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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Former SEC-registered adviser

C•••• H••• P•••••••• L••

Former SEC-registered adviserPortland, OregonCRD 168252SEC 801-78336websiteIAPD
Latest filing Mar 21, 2025
First filing on the tape Jul 8, 2013 · 31 filings
SEC status approved since Jul 31, 2013
RAUM
$2.0B
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
79%
$1.6B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
29
17 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$2.0B as of Mar 21, 2025
Mar 31, 2014$0 then
HNW client RAUM$1.4B as of Mar 21, 2025
Jan 31, 2018$464M then
State-registered IARs (5.B.3)17 as of Mar 21, 2025
Mar 31, 20145 then
Employees (5.A)29 as of Mar 21, 2025
Mar 31, 20146 then
Private funds: no history
RAUM +19% over the last fiscal year+9.7% a year over threeIARs 14 to 17offices 0 to 1
Practice profile
derived from the filing of Mar 21, 2025; every figure names its basis
RAUM per advisor
$116MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
39derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.0MderivedHNW RAUM over HNW clients
Average account
$663,112derivedRAUM over accounts (5.F.2.f)
Discretionary
82%derivedof RAUM
Institutional
20%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
8.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
+21%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.4%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Financial planning clients
597reportedItem 5.H
Custody
$613M, 162 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$1.4B73%
  • Pension and profit-sharing plans$350M18%
  • Individuals$133M6.7%
  • Charitable organizations$38.3M1.9%
  • Corporations and businesses$18.7M0.9%
Individual clients
303reported
HNW clients
360reported
Pension plan clients
75reported
Charitable clients
8reported
Accounts
2,982reported
Financial planning clients
597reported
Wrap fee programs
noreported
Custody of client assets
$613M for 162 clientsreported
Compensation
% of AUM, fixedreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C••••••••• D••••• B•••• · Managing Member, Founding Partner, Managing Directorcontrol
    since 02/2014 · owns 50% to 75%
  • E•••••• J•••••••• S•••• · Chief Compliance Officercontrol
    since 03/2023 · owns less than 5%
  • G••••• J••••••• A•••• · Chief Investment Officercontrol
    since 02/2020 · owns 5% to 10%
  • H•••••• B••••• M•••••• · Member, Founding Partnercontrol
    since 02/2014 · owns 25% to 50%
  • A••••••• K••••••• B••• · Lead A••••••
    since 01/2022 · owns 5% to 10%
  • C••••••••• R•••• J• · Lead A••••••
    since 02/2024 · owns 5% to 10%
  • D•••••••• S•••••• A•• · Lead A••••••
    since 02/2024 · 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
OfficeAdvisorsJoinedLeftTeams outForming
Portland, Or · principal000
Scottsdale, Az000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Financial planning clients · More than 500 to More than 500
    Mar 3, 2025 to Mar 21, 2025
  • Accounts · 2,740 to 2,982
    Nov 11, 2024 to Mar 3, 2025
  • Advisory employees · 15 to 17
    Nov 11, 2024 to Mar 3, 2025
  • Charity clients · 6 to 8
    Nov 11, 2024 to Mar 3, 2025
  • HNW clients · 307 to 360
    Nov 11, 2024 to Mar 3, 2025
  • Individual clients · 322 to 303
    Nov 11, 2024 to Mar 3, 2025
  • Pension plan clients · 86 to 75
    Nov 11, 2024 to Mar 3, 2025
  • Assets in custody · $266M to $613M
    Nov 11, 2024 to Mar 3, 2025
  • Employees · 28 to 29
    Nov 11, 2024 to Mar 3, 2025
  • State-registered IARs · 15 to 17
    Nov 11, 2024 to Mar 3, 2025
  • Other offices · 0 to 1
    Nov 11, 2024 to Mar 3, 2025
  • Discretionary RAUM · $1.4B to $1.6B
    Nov 11, 2024 to Mar 3, 2025
  • HNW RAUM · $1.2B to $1.4B
    Nov 11, 2024 to Mar 3, 2025
  • Individual RAUM · $143M to $133M
    Nov 11, 2024 to Mar 3, 2025
  • Non-discretionary RAUM · $308M to $361M
    Nov 11, 2024 to Mar 3, 2025
  • Pension RAUM · $298M to $350M
    Nov 11, 2024 to Mar 3, 2025
  • RAUM · $1.7B to $2.0B
    Nov 11, 2024 to Mar 3, 2025
  • Advisory employees · 14 to 15
    Mar 20, 2024 to Nov 11, 2024
  • Employees · 27 to 28
    Mar 20, 2024 to Nov 11, 2024
  • State-registered IARs · 14 to 15
    Mar 20, 2024 to Nov 11, 2024
  • Accounts · 2,561 to 2,740
    Oct 19, 2023 to Feb 26, 2024
  • Advisory employees · 15 to 14
    Oct 19, 2023 to Feb 26, 2024
  • Charity clients · unset to 6.0
    Oct 19, 2023 to Feb 26, 2024
  • HNW clients · 290 to 307
    Oct 19, 2023 to Feb 26, 2024
  • Individual clients · 280 to 322
    Oct 19, 2023 to Feb 26, 2024
  • Pension plan clients · 80 to 86
    Oct 19, 2023 to Feb 26, 2024
  • Assets in custody · $1.0B to $266M
    Oct 19, 2023 to Feb 26, 2024
  • Employees · 24 to 27
    Oct 19, 2023 to Feb 26, 2024
  • State-registered IARs · 15 to 14
    Oct 19, 2023 to Feb 26, 2024
  • Discretionary RAUM · $1.1B to $1.4B
    Oct 19, 2023 to Feb 26, 2024
  • HNW RAUM · $921M to $1.2B
    Oct 19, 2023 to Feb 26, 2024
  • Individual RAUM · $118M to $143M
    Oct 19, 2023 to Feb 26, 2024
  • Non-discretionary RAUM · $253M to $308M
    Oct 19, 2023 to Feb 26, 2024
  • Pension RAUM · $242M to $298M
    Oct 19, 2023 to Feb 26, 2024
  • RAUM · $1.3B to $1.7B
    Oct 19, 2023 to Feb 26, 2024
  • Employees · 25 to 24
    Apr 17, 2023 to Oct 19, 2023
  • Advisory employees · 16 to 15
    Apr 17, 2023 to Oct 19, 2023
  • State-registered IARs · 16 to 15
    Apr 17, 2023 to Oct 19, 2023
  • Accounts · 1,753 to 2,561
    Jun 10, 2022 to Mar 31, 2023
  • Advisory employees · 13 to 16
    Jun 10, 2022 to Mar 31, 2023
Signals
30 dated events
  • C•••• H••• P•••••••• L•• no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $2.0B)
    Sep 2, 2025 · Left the SEC roster · derived
  • R••• Y••••• R••••••••• left C•••• H••• P•••••••• L•• for C••••••••• W••••• M••••••••• (registered 2025-06-02)
    Jun 18, 2025 · a•••••• firm change · fact
  • M••••••• A••••• S•••••• left C•••• H••• P•••••••• L•• for C••••••••• W••••• M••••••••• (registered 2026-01-01)
    Jun 18, 2025 · a•••••• firm change · fact
  • C••••••••• J•••• M•••• left C•••• H••• P•••••••• L•• for C••••••••• W••••• M••••••••• (registered 2026-01-01)
    Jun 18, 2025 · a•••••• firm change · fact
  • A•••••• C••••••••• R•• left C•••• H••• P•••••••• L•• for C••••••••• W••••• M••••••••• (registered 2025-06-03)
    Jun 18, 2025 · a•••••• firm change · fact
  • J•••• B••••••• S•••••• left C•••• H••• P•••••••• L•• for C••••••••• W••••• M••••••••• (registered 2025-06-03)
    Jun 18, 2025 · a•••••• firm change · fact
  • R••••• W••••• Y•••• left C•••• H••• P•••••••• L•• for C••••••••• W••••• M••••••••• (registered 2025-06-02)
    Jun 18, 2025 · a•••••• firm change · fact
  • N••••••• R••••• R•••••• left C•••• H••• P•••••••• L•• for C••••••••• W••••• M••••••••• (registered 2025-06-02)
    Jun 18, 2025 · a•••••• firm change · fact
  • A••• K•••••••• S••• left C•••• H••• P•••••••• L•• for C••••••••• W••••• M••••••••• (registered 2025-06-03)
    Jun 18, 2025 · a•••••• firm change · fact
  • B•••••• R••••••• P•••••••• left C•••• H••• P•••••••• L•• for C••••••••• W••••• M••••••••• (registered 2025-06-03)
    Jun 17, 2025 · a•••••• firm change · fact
  • D•••• B•••• C•••••••• left C•••• H••• P•••••••• L•• for C••••••••• W••••• M••••••••• (registered 2025-06-03)
    Jun 17, 2025 · a•••••• firm change · fact
  • S••••• A•• D••••••• left C•••• H••• P•••••••• L•• for C••••••••• W••••• M••••••••• (registered 2026-01-01)
    Jun 17, 2025 · a•••••• firm change · fact
  • J••••••• S•••• E••••• left C•••• H••• P•••••••• L•• for C••••••••• W••••• M••••••••• (registered 2025-06-03)
    Jun 17, 2025 · a•••••• firm change · fact
  • R••• J• C••••••••• left C•••• H••• P•••••••• L•• for C••••••••• W••••• M••••••••• (registered 2025-06-02)
    Jun 17, 2025 · a•••••• firm change · fact
  • B•••• M•••••• H••••• left C•••• H••• P•••••••• L•• for C••••••••• W••••• M••••••••• (registered 2025-06-03)
    Jun 17, 2025 · a•••••• firm change · fact
  • K•••••• B••• A•••••• left C•••• H••• P•••••••• L•• for C••••••••• W••••• M••••••••• (registered 2025-12-19)
    Jun 17, 2025 · a•••••• firm change · fact
  • J•••••• A•••• G•••• left C•••• H••• P•••••••• L•• for C••••••••• W••••• M••••••••• (registered 2025-06-24)
    Jun 17, 2025 · a•••••• firm change · fact
  • T••• R••••• H••••• left C•••• H••• P•••••••• L•• for C••••••••• W••••• M••••••••• (registered 2025-06-02)
    Jun 17, 2025 · a•••••• firm change · fact
  • C•••• H••• P•••••••• L••'s advisors moved to C••••••••• W••••• M••••••••• (Portland, OR): 16 of 17 registered, a day apart
    Jun 17, 2025 · Firm absorbed (people side) · derived
  • C•••• H••• P•••••••• L•• reported RAUM $1.7B, up 27% from $1.3B (2023-10-19 to 2024-02-26)
    Feb 26, 2024 · RAUM change · derived
  • Alberta S•••• Van Cappellen (Chief Operating Officer) no longer on Schedule A of C•••• H••• P•••••••• L•• (listed 2023-10-19, absent 2024-02-26)
    Feb 26, 2024 · Control person left · inference
  • J••••••• D••••• G••••••••• left C•••• H••• P•••••••• L•• for N•••••••• A•••• M••••••••• I•• (registered 2024-03-05)
    Oct 19, 2023 · a•••••• firm change · fact
  • C•••••• A• P•••••••• left C•••• H••• P•••••••• L•• for B••••• W••••• M••••••••• L•• (registered 2023-07-14)
    Jun 30, 2023 · a•••••• firm change · fact
  • S•••• J••••••• E••••• (Chief Compliance Officer) appeared on Schedule A of C•••• H••• P•••••••• L••
    Mar 31, 2023 · Control person joined · fact
  • A••••• J•• E••••••••• left C•••• H••• P•••••••• L•• for M••••• G••••• A••••••• I••• (registered 2022-05-31)
    Mar 29, 2022 · a•••••• firm change · fact
  • Clark Jeffrey Krum (Member, Founding Partner) no longer on Schedule A of C•••• H••• P•••••••• L•• (listed 2021-02-21, absent 2022-03-29)
    Mar 29, 2022 · Control person left · inference
  • E••• Y•• left C•••• H••• P•••••••• L•• for V•••• C•••••• P•••••••• I••• (registered 2022-03-15)
    Feb 25, 2022 · a•••••• firm change · fact
  • C•••• H••• P•••••••• L•• reported RAUM $988.1M, up 40% from $708.3M (2019-11-07 to 2020-02-10)
    Feb 10, 2020 · RAUM change · derived
  • Allan Jeffrey Gates (Chief Investment Officer) appeared on Schedule A of C•••• H••• P•••••••• L••
    Feb 10, 2020 · Control person joined · fact
  • T••••••• A•••••• 9• L•• filed its initial SEC registration (Form ADV)
    Jul 8, 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