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

A••• W••••• M••••••••• I••

Independent wealth managerBend, OregonCRD 155890SEC 801-136859websiteIAPD
Latest filing Jul 14, 2026
First filing on the tape Jul 14, 2026 · 1 filings
SEC status approved since Aug 6, 2026
RAUM
$148M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
92%
$137M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$49.3M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $148M
HNW client RAUM: $111M
State-registered IARs (5.B.3): 3
Employees (5.A): 3
Private funds: no history
Practice profile
derived from the filing of Jul 14, 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
$49.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
51derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$305,791derivedRAUM over accounts (5.F.2.f)
Discretionary
89%derivedof RAUM
Institutional
7.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Custody
$72.1M, 108 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$111M75%
  • Individuals$26.0M18%
  • Pension and profit-sharing plans$11.0M7.4%
  • Charitable organizations$247,2390.2%
  • Corporations and businesses$202,3590.1%
Individual clients
75reported
HNW clients
77reported
Pension plan clients
7reported
Charitable clients
3reported
Accounts
484reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$72.1M for 108 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R•••••• N••••• A••••••Bend, OrMar 30, 201713 y1
C••• J•• B•••••Certified Financial PlannerBend, OrJun 29, 201715 y1
I••••••• C•••••••• R••••Houston, Tx Aug 8, 202214 y0
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • A••••••• R••••••• N••••• · Chief Compliance Officer, Chief Executive Officercontrol
    since 03/2017 · owns 50% to 75%
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 · principal301
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
  • J••••• M• F••••• left A••• W••••• M••••••••• I•• for B•••• D•••••• F••••••••• L•• (registered 2026-03-05)
    May 19, 2026 · Advisor changed firm · 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
541-647-1390reportedpublished by the firm, firm site, Sep 16, 2026
Business phone
541-647-1500reportedpublished by the firm, firm site, Sep 16, 2026
Website
A•••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
(541) 647-1500reportedpublic record, Form ADV, Jul 14, 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
$49.3Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026