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

Cgc Financial Services

Independent wealth managerLake Oswego, OregonCRD 155446SEC 801-78845website IAPD

Legal name Cgc Financial Services, LLC

Latest filing Aug 20, 2026

First filing on the tape Nov 15, 2013 · 44 filings

SEC status approved since Nov 22, 2013

RAUM

$876M

reported, Item 5.F

Discretionary

98%

of RAUM

Private clients

97%

$849M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$125M

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

44 filings and snapshots on the tape

RAUM$876M as of Aug 20, 2026

Mar 12, 2014$157M then

HNW client RAUM$461M as of Aug 20, 2026

Mar 20, 2018$346M then

State-registered IARs (5.B.3)5 as of Aug 20, 2026

Mar 12, 20143 then

Employees (5.A)13 as of Aug 20, 2026

Mar 12, 201413 then

Private funds: no history

RAUM +19% over the last fiscal year+12% a year over threeIARs 4 to 5

Practice profile

derived from the filing of Aug 20, 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
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

RAUM per advisor: $125MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 163derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.2MderivedHNW RAUM over HNW clients
Average account: $282,238derivedRAUM over accounts (5.F.2.f)
Discretionary: 98%derivedof RAUM
Institutional: 2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.9derivedItem 5.A over advisors
Advisors per office: 7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +19%derivedbetween the last two annual amendments
Advisor growth, one year: +25%derivedItem 5.B.3 between annual amendments
Client growth, one year: +0.4%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Financial planning clients: 1,000reportedItem 5.H
Custody: $17.1M, 27 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)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$461M53%
Individuals$388M44%
Charitable organizations$25.6M2.9%
Corporations and businesses$899,4620.1%
Pension and profit-sharing plans$6380.0%

Individual clients: 932reported
HNW clients: 208reported
Pension plan clients: 1reported
Charitable clients: 7reported
Accounts: 3,103reported
Financial planning clients: 1,000reported
Wrap fee programs: noreported
Custody of client assets: $17.1M for 27 clientsreported
Compensation: % of AUMreported
Class basis: private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=5.0derived

Advisors registered through the firm

7 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Glen Allen Clemans	Lake Oswego, Or	Jan 3, 2011	39 y	0
Davena Marie Yee	Lake Oswego, Or	Oct 20, 2016	18 y	0
Noah Steinbrenner	Lake Oswego, Or	Nov 23, 2021	11 y	1
Shane Neal HuntCertified Financial Planner	Lake Oswego, Or	Jun 18, 2023	11 y	1
Aidan Jude Randall	Lake Oswego, Or	May 5, 2025	11 y	0
Maximus Molyneux	Lake Oswego, Or	Aug 19, 2026	11 y	0
Kobe Myles Gustafson	Lake Oswego, Or	Aug 19, 2026	11 y	1

Advisor movement

0 left, 1 joined in 12 months

net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months

Left, latest

Tammi Jo Ortega to LPL Financial LLC
Jun 5, 2023 · RIA to affiliated broker-dealer or bank
Jamieson Logan Grabenhorst to Horst & Graben Wealth Management, LLC
Oct 5, 2018 · RIA to a newly registered adviser
Megan Margarete Richardson to Horst & Graben Wealth Management, LLC
Oct 5, 2018 · RIA to a newly registered adviser
Casey Edward Cleveland to Horst & Graben Wealth Management, LLC
Oct 5, 2018 · RIA to a newly registered adviser

Joined, latest

Kobe Myles Gustafson from Osaic Wealth, Inc.
Aug 19, 2026 · Affiliated broker-dealer or bank to independent RIA
Shane Neal Hunt from Osaic Wealth, Inc.
Jun 18, 2023 · Affiliated broker-dealer or bank to independent RIA
Noah Steinbrenner from Osaic Wealth, Inc.
Nov 23, 2021 · Affiliated broker-dealer or bank to independent RIA
Megan Margarete Richardson from Osaic Wealth, Inc.
Feb 13, 2018 · Other
Tammi Jo Ortega from Etesian Wealth Advisors, Inc.
Nov 30, 2015 · Other
Jamieson Logan Grabenhorst from Osaic Wealth, Inc.
Jan 3, 2011 · Other
Casey Edward Cleveland from Osaic Wealth, Inc.
Jan 3, 2011 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

3 left for Horst & Graben Wealth Management, LLC
Oct 5, 2018 · Lake Oswego, Or · Firm absorbed

2 joined from Osaic Wealth, Inc.
Dec 19, 2019 · Tualatin, Or

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Allen Glen Clemans · Senior Partnercontrol
since 08/2006 · owns 50% to 75%
Nicole Shannon Keener · Trader
since 10/2018 · owns 5% to 10%
Frances Kelly Mellinger · Team Lead
since 10/2018 · owns 10% to 25%
Louise Denise Reinert · Chief Operating Officer/Chief Compliance Officer
since 11/2021 · owns 5% to 10%
Marie Davena Yee · Financial Advisor
since 10/2018 · 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
Lake Oswego, Or · principal	7	2	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 3,027 to 3,103
Jan 2, 2026 to Mar 10, 2026
Charity clients · 4 to 7
Jan 2, 2026 to Mar 10, 2026
HNW clients · 198 to 208
Jan 2, 2026 to Mar 10, 2026
Individual clients · 937 to 932
Jan 2, 2026 to Mar 10, 2026
Pension plan clients · 3 to 1
Jan 2, 2026 to Mar 10, 2026
Assets in custody · $15.1M to $17.1M
Jan 2, 2026 to Mar 10, 2026
Employees · 12 to 13
Jan 2, 2026 to Mar 10, 2026
Insurance-licensed employees · 1 to 0
Jan 2, 2026 to Mar 10, 2026
Discretionary RAUM · $724M to $856M
Jan 2, 2026 to Mar 10, 2026
HNW RAUM · $391M to $461M
Jan 2, 2026 to Mar 10, 2026
Individual RAUM · $327M to $388M
Jan 2, 2026 to Mar 10, 2026
Non-discretionary RAUM · $12.9M to $19.7M
Jan 2, 2026 to Mar 10, 2026
Pension RAUM · $3.2M to $638
Jan 2, 2026 to Mar 10, 2026
RAUM · $737M to $876M
Jan 2, 2026 to Mar 10, 2026
Advisory employees · 4 to 5
Jul 21, 2025 to Aug 6, 2025
BD registered reps · 4 to 5
Jul 21, 2025 to Aug 6, 2025
State-registered IARs · 4 to 5
Jul 21, 2025 to Aug 6, 2025
Financial planning clients · More than 500 to More than 500
May 19, 2025 to Jul 21, 2025
Accounts · 2,857 to 3,027
Nov 11, 2024 to Mar 19, 2025
BD registered reps · 7 to 4
Nov 11, 2024 to Mar 19, 2025
Charity clients · 3 to 4
Nov 11, 2024 to Mar 19, 2025
Corporate clients · 2 to 3
Nov 11, 2024 to Mar 19, 2025
HNW clients · 178 to 198
Nov 11, 2024 to Mar 19, 2025
Individual clients · 931 to 937
Nov 11, 2024 to Mar 19, 2025
Pension plan clients · 10 to 3
Nov 11, 2024 to Mar 19, 2025
Assets in custody · $7.5M to $15.1M
Nov 11, 2024 to Mar 19, 2025
Employees · 14 to 12
Nov 11, 2024 to Mar 19, 2025
Discretionary RAUM · $621M to $724M
Nov 11, 2024 to Mar 19, 2025
HNW RAUM · $326M to $391M
Nov 11, 2024 to Mar 19, 2025
Individual RAUM · $297M to $327M
Nov 11, 2024 to Mar 19, 2025
Non-discretionary RAUM · $43.5M to $12.9M
Nov 11, 2024 to Mar 19, 2025
Pension RAUM · $34.3M to $3.2M
Nov 11, 2024 to Mar 19, 2025
RAUM · $665M to $737M
Nov 11, 2024 to Mar 19, 2025
Advisory employees · 3 to 4
Jul 22, 2024 to Aug 9, 2024
Insurance-licensed employees · 2 to 1
Jul 22, 2024 to Aug 9, 2024
Accounts · 3,084 to 2,857
Jan 4, 2024 to Mar 28, 2024
Advisory activities · 3 to 2
Jan 4, 2024 to Mar 28, 2024
Charity clients · 4 to 3
Jan 4, 2024 to Mar 28, 2024
Corporate clients · 0 to 2
Jan 4, 2024 to Mar 28, 2024
HNW clients · 629 to 178
Jan 4, 2024 to Mar 28, 2024

Signals

5 dated events

Tammi Jo Ortega left Cgc Financial Services for Lpl Financial Llc (registered 2023-06-01)
Jun 5, 2023 · Advisor changed firm · fact
Jo Tammi Ortega (Chief Compliance Officer) no longer on Schedule A of Cgc Financial Services (listed 2023-04-20, absent 2023-06-01)
Jun 1, 2023 · Control person left · inference
Cgc Financial Services reported RAUM $375.2M, down 40% from $621.9M (2018-06-18 to 2018-10-30)
Oct 30, 2018 · RAUM change · derived
Cgc Financial Services reported RAUM $621.9M, up 27% from $490.2M (2017-03-30 to 2018-03-20)
Mar 20, 2018 · RAUM change · derived
Cgc Financial Services filed its initial SEC registration (Form ADV)
Nov 15, 2013 · 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@cgcfinancialservices.comreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 503-670-1958reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 503-670-1964reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 888-670-1958reportedpublished by the firm, firm site, Sep 15, 2026
Website: CGCFINANCIALSERVICES.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone: 503-670-1958reportedpublic record, Form ADV, Aug 20, 2026
Contact form: cgcfinancialservices.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
Team page: cgcfinancialservices.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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: $125Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026