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
E•••••••• W••••• A•••••••• L••
Latest filing Aug 27, 2026
First filing on the tape Mar 13, 2014 · 35 filings
SEC status approved since Mar 24, 2014
RAUM
$473M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
97%
$457M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$118M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$473M as of Aug 27, 2026
Mar 18, 2015$236M then
HNW client RAUM$404M as of Aug 27, 2026
Mar 26, 2018$182M then
State-registered IARs (5.B.3)3 as of Aug 27, 2026
Mar 18, 20154 then
Employees (5.A)5 as of Aug 27, 2026
Mar 18, 20155 then
Private funds: no history
RAUM +14% over the last fiscal year+19% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Aug 27, 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
- RAUM per advisor
- $118MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 318derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $671,995derivedHNW RAUM over HNW clients
- Average account
- $352,031derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +20%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $294M, 531 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$404M85%
- Individuals$53.1M11%
- Pension and profit-sharing plans$15.8M3.3%
- Individual clients
- 671reported
- HNW clients
- 601reported
- Pension plan clients
- 71reported
- Charitable clients
- n/areported
- Accounts
- 1,343reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $294M for 531 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• H••••••••• W•••••••Certified Financial Planner | Portland, Or | Jul 17, 2014 | 21 y | 3 |
| M•••••• G••••• P•••••• | Portland, Or | Jul 17, 2014 | 38 y | 4 |
| M•••••• Y••••••••Certified Financial Planner | Portland, Or | Oct 5, 2018 | 11 y | 0 |
| M••• E•••••••• M••••••• | Portland, Or | Nov 25, 2019 | 24 y | 1 |
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
- M••• E•••••••• M••••••• from M••••• S••••••Nov 25, 2019 · Wirehouse to independent RIA
- C•••• H••••••••• W••••••• from M••••• S••••••Jul 17, 2014 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• G••••• P•••••• from M••••• S••••••Jul 17, 2014 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••••••• M•••••••• L•• · Chief Compliance Officercontrolsince 08/2023 · owns less than 5%
- M•••••••• M•••• E•••••••• · Managing Membercontrolsince 07/2014 · owns 5% to 10%
- P••••••• M••••••• G••••• · Managing Membercontrolsince 07/2014 · owns 25% to 50%
- W•••••••• C••••• H••••••••• · Managing Membercontrolsince 07/2014 · owns 25% to 50%
- Y••••••••• M•••••• · Managing Membercontrolsince 01/2024 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Portland, Or · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Aug 27, 2026private clients per advisor of 318.0 against a peer median of 57.3 (3076 comparable advisers, 99.0th percentile, 7.4 robust deviations)peers: independent wealth managers, $100M to $500M (3,076) · 99% percentile
What changed
consecutive filings, newest first
- Related adviser · false to trueMar 17, 2026 to Aug 27, 2026
- Accounts · 1,103 to 1,343Sep 19, 2025 to Mar 17, 2026
- Advisory employees · 4 to 3Sep 19, 2025 to Mar 17, 2026
- Advisory activities · 3 to 2Sep 19, 2025 to Mar 17, 2026
- Corporate clients · 17.0 to unsetSep 19, 2025 to Mar 17, 2026
- HNW clients · 503 to 601Sep 19, 2025 to Mar 17, 2026
- Individual clients · 553 to 671Sep 19, 2025 to Mar 17, 2026
- Pension plan clients · 30 to 71Sep 19, 2025 to Mar 17, 2026
- Assets in custody · unset to 294238564.0Sep 19, 2025 to Mar 17, 2026
- Custody of client assets · false to trueSep 19, 2025 to Mar 17, 2026
- State-registered IARs · 4 to 3Sep 19, 2025 to Mar 17, 2026
- Discretionary RAUM · $374M to $425MSep 19, 2025 to Mar 17, 2026
- HNW RAUM · $344M to $404MSep 19, 2025 to Mar 17, 2026
- Individual RAUM · $58.4M to $53.1MSep 19, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $39.0M to $47.3MSep 19, 2025 to Mar 17, 2026
- Pension RAUM · $9.6M to $15.8MSep 19, 2025 to Mar 17, 2026
- RAUM · $413M to $473MSep 19, 2025 to Mar 17, 2026
- Accounts · 1,219 to 1,103Mar 6, 2024 to Mar 27, 2025
- Corporate clients · 5 to 17Mar 6, 2024 to Mar 27, 2025
- HNW clients · 443 to 503Mar 6, 2024 to Mar 27, 2025
- Individual clients · 753 to 553Mar 6, 2024 to Mar 27, 2025
- Pension plan clients · 18 to 30Mar 6, 2024 to Mar 27, 2025
- Financial planning clients · 101-250 to 101-250Mar 6, 2024 to Mar 27, 2025
- Discretionary RAUM · $316M to $374MMar 6, 2024 to Mar 27, 2025
- HNW RAUM · $276M to $344MMar 6, 2024 to Mar 27, 2025
- Individual RAUM · $73.4M to $58.4MMar 6, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $34.5M to $39.0MMar 6, 2024 to Mar 27, 2025
- Pension RAUM · $831,451 to $9.6MMar 6, 2024 to Mar 27, 2025
- RAUM · $350M to $413MMar 6, 2024 to Mar 27, 2025
- Accounts · 920 to 1,219Nov 1, 2023 to Mar 6, 2024
- Charity clients · 1.0 to unsetNov 1, 2023 to Mar 6, 2024
- Corporate clients · 19 to 5Nov 1, 2023 to Mar 6, 2024
- HNW clients · 470 to 443Nov 1, 2023 to Mar 6, 2024
- Individual clients · 430 to 753Nov 1, 2023 to Mar 6, 2024
- Pension plan clients · unset to 18.0Nov 1, 2023 to Mar 6, 2024
- Discretionary RAUM · $254M to $316MNov 1, 2023 to Mar 6, 2024
- HNW RAUM · $244M to $276MNov 1, 2023 to Mar 6, 2024
- Individual RAUM · $36.3M to $73.4MNov 1, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $28.0M to $34.5MNov 1, 2023 to Mar 6, 2024
- Pension RAUM · unset to 831451.0Nov 1, 2023 to Mar 6, 2024
Signals
7 dated events
- M•••••• Y•••••••• (Managing Member) appeared on Schedule A of E•••••••• W••••• A•••••••• L••Mar 6, 2024 · Control person joined · fact
- Leigh Stacy Sizemore (Chief Compliance Officer) no longer on Schedule A of E•••••••• W••••• A•••••••• L•• (listed 2023-03-28, absent 2023-08-25)Aug 25, 2023 · Control person left · inference
- Lea Michelle Eldridge (Chief Compliance Officer) appeared on Schedule A of E•••••••• W••••• A•••••••• L••Aug 25, 2023 · Control person joined · fact
- E•••••••• W••••• A•••••••• L•• reported RAUM $281.5M, down 31% from $410.9M (2022-03-02 to 2023-03-07)Mar 7, 2023 · RAUM change · derived
- Leigh Stacy Sizemore (Chief Compliance Officer) appeared on Schedule A of E•••••••• W••••• A•••••••• L••May 31, 2019 · Control person joined · fact
- Marshall Walter Urban (Managing Member) no longer on Schedule A of E•••••••• W••••• A•••••••• L•• (listed 2018-03-26, absent 2019-02-13)Feb 13, 2019 · Control person left · inference
- A•••••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 13, 2014 · 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
- Website
- E••••••••WA.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (971) 371-3451reportedpublic record, Form ADV, Aug 27, 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
- $118Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026