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
C••••••• F•••••••• N• C•••••••••
Latest filing Feb 4, 2026
First filing on the tape Aug 1, 2018 · 18 filings
SEC status approved since Aug 31, 2018
RAUM
$233M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
88%
$206M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$117M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$233M as of Feb 4, 2026
Feb 27, 2019$108M then
HNW client RAUM$122M as of Feb 4, 2026
Feb 27, 2019$35.5M then
State-registered IARs (5.B.3)2 as of Feb 4, 2026
Feb 27, 20192 then
Employees (5.A)4 as of Feb 4, 2026
Feb 27, 20195 then
Private funds: no history
RAUM +26% over the last fiscal year+22% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 4, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $117MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 527derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $764,063derivedHNW RAUM over HNW clients
- Average account
- $218,559derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$122M52%
- Individuals$83.5M36%
- Pension and profit-sharing plans$27.7M12%
- Individual clients
- 894reported
- HNW clients
- 160reported
- Pension plan clients
- 14reported
- Charitable clients
- n/areported
- Accounts
- 1,068reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• L••••• M••• | Gresham, Or | Sep 22, 2020 | 23 y | 2 |
| D•••• D••••• R•••••••• | Gresham, Or | Sep 22, 2020 | 17 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
- A•••• L••••• M••• from A••••••• S•••••• C••••Sep 22, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••• A••••• L••••• · President/Chief Compliance Officercontrolsince 07/2013 · owns 50% to 75%
- R••••••••• D••••• D••••• · Shareholdercontrolsince 07/2013 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Gresham, Or · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,278 to 1,068Feb 19, 2025 to Feb 4, 2026
- HNW clients · 140 to 160Feb 19, 2025 to Feb 4, 2026
- Individual clients · 885 to 894Feb 19, 2025 to Feb 4, 2026
- Discretionary RAUM · $160M to $206MFeb 19, 2025 to Feb 4, 2026
- HNW RAUM · $86.4M to $122MFeb 19, 2025 to Feb 4, 2026
- Individual RAUM · $73.6M to $83.5MFeb 19, 2025 to Feb 4, 2026
- Non-discretionary RAUM · $24.8M to $27.7MFeb 19, 2025 to Feb 4, 2026
- Pension RAUM · $24.8M to $27.7MFeb 19, 2025 to Feb 4, 2026
- RAUM · $185M to $233MFeb 19, 2025 to Feb 4, 2026
- Accounts · 1,099 to 1,278Oct 11, 2024 to Feb 19, 2025
- HNW clients · 115 to 140Oct 11, 2024 to Feb 19, 2025
- Individual clients · 762 to 885Oct 11, 2024 to Feb 19, 2025
- Pension plan clients · 222 to 14Oct 11, 2024 to Feb 19, 2025
- Employees · 5 to 4Oct 11, 2024 to Feb 19, 2025
- Financial planning clients · 26-50 to 26-50Oct 11, 2024 to Feb 19, 2025
- Discretionary RAUM · $139M to $160MOct 11, 2024 to Feb 19, 2025
- HNW RAUM · $94.6M to $86.4MOct 11, 2024 to Feb 19, 2025
- Individual RAUM · $44.2M to $73.6MOct 11, 2024 to Feb 19, 2025
- Non-discretionary RAUM · $17.8M to $24.8MOct 11, 2024 to Feb 19, 2025
- Pension RAUM · $17.8M to $24.8MOct 11, 2024 to Feb 19, 2025
- RAUM · $156M to $185MOct 11, 2024 to Feb 19, 2025
- Accounts · 1,108 to 1,099Dec 7, 2023 to Mar 23, 2024
- HNW clients · 100 to 115Dec 7, 2023 to Mar 23, 2024
- Individual clients · 850 to 762Dec 7, 2023 to Mar 23, 2024
- Pension plan clients · 158 to 222Dec 7, 2023 to Mar 23, 2024
- Discretionary RAUM · $114M to $139MDec 7, 2023 to Mar 23, 2024
- HNW RAUM · $46.0M to $94.6MDec 7, 2023 to Mar 23, 2024
- Individual RAUM · $68.0M to $44.2MDec 7, 2023 to Mar 23, 2024
- Non-discretionary RAUM · $14.5M to $17.8MDec 7, 2023 to Mar 23, 2024
- Pension RAUM · $14.5M to $17.8MDec 7, 2023 to Mar 23, 2024
- RAUM · $129M to $156MDec 7, 2023 to Mar 23, 2024
- Accounts · 1,101 to 1,108Apr 29, 2022 to Jan 18, 2023
- HNW clients · 95 to 100Apr 29, 2022 to Jan 18, 2023
- Individual clients · 825 to 850Apr 29, 2022 to Jan 18, 2023
- Pension plan clients · 181 to 158Apr 29, 2022 to Jan 18, 2023
- Discretionary RAUM · $126M to $114MApr 29, 2022 to Jan 18, 2023
- HNW RAUM · $77.5M to $46.0MApr 29, 2022 to Jan 18, 2023
- Individual RAUM · $48.3M to $68.0MApr 29, 2022 to Jan 18, 2023
- Non-discretionary RAUM · $16.2M to $14.5MApr 29, 2022 to Jan 18, 2023
- Pension RAUM · $16.2M to $14.5MApr 29, 2022 to Jan 18, 2023
Signals
1 dated events
- C••••••• F•••••••• N• C••••••••• filed its initial SEC registration (Form ADV)Aug 1, 2018 · 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
- 503-661-9010reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- C•••••••-NW.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 503-661-9010reportedpublic record, Form ADV, Feb 4, 2026
- Team page
- c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $117Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026