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
T•• I••••••••• A•••• M••••••••• L••
Latest filing Aug 26, 2026
First filing on the tape Oct 24, 2013 · 108 filings
SEC status approved since Nov 5, 2013
RAUM
$337M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$337M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$42.1M
derived; firm RAUM over IAPD count
Employees
24
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
108 filings and snapshots on the tape
RAUM$337M as of Aug 26, 2026
Mar 25, 2015$0 then
HNW client RAUM$266M as of Aug 26, 2026
Mar 31, 2018$391M then
State-registered IARs (5.B.3)8 as of Aug 26, 2026
Mar 26, 20140 then
Employees (5.A)24 as of Aug 26, 2026
Mar 26, 20141 then
Private funds: no history
RAUM -41% over the last fiscal year-13% a year over threeIARs 9 to 8offices 3 to 1
Practice profile
derived from the filing of Aug 26, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $42.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 132derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $436,947derivedHNW RAUM over HNW clients
- Average account
- $318,085derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -41%derivedbetween the last two annual amendments
- Advisor growth, one year
- -11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -15%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Wrap fee program
- $308MreportedItem 5.I
- Custody
- $7.5M, 9 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- controlled by a public reporting company (10.A)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$266M79%
- Individuals$70.6M21%
- Corporations and businesses$127,2310.0%
- Individual clients
- 447reported
- HNW clients
- 609reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,059reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $7.5M for 9 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• S••••••• | P•••••••, Or | Jul 11, 2019 | 26 y | 4 |
| J•••• R•••••• | P•••••••, Or | Jul 26, 2019 | 16 y | 2 |
| L••••• W••••• W•••••Certified Financial Planner | Charlotte, Nc | Jul 26, 2019 | 24 y | 3 |
| J••••••• F••••••••• | Corsicana, Tx | Mar 3, 2021 | 21 y | 2 |
| M•••••• H••••••• C••• | P•••••••, Or | May 15, 2023 | 12 y | 4 |
| V••••••• H••• W••••••Certified Financial Planner | P•••••••, Or | Feb 16, 2024 | 12 y | 1 |
| L•••• M•••• O••••Certified Financial Planner | Charlotte, Nc | Feb 12, 2026 | 10 y | 4 |
| T••••• C•••••••• | P•••••••, Or | Jun 2, 2026 | 12 y | 1 |
Advisor movement
6 left, 6 joined in 12 months
net 0 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 75% of current headcount6 left over 36 months
Left, latest
- M•••• A••••• L•••• to A••••• A•• P••••••• S•••••••Jul 7, 2026 · RIA to affiliated broker-dealer or bank
- P••• C•••• W•••••• to W••••••••• P••• C•••••• M••••••••• L••Mar 31, 2026 · RIA to a newly registered adviser
- M••••••• C•••••••• W••••• to M••••••••• A•••••••• L••Feb 6, 2026 · RIA to a newly registered adviser
- H••• S••••••• M••••• to M••••••••• A•••••••• L••Feb 6, 2026 · RIA to a newly registered adviser
- B•••••• G•••••• M••••• to M••••••••• A•••••••• L••Feb 6, 2026 · RIA to a newly registered adviser
- H••••• J••• T••••••• to M••••••••• A•••••••• L••Feb 6, 2026 · RIA to a newly registered adviser
- M•••• P••••• L•••• to A•••••• W••••• L•May 11, 2022 · RIA to RIA
- T•••• I••••••••• M•••• to S•••••••• W••••• P•••••••• L•••Jun 1, 2021 · RIA to RIA
- J•••• C••••• N••••••••• to M••••• W••••• A•••••••• L••Apr 16, 2021 · RIA to a newly registered adviser
- J•••• S•••••• C•••• to M••••• W••••• A•••••••• L••Apr 16, 2021 · RIA to a newly registered adviser
- N••••••• D••• S••••••••• to P••• P•••••••••Jan 2, 2021 · RIA to a newly registered adviser
- J••• D•••• K••• to J••••• A•••• M••••••••• L••Sep 30, 2020 · RIA to a state-registered adviser
- A••• O•••• to J••••• A•••• M••••••••• L••Sep 30, 2020 · RIA to a state-registered adviser
- J•••• P•••••• B•••••• to C••••• C•••••• M••••••••• L••Aug 14, 2020 · RIA to RIA
- J••• T••••• D••••••••• to B•••• E•••• A•••• M••••••••• L••Dec 2, 2019 · RIA to RIA
Joined, latest
- T••••• C•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 2, 2026 · Wirehouse to independent RIA
- L•••• M•••• O•••• from C•••••• S••••• • C••• I•••Feb 12, 2026 · Affiliated broker-dealer or bank to independent RIA
- H••••• J••• T••••••• from T••••• A••••••• S•••••••• I•••Nov 20, 2025 · Affiliated broker-dealer or bank to independent RIA
- B•••••• G•••••• M••••• from C••••• S••••• S••••••••• •••• L••Nov 14, 2025 · Other
- M••••••• C•••••••• W••••• from T••••• A••••••• S•••••••• I•••Nov 13, 2025 · Affiliated broker-dealer or bank to independent RIA
- H••• S••••••• M••••• from M••••• K••••• • C••••••• L••Nov 13, 2025 · Other
- M•••• A••••• L•••• from M••••• S••••••Jul 15, 2025 · Wirehouse to independent RIA
- V••••••• H••• W•••••• from V••••••• A•••••••• I•••Feb 16, 2024 · Affiliated broker-dealer or bank to independent RIA
- M•••••• H••••••• C••• from O•••• P•••••••• S••••••••• L••May 15, 2023 · Affiliated broker-dealer or bank to independent RIA
- J••••••• F••••••••• from S•••••• P••••••• I••••••••• S••••••••• L••Mar 3, 2021 · RIA to RIA
- J•••• S•••••• C•••• from W••••••••• A•••••••• L••Mar 14, 2020 · Other
- J•••• C••••• N••••••••• from P••••••• A••••••••• L••Feb 7, 2020 · RIA to RIA
- M•••• P••••• L•••• from P••••••• P•••••• W••••• M••••••••• I•••Jan 8, 2020 · RIA to RIA
- L••••• W••••• W••••• from Y••••••••• W••••• S••••••••• L••Jul 26, 2019 · RIA to RIA
- J•••• R•••••• from Y••••••••• W••••• S••••••••• L••Jul 26, 2019 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for M••••••••• A•••••••• L••Feb 6, 2026 · P•••••••, Or
- 3 left for J•••••• W••••• M••••••••• L••Jan 2, 2019 · Denver, Co
- 2 left for A••••• F•••••••• A•••••••• L••Sep 11, 2017 · P•••••••, Or
- 2 joined from T••••• A••••••• S•••••••• I•••Aug 4, 2025 · Atlanta, Ga
- 2 joined from Y••••••••• W••••• S••••••••• L••Jun 27, 2019 · Charlotte, Nc
- 3 joined from U•• F•••••••• S••••••• I•••Sep 18, 2018 · Boulder, Co
- 2 joined from A••••••• M••••••• I•••Oct 27, 2016 · P•••••••, Or
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• K••••• J••••• · Chief Legal Officer / Board Membercontrolsince 05/2024 · owns less than 5%
- S•••••••• S••••• L•••• · Chief Compliance Officercontrolsince 05/2019 · owns less than 5%
- V••••••• D•••• · Chief Financial Officer / Board Membercontrolsince 05/2024 · owns less than 5%
- W•••••• R•••••• A••• · Board Membercontrolsince 05/2024 · owns less than 5%
Entity owners
- S•••••••• W••••• G•••• L•• · Sole Memberdirect · owns 75% or more
- A• U• H••••••• I••• · Member - Class A Unitsindirect · owns 50% to 75% of S•••••••• W••••• G•••• L••
- A••••• H••••••• S••••• · Ownerindirect · owns 75% or more of A••••• U• H••••••• L•••
- A••••• U• H••••••• L••• · Ownerindirect · owns 75% or more of A• U• H••••••• I•••
Related persons
Schedule D 7.A
- A• A•••• C•••••• M••••••••• L••investment advisernRAUM $376M
- A••••• Investment A••••••S LLCinvestment advisernRAUM $1.0B
- S•••••••• I•••••••• S•••••••• L••real estaten
- T•• I••••••••• A•••• M••••••••• 2•, LLCinvestment advisernRAUM $92.7M
Advisers that list T•• I••••••••• A•••• M••••••••• L•• as a related person
- 309098 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| P•••••••, Or · principal | 8 | 2 | 5 | 1 | 1 |
| Charlotte, Nc | 5 | 2 | 0 | ||
| Atlanta, Ga | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Charlotte, NC4 employees
- P•••••••, OR1 employees
- Philadelphia, PA
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $575,284,516 to $336,851,857 (-41.0%) between the annual amendments of 2025-03-25 and 2026-03-31; the peer median change was +15.0% (4550 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 0.8% percentile
What changed
consecutive filings, newest first
- Other offices · 2 to 1Jul 21, 2026 to Aug 26, 2026
- Accounts · 1,261 to 1,059Feb 10, 2026 to Mar 31, 2026
- BD registered reps · 3 to 5Feb 10, 2026 to Mar 31, 2026
- Charity clients · 2 to 0Feb 10, 2026 to Mar 31, 2026
- Corporate clients · 10 to 3Feb 10, 2026 to Mar 31, 2026
- HNW clients · 855 to 609Feb 10, 2026 to Mar 31, 2026
- Individual clients · 394 to 447Feb 10, 2026 to Mar 31, 2026
- Assets in custody · unset to 7528888.0Feb 10, 2026 to Mar 31, 2026
- Custody of client assets · false to trueFeb 10, 2026 to Mar 31, 2026
- Employees · 38 to 24Feb 10, 2026 to Mar 31, 2026
- Other offices · 3 to 2Feb 10, 2026 to Mar 31, 2026
- Discretionary RAUM · $574M to $337MFeb 10, 2026 to Mar 31, 2026
- HNW RAUM · $510M to $266MFeb 10, 2026 to Mar 31, 2026
- Individual RAUM · $55.7M to $70.6MFeb 10, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $1.5M to $0Feb 10, 2026 to Mar 31, 2026
- Pension RAUM · unset to 0.0Feb 10, 2026 to Mar 31, 2026
- RAUM · $575M to $337MFeb 10, 2026 to Mar 31, 2026
- Advisory employees · 11 to 8Jan 7, 2026 to Feb 10, 2026
- Employees · 42 to 38Jan 7, 2026 to Feb 10, 2026
- State-registered IARs · 11 to 8Jan 7, 2026 to Feb 10, 2026
- Other offices · 4 to 3Jan 7, 2026 to Feb 10, 2026
- Advisory employees · 4 to 11Jun 10, 2025 to Nov 23, 2025
- Employees · 33 to 42Jun 10, 2025 to Nov 23, 2025
- Financial planning clients · 0 to 0Jun 10, 2025 to Nov 23, 2025
- State-registered IARs · 8 to 11Jun 10, 2025 to Nov 23, 2025
- Other offices · 3 to 4Jun 10, 2025 to Nov 23, 2025
- Advisory employees · 5 to 4Mar 25, 2025 to May 14, 2025
- BD registered reps · 4 to 3Mar 25, 2025 to May 14, 2025
- Employees · 34 to 33Mar 25, 2025 to May 14, 2025
- State-registered IARs · 9 to 8Mar 25, 2025 to May 14, 2025
- Employees · 37 to 34Jan 16, 2025 to Mar 25, 2025
- Accounts · 1,215 to 1,261Jan 16, 2025 to Mar 25, 2025
- Advisory employees · 7 to 5Jan 16, 2025 to Mar 25, 2025
- Charity clients · 5 to 2Jan 16, 2025 to Mar 25, 2025
- Corporate clients · 6 to 10Jan 16, 2025 to Mar 25, 2025
- HNW clients · 808 to 855Jan 16, 2025 to Mar 25, 2025
- Individual clients · 393 to 394Jan 16, 2025 to Mar 25, 2025
- Financial planning clients · 1-10 to 0Jan 16, 2025 to Mar 25, 2025
- Discretionary RAUM · $544M to $574MJan 16, 2025 to Mar 25, 2025
- HNW RAUM · $484M to $510MJan 16, 2025 to Mar 25, 2025
Signals
23 dated events
- M•••• A••••• L•••• left T•• I••••••••• A•••• M••••••••• L•• for A••••• A•• P••••••• S••••••• (registered 2026-07-29)Jul 7, 2026 · a•••••• firm change · fact
- P••• C•••• W•••••• left T•• I••••••••• A•••• M••••••••• L•• for W••••••••• P••• C•••••• M••••••••• L•• (registered 2026-01-14)Mar 31, 2026 · a•••••• firm change · fact
- T•• I••••••••• A•••• M••••••••• L•• reported RAUM $336.9M, down 41% from $575.3M (2026-02-10 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- M••••••• C•••••••• W••••• left T•• I••••••••• A•••• M••••••••• L•• for M••••••••• A•••••••• L•• (registered 2026-02-09)Feb 6, 2026 · a•••••• firm change · fact
- H••••• J••• T••••••• left T•• I••••••••• A•••• M••••••••• L•• for M••••••••• A•••••••• L•• (registered 2026-02-09)Feb 6, 2026 · a•••••• firm change · fact
- H••• S••••••• M••••• left T•• I••••••••• A•••• M••••••••• L•• for M••••••••• A•••••••• L•• (registered 2026-02-09)Feb 6, 2026 · a•••••• firm change · fact
- B•••••• G•••••• M••••• left T•• I••••••••• A•••• M••••••••• L•• for M••••••••• A•••••••• L•• (registered 2025-12-02)Feb 6, 2026 · a•••••• firm change · fact
- 3 advisors left T•• I••••••••• A•••• M••••••••• L•• (Portland, OR) for M••••••••• A•••••••• L•• on the same dayFeb 6, 2026 · Team lift-out · derived
- 2 advisors left T••••• A••••••• S•••••••• I••• (Atlanta, GA) for T•• I••••••••• A•••• M••••••••• L•• on the same dayAug 4, 2025 · Team lift-out · derived
- Patrick Craig Stuvland (Managing Member, President, Ceo) no longer on Schedule A of T•• I••••••••• A•••• M••••••••• L•• (listed 2024-04-03, absent 2024-06-02)Jun 2, 2024 · Control person left · inference
- Lee D•••• Beatty (Managing Member) no longer on Schedule A of T•• I••••••••• A•••• M••••••••• L•• (listed 2024-04-03, absent 2024-06-02)Jun 2, 2024 · Control person left · inference
- J••••• K•••• M••••• (Chief Legal Officer / Board Member) appeared on Schedule A of T•• I••••••••• A•••• M••••••••• L••Jun 2, 2024 · Control person joined · fact
- A••• Robert Walter (Board Member) appeared on Schedule A of T•• I••••••••• A•••• M••••••••• L••Jun 2, 2024 · Control person joined · fact
- D•••• V•••••• (Chief Financial Officer / Board Member) appeared on Schedule A of T•• I••••••••• A•••• M••••••••• L••Jun 2, 2024 · Control person joined · fact
- Kendall James Dilworth (Managing Member) no longer on Schedule A of T•• I••••••••• A•••• M••••••••• L•• (listed 2022-06-07, absent 2022-06-09)Jun 9, 2022 · Control person left · inference
- M•••• P••••• L•••• left T•• I••••••••• A•••• M••••••••• L•• for A•••••• W••••• L• (registered 2022-05-13)May 11, 2022 · a•••••• firm change · fact
- Lee D•••• Beatty (Managing Member) appeared on Schedule A of T•• I••••••••• A•••• M••••••••• L••Dec 26, 2019 · Control person joined · fact
- Kendall James Dilworth (Managing Member) appeared on Schedule A of T•• I••••••••• A•••• M••••••••• L••Dec 26, 2019 · Control person joined · fact
- L•••• S•••• S••••••• (Chief Compliance Officer) appeared on Schedule A of T•• I••••••••• A•••• M••••••••• L••May 16, 2019 · Control person joined · fact
- Louise Megan Castleman (Chief Compliance Officer) no longer on Schedule A of T•• I••••••••• A•••• M••••••••• L•• (listed 2019-04-23, absent 2019-05-16)May 16, 2019 · Control person left · inference
- T•• I••••••••• A•••• M••••••••• L•• reported RAUM $830.2M, up 68% from $495.6M (2018-12-12 to 2019-03-30)Mar 30, 2019 · RAUM change · derived
- T•• I••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 25, 2015 · Succession (Item 4) · fact
- T••••••• A•••••• 1•• L•• filed its initial SEC registration (Form ADV)Oct 24, 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.
How to reach
public business contact points only, each with its source
- Business email
- info@yellowwoodwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-686-8462reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H••••://WWW.Y•••••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (971) 371-3444reportedpublic record, Form ADV, Aug 26, 2026
- Team page
- YELLOWWOODWEALTH.COM/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $42.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026