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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SEC-registered adviser
S•• F•••••••• S•••••••• I•••
Latest filing Feb 26, 2026
First filing on the tape Apr 29, 2019 · 20 filings
SEC status approved since May 29, 2019
RAUM
$178M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$171M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$35.6M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$178M as of Feb 26, 2026
Apr 8, 2020$118M then
HNW client RAUM$101M as of Feb 26, 2026
Apr 8, 2020$71.4M then
State-registered IARs (5.B.3)5 as of Feb 26, 2026
Apr 8, 20207 then
Employees (5.A)5 as of Feb 26, 2026
Apr 8, 20207 then
Private funds: no history
RAUM +11% over the last fiscal year+13% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Feb 26, 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
- $35.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $233,333derivedRAUM 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
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.3%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $52.0M, 124 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$101M57%
- Individuals$70.1M39%
- Corporations and businesses$6.9M3.9%
- Individual clients
- 381reported
- HNW clients
- 55reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 762reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $52.0M for 124 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• L••• P•••••Certified Financial Planner | Portland, Or | Jul 23, 2010 | 20 y | 1 |
| T••••• E••••• P••••••Certified Financial Planner, Chartered Financial Analyst | Portland, Or | Jul 12, 2011 | 20 y | 1 |
| J•••• W••••• F••• | Portland, Or | Aug 17, 2011 | 52 y | 1 |
| R••• J•••• F••• | Portland, Or | Aug 17, 2011 | 30 y | 1 |
| J••••••• F••••••••Certified Financial Planner | Portland, Or | Mar 8, 2016 | 13 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
- B•••• A••• S••••• to J••• M••••• S••••••••• L••Nov 13, 2013 · RIA to wirehouse
Joined, latest
- J•••• W••••• F••• from P•••••••• S••••••••• I•••Aug 17, 2011 · Other
- R••• J•••• F••• from P•••••••• S••••••••• I•••Aug 17, 2011 · Other
- T••••• E••••• P•••••• from P•••••••• S••••••••• I•••Jul 12, 2011 · Other
- T•••••• L••• P••••• from P•••••••• S••••••••• I•••Jul 23, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• T••••••• L••• · President & Ccocontrolsince 12/2021 · owns 75% or more
Related persons
Schedule D 7.A
- J•••• W• F•••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Portland, Or · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Feb 26, 2026custody of client assets (Item 9.A): no on the filing of 2026-01-07, yes on the filing of 2026-02-26peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 765 to 762Jan 7, 2026 to Feb 26, 2026
- Advisory employees · 6 to 5Jan 7, 2026 to Feb 26, 2026
- HNW clients · 44 to 55Jan 7, 2026 to Feb 26, 2026
- Individual clients · 366 to 381Jan 7, 2026 to Feb 26, 2026
- Assets in custody · unset to 51986601.0Jan 7, 2026 to Feb 26, 2026
- Custody of client assets · false to trueJan 7, 2026 to Feb 26, 2026
- Employees · 6 to 5Jan 7, 2026 to Feb 26, 2026
- State-registered IARs · 6 to 5Jan 7, 2026 to Feb 26, 2026
- Discretionary RAUM · $160M to $178MJan 7, 2026 to Feb 26, 2026
- HNW RAUM · $97.4M to $101MJan 7, 2026 to Feb 26, 2026
- Individual RAUM · $57.6M to $70.1MJan 7, 2026 to Feb 26, 2026
- RAUM · $160M to $178MJan 7, 2026 to Feb 26, 2026
- Accounts · 768 to 765Dec 20, 2024 to Mar 26, 2025
- Advisory employees · 7 to 6Dec 20, 2024 to Mar 26, 2025
- Corporate clients · 6 to 8Dec 20, 2024 to Mar 26, 2025
- HNW clients · 37 to 44Dec 20, 2024 to Mar 26, 2025
- Individual clients · 362 to 366Dec 20, 2024 to Mar 26, 2025
- Employees · 7 to 6Dec 20, 2024 to Mar 26, 2025
- Financial planning clients · 1-10 to 1-10Dec 20, 2024 to Mar 26, 2025
- State-registered IARs · 7 to 6Dec 20, 2024 to Mar 26, 2025
- Discretionary RAUM · $138M to $160MDec 20, 2024 to Mar 26, 2025
- HNW RAUM · $65.3M to $97.4MDec 20, 2024 to Mar 26, 2025
- Individual RAUM · $68.1M to $57.6MDec 20, 2024 to Mar 26, 2025
- RAUM · $138M to $160MDec 20, 2024 to Mar 26, 2025
- RAUM · $122M to $138MJun 29, 2023 to Mar 22, 2024
- Accounts · 708 to 768Jun 29, 2023 to Mar 22, 2024
- Advisory employees · 6 to 7Jun 29, 2023 to Mar 22, 2024
- Corporate clients · 5 to 6Jun 29, 2023 to Mar 22, 2024
- HNW clients · 31 to 37Jun 29, 2023 to Mar 22, 2024
- Individual clients · 369 to 362Jun 29, 2023 to Mar 22, 2024
- Employees · 6 to 7Jun 29, 2023 to Mar 22, 2024
- State-registered IARs · 6 to 7Jun 29, 2023 to Mar 22, 2024
- Discretionary RAUM · $122M to $138MJun 29, 2023 to Mar 22, 2024
- HNW RAUM · $70.3M to $65.3MJun 29, 2023 to Mar 22, 2024
- Individual RAUM · $47.6M to $68.1MJun 29, 2023 to Mar 22, 2024
- Wrap assets (manager) · 0.0 to unsetMar 13, 2023 to Jun 29, 2023
- Wrap assets (sponsor) · 0.0 to unsetMar 13, 2023 to Jun 29, 2023
- Accounts · 768 to 708Jan 4, 2023 to Mar 13, 2023
- Advisory employees · 7 to 6Jan 4, 2023 to Mar 13, 2023
- HNW clients · 55 to 31Jan 4, 2023 to Mar 13, 2023
Signals
2 dated events
- Edward Bruce Porter (Chief Compliance Officer, Secretary Treasurer) no longer on Schedule A of S•• F•••••••• S•••••••• I••• (listed 2021-12-13, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- S•• F•••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)Apr 29, 2019 · 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
- info@smb.financialreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- jf@smb.financialreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- jim@smb.financialreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- palmer@smb.financialreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- tim@smb.financialreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- tom@smb.financialreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 503-387-3222reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- SMB.FINANCIALreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 503-387-3222reportedpublic record, Form ADV, Feb 26, 2026
- Contact form
- smb.financial/contactreportedpublished by the firm, firm site, Sep 16, 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
- $35.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026