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.

Former SEC-registered adviser

Distribution Consultants, Inc.

Former SEC-registered adviserPortland, OregonCRD 166765SEC 801-77783IAPD
Latest filing Mar 24, 2021
First filing on the tape Mar 14, 2013 · 15 filings
RAUM
$7.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$7.4M as of Mar 24, 2021
Mar 31, 2015$17.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2021
Mar 28, 20140 then
Employees (5.A)3 as of Mar 24, 2021
Mar 28, 20142 then
Private funds: no history
RAUM -39% over the last fiscal year-14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2021; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$1.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-39%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
otherreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$7.4M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Keil Christopher Hicks · Member & Chief Compliance Officercontrol
        since 02/2013 · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Corporate clients · 4.0 to unset
        Jan 2, 2021 to Mar 24, 2021
      • Employees · 1 to 3
        Jan 2, 2021 to Mar 24, 2021
      • Discretionary RAUM · $12.2M to $7.4M
        Jan 2, 2021 to Mar 24, 2021
      • Pension RAUM · unset to 7430769.0
        Jan 2, 2021 to Mar 24, 2021
      • RAUM · $12.2M to $7.4M
        Jan 2, 2021 to Mar 24, 2021
      • Corporate clients · unset to 4.0
        Mar 29, 2019 to Mar 27, 2020
      • Employees · 2 to 1
        Mar 29, 2019 to Mar 27, 2020
      • Discretionary RAUM · $11.0M to $12.2M
        Mar 29, 2019 to Mar 27, 2020
      • RAUM · $11.0M to $12.2M
        Mar 29, 2019 to Mar 27, 2020
      • Advisory employees · 0 to 1
        Mar 30, 2018 to Mar 29, 2019
      • Discretionary RAUM · $11.7M to $11.0M
        Mar 30, 2018 to Mar 29, 2019
      • RAUM · $11.7M to $11.0M
        Mar 30, 2018 to Mar 29, 2019
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $15.6M to $11.7M
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $15.6M to $11.7M
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $17.9M to $15.6M
        Feb 15, 2016 to Mar 31, 2017
      • RAUM · $17.9M to $15.6M
        Feb 15, 2016 to Mar 31, 2017
      • Discretionary RAUM · $17.0M to $17.9M
        Mar 31, 2015 to Feb 15, 2016
      • RAUM · $17.0M to $17.9M
        Mar 31, 2015 to Feb 15, 2016
      • Accounts · unset to 4.0
        Dec 23, 2014 to Mar 31, 2015
      • Discretionary RAUM · unset to 17022541.0
        Dec 23, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · unset to 0.0
        Dec 23, 2014 to Mar 31, 2015
      • RAUM · unset to 17022541.0
        Dec 23, 2014 to Mar 31, 2015
      • Accounts · 0.0 to unset
        Nov 15, 2013 to Mar 28, 2014
      • Discretionary RAUM · 0.0 to unset
        Nov 15, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · 0.0 to unset
        Nov 15, 2013 to Mar 28, 2014
      • RAUM · 0.0 to unset
        Nov 15, 2013 to Mar 28, 2014
      • Business name · DISTRIBUTION CONSULTANTS to DISTRIBUTION CONSULTANTS, INC.
        Mar 14, 2013 to Aug 23, 2013
      • Legal name · DISTRIBUTION CONSULTANTS to DISTRIBUTION CONSULTANTS, INC.
        Mar 14, 2013 to Aug 23, 2013
      Signals
      1 dated events
      • Distribution Consultants filed its initial SEC registration (Form ADV)
        Mar 14, 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.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026