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
F••••• • W•••• I•••
Latest filing Mar 20, 2026
First filing on the tape Feb 24, 2021 · 7 filings
SEC status approved since Mar 26, 2021
RAUM
$219M
reported, Item 5.F
Discretionary
71%
of RAUM
Private clients
21%
$46.3M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$72.9M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$219M as of Mar 20, 2026
Feb 17, 2022$137M then
HNW client RAUM$37.2M as of Mar 20, 2026
Feb 17, 2022$12.9M then
State-registered IARs (5.B.3)3 as of Mar 20, 2026
Feb 17, 20222 then
Employees (5.A)3 as of Mar 20, 2026
Feb 17, 20222 then
Private funds: no history
RAUM +16% over the last fiscal year+16% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $72.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 23derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $985,103derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 71%derivedof RAUM
- Institutional
- 79%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $2.6M, 3 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)
- 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
- Pension and profit-sharing plans$172M79%
- High-net-worth individuals$37.2M17%
- Individuals$9.1M4.1%
- Individual clients
- 47reported
- HNW clients
- 21reported
- Pension plan clients
- 40reported
- Charitable clients
- n/areported
- Accounts
- 222reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.6M for 3 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.21 fund_share=0.0 institutional_share=0.79 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• E••••• W••• | Lake Oswego, Or | Nov 15, 2018 | 25 y | 3 |
| D•••• T••• F•••••Certified Financial Planner | Lake Oswego, Or | Nov 15, 2018 | 24 y | 1 |
| J••••• D••••• S•• | Lake Oswego, Or | Jun 1, 2024 | 12 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
none on the tape
Joined, latest
- T•••••• E••••• W••• from P•••••• W••• F•••••••• C••••••••• I••Nov 15, 2018 · Other
- D•••• T••• F••••• from L•• F•••••••• L••Nov 15, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• D••••• T••• · President/ Ccocontrolsince 08/2012 · owns 75% or more
- W•••• T••••••• E••••• · Principalcontrolsince 05/2015 · owns 5% to 10%
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 | 3 | 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
- high institutional concentrationStatic outlier · filing Mar 20, 2026institutional share of RAUM of 79% against a peer median of 0% (5676 comparable advisers, 100.0th percentile, 26.5 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 100% percentile
What changed
consecutive filings, newest first
- HNW clients · 8 to 21Mar 25, 2025 to Mar 20, 2026
- Individual clients · 57 to 47Mar 25, 2025 to Mar 20, 2026
- Pension plan clients · 42 to 40Mar 25, 2025 to Mar 20, 2026
- Assets in custody · $10.5M to $2.6MMar 25, 2025 to Mar 20, 2026
- Discretionary RAUM · $131M to $155MMar 25, 2025 to Mar 20, 2026
- HNW RAUM · $18.6M to $37.2MMar 25, 2025 to Mar 20, 2026
- Individual RAUM · $18.9M to $9.1MMar 25, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $58.0M to $63.5MMar 25, 2025 to Mar 20, 2026
- Pension RAUM · $151M to $172MMar 25, 2025 to Mar 20, 2026
- RAUM · $189M to $219MMar 25, 2025 to Mar 20, 2026
- Accounts · 211 to 222Mar 18, 2024 to Mar 25, 2025
- Advisory employees · 2 to 3Mar 18, 2024 to Mar 25, 2025
- HNW clients · 10 to 8Mar 18, 2024 to Mar 25, 2025
- Assets in custody · $10.0M to $10.5MMar 18, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0Mar 18, 2024 to Mar 25, 2025
- State-registered IARs · 2 to 3Mar 18, 2024 to Mar 25, 2025
- Discretionary RAUM · $112M to $131MMar 18, 2024 to Mar 25, 2025
- HNW RAUM · $16.5M to $18.6MMar 18, 2024 to Mar 25, 2025
- Individual RAUM · $16.7M to $18.9MMar 18, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $52.2M to $58.0MMar 18, 2024 to Mar 25, 2025
- Pension RAUM · $131M to $151MMar 18, 2024 to Mar 25, 2025
- RAUM · $164M to $189MMar 18, 2024 to Mar 25, 2025
- Accounts · 193 to 211Mar 21, 2023 to Mar 18, 2024
- Advisory activities · 2 to 3Mar 21, 2023 to Mar 18, 2024
- HNW clients · 6 to 10Mar 21, 2023 to Mar 18, 2024
- Individual clients · 59 to 57Mar 21, 2023 to Mar 18, 2024
- Pension plan clients · 39 to 42Mar 21, 2023 to Mar 18, 2024
- Assets in custody · $6.8M to $10.0MMar 21, 2023 to Mar 18, 2024
- Employees · 2 to 3Mar 21, 2023 to Mar 18, 2024
- Discretionary RAUM · $93.0M to $112MMar 21, 2023 to Mar 18, 2024
- HNW RAUM · $11.8M to $16.5MMar 21, 2023 to Mar 18, 2024
- Individual RAUM · $17.3M to $16.7MMar 21, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $45.6M to $52.2MMar 21, 2023 to Mar 18, 2024
- Pension RAUM · $109M to $131MMar 21, 2023 to Mar 18, 2024
- RAUM · $139M to $164MMar 21, 2023 to Mar 18, 2024
- Accounts · 179 to 193Aug 29, 2022 to Mar 21, 2023
- HNW clients · 7 to 6Aug 29, 2022 to Mar 21, 2023
- Individual clients · 47 to 59Aug 29, 2022 to Mar 21, 2023
- Assets in custody · $5.2M to $6.8MAug 29, 2022 to Mar 21, 2023
- Discretionary RAUM · $90.2M to $93.0MAug 29, 2022 to Mar 21, 2023
Signals
1 dated events
- F••••• W••••• filed its initial SEC registration (Form ADV)Feb 24, 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 phone
- 503-785-9844reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- F•••••ANDW•••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 503-785-9844reportedpublic record, Form ADV, Mar 20, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $72.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026