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••••••••• I••••••••• M•••••••••
Legal name W• R••••••••• L••
Latest filing Feb 9, 2026
First filing on the tape Aug 21, 2019 · 17 filings
SEC status approved since Sep 20, 2019
RAUM
$250M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$229M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$62.5M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$250M as of Feb 9, 2026
Feb 28, 2020$102M then
HNW client RAUM$222M as of Feb 9, 2026
Feb 28, 2020$69.1M then
State-registered IARs (5.B.3)4 as of Feb 9, 2026
Feb 28, 20203 then
Employees (5.A)4 as of Feb 9, 2026
Feb 28, 20203 then
Private funds: no history
RAUM +16% over the last fiscal year+23% a year over threeIARs 4 to 4offices 2 to 3
Practice profile
derived from the filing of Feb 9, 2026; every figure names its basis
- RAUM per advisor
- $62.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 16derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived4 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
- +6.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$222M89%
- Pooled investment vehicles$20.3M8.1%
- Individuals$7.0M2.8%
- Pension and profit-sharing plans$1.1M0.4%
- Individual clients
- 15reported
- HNW clients
- 47reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 126reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.91 fund_share=0.08 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• M•••••• B••••••• | San Francisco, Ca | May 31, 2024 | 10 y | 0 |
| J••• W• R•••••••• L••• | Sun Valley, Id | Jun 30, 2025 | 36 y | 0 |
| J•••• M• C••• | Portland, Or | Oct 31, 2025 | 25 y | 3 |
| W•••••• D•••• R••••••••• | Sun Valley, Id | Nov 10, 2025 | 26 y | 3 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- R•••••• M••••••• to R•••• R•••••• I•••••••••Aug 8, 2017 · RIA to a state-registered adviser
- J••••• R• H••••• to M••••• S••••••Jul 22, 2016 · RIA to wirehouse
Joined, latest
- W•••••• D•••• R••••••••• from S••••••• R••• W••••• M••••••••• L••Nov 10, 2025 · Other
- J•••• M• C••• from S••••••• R••• W••••• M••••••••• L••Oct 31, 2025 · Other
- R•••••• M••••••• from E•••••••• C•••••• M••••••••• I•••Mar 5, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• J••••• M• · Chief Operating Officercontrolsince 04/2013 · owns less than 5%
- L•••• J•••• W• R•••••••• · Executive Vice Presidentcontrolsince 06/2014 · owns less than 5%
- R••••••••• W••••••• D•••• · Chief Compliance Officer, Member, Managing Directorcontrolsince 04/2013 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Portland, Or · principal | 3 | 2 | 0 | ||
| Palm Springs, Ca | 2 | 1 | 0 | ||
| Sun Valley, Id | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 116 to 126Jun 11, 2025 to Feb 9, 2026
- HNW clients · 46 to 47Jun 11, 2025 to Feb 9, 2026
- Individual clients · 12 to 15Jun 11, 2025 to Feb 9, 2026
- Discretionary RAUM · $216M to $250MJun 11, 2025 to Feb 9, 2026
- HNW RAUM · $190M to $222MJun 11, 2025 to Feb 9, 2026
- Individual RAUM · $5.0M to $7.0MJun 11, 2025 to Feb 9, 2026
- Pension RAUM · $1.9M to $1.1MJun 11, 2025 to Feb 9, 2026
- Pooled vehicle RAUM · $19.7M to $20.3MJun 11, 2025 to Feb 9, 2026
- RAUM · $216M to $250MJun 11, 2025 to Feb 9, 2026
- Financial planning clients · 0 to 0Jan 25, 2025 to Jun 11, 2025
- Other offices · 2 to 3Jan 25, 2025 to Jun 11, 2025
- Accounts · 114 to 116Jul 9, 2024 to Jan 25, 2025
- HNW clients · 42 to 46Jul 9, 2024 to Jan 25, 2025
- Individual clients · 16 to 12Jul 9, 2024 to Jan 25, 2025
- Pension plan clients · 3 to 2Jul 9, 2024 to Jan 25, 2025
- Discretionary RAUM · $173M to $216MJul 9, 2024 to Jan 25, 2025
- HNW RAUM · $146M to $190MJul 9, 2024 to Jan 25, 2025
- Individual RAUM · $7.6M to $5.0MJul 9, 2024 to Jan 25, 2025
- Pension RAUM · $1.9M to $1.9MJul 9, 2024 to Jan 25, 2025
- Pooled vehicle RAUM · $18.0M to $19.7MJul 9, 2024 to Jan 25, 2025
- RAUM · $173M to $216MJul 9, 2024 to Jan 25, 2025
- Other offices · 1 to 2May 31, 2024 to Jul 9, 2024
- Advisory employees · 3 to 4Feb 8, 2024 to May 31, 2024
- Employees · 3 to 4Feb 8, 2024 to May 31, 2024
- State-registered IARs · 3 to 4Feb 8, 2024 to May 31, 2024
- Other offices · 0 to 1Feb 8, 2024 to May 31, 2024
- Accounts · 124 to 114Jan 10, 2023 to Jan 22, 2024
- HNW clients · 39 to 42Jan 10, 2023 to Jan 22, 2024
- Individual clients · 21 to 16Jan 10, 2023 to Jan 22, 2024
- Discretionary RAUM · $133M to $173MJan 10, 2023 to Jan 22, 2024
- HNW RAUM · $107M to $146MJan 10, 2023 to Jan 22, 2024
- Individual RAUM · $9.2M to $7.6MJan 10, 2023 to Jan 22, 2024
- Pension RAUM · $1.2M to $1.9MJan 10, 2023 to Jan 22, 2024
- Pooled vehicle RAUM · $14.9M to $18.0MJan 10, 2023 to Jan 22, 2024
- RAUM · $133M to $173MJan 10, 2023 to Jan 22, 2024
- Accounts · 129 to 124May 10, 2022 to Jan 10, 2023
- HNW clients · 48 to 39May 10, 2022 to Jan 10, 2023
- Individual clients · 11 to 21May 10, 2022 to Jan 10, 2023
- Pension plan clients · 2 to 3May 10, 2022 to Jan 10, 2023
- Discretionary RAUM · $202M to $133MMay 10, 2022 to Jan 10, 2023
Signals
3 dated events
- W Robertson Joan Lamb (Executive Vice President) appeared on Schedule A of R••••••••• I••••••••• M•••••••••Jan 22, 2024 · Control person joined · fact
- W Robertson Joan Lamb (Executive Vice President) no longer on Schedule A of R••••••••• I••••••••• M••••••••• (listed 2020-02-28, absent 2020-03-16)Mar 16, 2020 · Control person left · inference
- R••••••••• I••••••••• M••••••••• filed its initial SEC registration (Form ADV)Aug 21, 2019 · 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
- e•••••••••@r•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 503-452-1210reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-755-6546reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- R•••••••••INVESTMENT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 503-452-1210reportedpublic record, Form ADV, Feb 9, 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
- $62.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026