 9, 2022 to Feb 13, 2023
    • HNW clients · 44 to 49
      Mar 9, 2022 to Feb 13, 2023
    • Individual clients · 52 to 54
      Mar 9, 2022 to Feb 13, 2023
    • Assets in custody · unset to 47231196.0
      Mar 9, 2022 to Feb 13, 2023
    • Custody of client assets · false to true
      Mar 9, 2022 to Feb 13, 2023
    • Financial planning clients · 1-10 to 0
      Mar 9, 2022 to Feb 13, 2023
    • Discretionary RAUM · $130M to $135M
      Mar 9, 2022 to Feb 13, 2023
    • HNW RAUM · $106M to $112M
      Mar 9, 2022 to Feb 13, 2023
    • Individual RAUM · $23.9M to $22.4M
      Mar 9, 2022 to Feb 13, 2023
    • RAUM · $130M to $135M
      Mar 9, 2022 to Feb 13, 2023
    • Accounts · 455 to 461
      Apr 12, 2021 to Mar 9, 2022
    • HNW clients · 42 to 44
      Apr 12, 2021 to Mar 9, 2022
    • Individual clients · 58 to 52
      Apr 12, 2021 to Mar 9, 2022
    • Discretionary RAUM · $105M to $130M
      Apr 12, 2021 to Mar 9, 2022
    • HNW RAUM · $82.1M to $106M
      Apr 12, 2021 to Mar 9, 2022
    • Individual RAUM · $23.0M to $23.9M
      Apr 12, 2021 to Mar 9, 2022
    • RAUM · $105M to $130M
      Apr 12, 2021 to Mar 9, 2022
    • Accounts · 316 to 455
      Jun 25, 2012 to Apr 12, 2021
    • Advisory employees · unset to 2.0
      Jun 25, 2012 to Apr 12, 2021
    • Advisory activities · 3 to 4
      Jun 25, 2012 to Apr 12, 2021
    • HNW clients · unset to 42.0
      Jun 25, 2012 to Apr 12, 2021
    • Individual clients · unset to 58.0
      Jun 25, 2012 to Apr 12, 2021
    • Employees · unset to 2.0
      Jun 25, 2012 to Apr 12, 2021
    • HQ city · PORTLAND to HOOD RIVER
      Jun 25, 2012 to Apr 12, 2021
    • State-registered IARs · 0 to 2
      Jun 25, 2012 to Apr 12, 2021
    • Other offices · unset to 1.0
      Jun 25, 2012 to Apr 12, 2021
    • Discretionary RAUM · $7.6M to $105M
      Jun 25, 2012 to Apr 12, 2021
    • HNW RAUM · unset to 82120892.0
      Jun 25, 2012 to Apr 12, 2021
    • Individual RAUM · unset to 23038410.0
      Jun 25, 2012 to Apr 12, 2021
    • Non-discretionary RAUM · $29.5M to $0
      Jun 25, 2012 to Apr 12, 2021
    • RAUM · $37.1M to $105M
      Jun 25, 2012 to Apr 12, 2021
    Signals
    4 dated events
    • K•••• H•••••• S•••• left H•••••• A•••••••• L•• for B••••••••• S•••••••• W•••••• L•• (registered 2023-05-31)
      May 31, 2023 · Advisor changed firm · fact
    • J•••• A•••• S•••• left H•••••• A•••••••• L•• for B••••••••• S•••••••• W•••••• L•• (registered 2023-05-31)
      May 31, 2023 · Advisor changed firm · fact
    • 2 advisors left H•••••• A•••••••• L•• (Hood River, OR) for B••••••••• S•••••••• W•••••• L•• on the same day
      May 31, 2023 · Team lift-out · derived
    • H•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
      Apr 12, 2021 · 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