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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
S••••••• W••••• M••••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Mar 11, 2026 · 1 filings
RAUM
$17.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$17.3M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
- RAUM per advisor
- $8.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $322,432derivedHNW RAUM over HNW clients
- Average account
- $165,015derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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
- financial planning, portfolio management for individualsreportedItem 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$15.8M91%
- Individuals$1.5M8.8%
- Individual clients
- 27reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 105reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• B•••••• H••••• | Portland, Or | Jun 8, 2021 | 34 y | 2 |
| B•••• P••••• H••••• | Portland, Or | Jan 29, 2025 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- N••••••• J• C••••••••• to J•••••• S••••••••• C••••••••• I•••Feb 3, 2026 · Other
- J•••••• L•• S•••••• to A••••••••• F•••••••• S•••••••• L••Aug 30, 2022 · Other
- J••••• W••••• T••••••• to C••••••••• S••••••••• L••Oct 10, 2017 · Other
- B•••• T••••• H••• to W•••••• • R•••Oct 22, 2015 · Other
Joined, latest
- T••••• B•••••• H••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jun 8, 2021 · Other
- N••••••• J• C••••••••• from B••••• C•••••• M••••••••• I•••Jun 8, 2021 · Other
- J••••• W••••• T••••••• from W•••• F•••• A•••••••Jun 1, 2016 · Wirehouse to a state-registered adviser
- B•••• T••••• H••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 14, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 | 2 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
2 dated events
- N••••••• J• C••••••••• left S••••••• W••••• M••••••••• L•• for J•••••• S••••••••• C••••••••• I••• (registered 2026-01-02)Feb 3, 2026 · Advisor changed firm · fact
- J•••••• L•• S•••••• left S••••••• W••••• M••••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-07-09)Aug 30, 2022 · Advisor changed firm · 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
- Principal office phone
- 503-595-1333reportedpublic record, Form ADV, Mar 11, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026