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
R•• F••••••••
Legal name R•• F•••••••• A•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jun 28, 2021 · 13 filings
SEC status approved since Jul 29, 2021
RAUM
$264M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
97%
$257M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$132M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$264M as of Mar 30, 2026
Mar 21, 2022$138M then
HNW client RAUM$206M as of Mar 30, 2026
Mar 21, 2022$31.1M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 21, 20222 then
Employees (5.A)8 as of Mar 30, 2026
Mar 21, 20227 then
Private funds: no history
RAUM +20% over the last fiscal year+28% a year over threeIARs 3 to 2offices 3 to 1
Practice profile
derived from the filing of Mar 30, 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
- $132MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 136derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $174,016derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $83.7M, 152 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$206M78%
- Individuals$50.9M19%
- Pension and profit-sharing plans$7.5M2.8%
- Individual clients
- 192reported
- HNW clients
- 80reported
- Pension plan clients
- 11reported
- Charitable clients
- n/areported
- Accounts
- 1,518reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $83.7M for 152 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• J••• J•••••• | Beaverton, Or | Feb 27, 2015 | 33 y | 1 |
| T••••• P•••••• B•••• | Beaverton, Or | Dec 21, 2020 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount2 left over 36 months
Left, latest
- C••••• D•••• A••••• to N••• P••• W•••••Oct 24, 2025 · RIA to a state-registered adviser
- R••• B••••• to A••••••••• F•••••••• S•••••••• L••Feb 5, 2025 · RIA to affiliated broker-dealer or bank
- O•••••• F•••••••• M•••••• to C••••••• A••••••• S•••••••• L••May 7, 2021 · RIA to RIA
- D••• P•••••••• M•••• C••••••• to W••••• A••••••• N•Oct 4, 2016 · RIA to RIA
- G••••••• D•••••• to W••••• A••••••• N•Oct 4, 2016 · RIA to RIA
- T•••• J•••• J•••••• to W••••• A••••••• N•Aug 19, 2016 · RIA to RIA
Joined, latest
- L•••• J••• J•••••• from A••••••••• F•••••••• S•••••••• L••Feb 27, 2015 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for W••••• A••••••• N•Oct 4, 2016 · Beaverton, Or
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••• L••••• J••• · Managing Member/Chief Compliance Officer/Chief Executive Officercontrolsince 12/2011 · owns 75% or more
Related persons
Schedule D 7.A
- R•• T•• L••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Beaverton, Or · principal | 2 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Clackamas, OR3 employees
- Lake Oswego, OR3 employees
- Portland, OR1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- office count dropChange between filings · filing Mar 30, 2026offices other than the principal office (Item 1.F.5) moved from 3.0 to 1.0 (-67.0%) between the annual amendments of 2025-03-24 and 2026-03-30; the peer median change was 0.0% (450 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (450) · 1.6% percentile
What changed
consecutive filings, newest first
- Accounts · 1,395 to 1,518Jan 30, 2026 to Mar 30, 2026
- Advisory employees · 3 to 5Jan 30, 2026 to Mar 30, 2026
- HNW clients · 64 to 80Jan 30, 2026 to Mar 30, 2026
- Individual clients · 193 to 192Jan 30, 2026 to Mar 30, 2026
- Pension plan clients · 2 to 11Jan 30, 2026 to Mar 30, 2026
- Pooled vehicle clients · 9.0 to unsetJan 30, 2026 to Mar 30, 2026
- Assets in custody · $126M to $83.7MJan 30, 2026 to Mar 30, 2026
- Financial planning clients · 101-250 to 251-500Jan 30, 2026 to Mar 30, 2026
- State-registered IARs · 3 to 2Jan 30, 2026 to Mar 30, 2026
- Discretionary RAUM · $214M to $257MJan 30, 2026 to Mar 30, 2026
- HNW RAUM · $164M to $206MJan 30, 2026 to Mar 30, 2026
- Individual RAUM · $49.3M to $50.9MJan 30, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $6.2M to $7.5MJan 30, 2026 to Mar 30, 2026
- Pension RAUM · $759,840 to $7.5MJan 30, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · 6199278.0 to unsetJan 30, 2026 to Mar 30, 2026
- RAUM · $221M to $264MJan 30, 2026 to Mar 30, 2026
- Other offices · 3 to 1Mar 24, 2025 to Jan 30, 2026
- Accounts · 1,165 to 1,395Nov 18, 2024 to Mar 24, 2025
- Advisory activities · 5 to 4Nov 18, 2024 to Mar 24, 2025
- HNW clients · 50 to 64Nov 18, 2024 to Mar 24, 2025
- Individual clients · 158 to 193Nov 18, 2024 to Mar 24, 2025
- Pension plan clients · 9 to 2Nov 18, 2024 to Mar 24, 2025
- Pooled vehicle clients · unset to 9.0Nov 18, 2024 to Mar 24, 2025
- Assets in custody · unset to 126199337.0Nov 18, 2024 to Mar 24, 2025
- Custody of client assets · false to trueNov 18, 2024 to Mar 24, 2025
- Employees · 9 to 8Nov 18, 2024 to Mar 24, 2025
- Financial planning clients · 101-250 to 101-250Nov 18, 2024 to Mar 24, 2025
- Discretionary RAUM · $157M to $214MNov 18, 2024 to Mar 24, 2025
- HNW RAUM · $113M to $164MNov 18, 2024 to Mar 24, 2025
- Individual RAUM · $43.6M to $49.3MNov 18, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $4.7M to $6.2MNov 18, 2024 to Mar 24, 2025
- Pension RAUM · $4.7M to $759,840Nov 18, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · unset to 6199278.0Nov 18, 2024 to Mar 24, 2025
- RAUM · $162M to $221MNov 18, 2024 to Mar 24, 2025
- Other offices · 2 to 3Sep 9, 2024 to Sep 26, 2024
- Discretionary RAUM · $123M to $157MSep 20, 2023 to Mar 18, 2024
- HNW RAUM · $82.7M to $113MSep 20, 2023 to Mar 18, 2024
- Individual RAUM · $40.1M to $43.6MSep 20, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $3.1M to $4.7MSep 20, 2023 to Mar 18, 2024
- Pension RAUM · $3.1M to $4.7MSep 20, 2023 to Mar 18, 2024
Signals
3 dated events
- C••••• D•••• A••••• left R•• F•••••••• for N••• P••• W••••• (registered 2026-01-07)Oct 24, 2025 · Advisor changed firm · fact
- R••• B••••• left R•• F•••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-05-08)Feb 5, 2025 · Advisor changed firm · fact
- R•• F•••••••• filed its initial SEC registration (Form ADV)Jun 28, 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.
How to reach
public business contact points only, each with its source
- Business email
- hello@roi-fa.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 503-747-3139reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 503-774-3455reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 503-777-3353reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/roi-financialreportedpublic record, Form ADV, Sep 18, 2026
- Website
- ROI-FA.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 503-941-5925reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- roi-fa.com/contact-usreportedpublished 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
- $132Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026