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
S••••••• W••••• M•••••••••
Legal name G••••••• S•••••••• I•••
Latest filing Jan 7, 2026
First filing on the tape Sep 20, 2017 · 28 filings
SEC status approved since Oct 19, 2017
RAUM
$300M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$299M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$150M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$300M as of Jan 7, 2026
Mar 2, 2018$175M then
HNW client RAUM$186M as of Jan 7, 2026
Mar 19, 2019$19.5M then
State-registered IARs (5.B.3)3 as of Jan 7, 2026
Mar 2, 20183 then
Employees (5.A)4 as of Jan 7, 2026
Mar 2, 20183 then
Private funds: no history
RAUM +17% over the last fiscal year+13% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Jan 7, 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
- $150MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 248derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $198,700derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%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
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$186M62%
- Individuals$113M38%
- Pension and profit-sharing plans$1.0M0.3%
- Individual clients
- 395reported
- HNW clients
- 101reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,512reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| G••••••• S•••••••Certified Financial Planner | Clackamas, Or | Aug 25, 2014 | 28 y | 2 |
| C•••• L••• Y•••• | Clackamas, Or | May 25, 2017 | 10 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 headcount1 left over 36 months
Left, latest
- D•••• J• B••••• to J•• C••••••• W••••• M•••••••••Oct 2, 2023 · RIA to RIA
- D••••• L•• A•••••••• to E•••••• F•••••••• E••••••Nov 15, 2019 · RIA to RIA
Joined, latest
- D•••• J• B••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 13, 2021 · Wirehouse to independent RIA
- G••••••• S••••••• from L•• F•••••••• L••Aug 25, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• G••••••• · Presidentcontrolsince 04/2014 · owns less than 5%
- Y••••• C••••• L••• · Chief Compliance Officercontrolsince 02/2021 · owns less than 5%
- S•••••••• G••••••• · Trusteecontrolsince 01/2021 · owns F of G••••••• S••••••• R•••••••• T••••
- Y••••• C••••• L••• · Trusteecontrolsince 01/2021 · owns F of G••••••• S••••••• R•••••••• T••••
Entity owners
- G••••••• S••••••• R•••••••• T•••• · Ownerdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Clackamas, Or · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,476 to 1,512Jul 1, 2025 to Jan 7, 2026
- HNW clients · 84 to 101Jul 1, 2025 to Jan 7, 2026
- Individual clients · 392 to 395Jul 1, 2025 to Jan 7, 2026
- State-registered IARs · 2 to 3Jul 1, 2025 to Jan 7, 2026
- Discretionary RAUM · $258M to $300MJul 1, 2025 to Jan 7, 2026
- HNW RAUM · $145M to $186MJul 1, 2025 to Jan 7, 2026
- Individual RAUM · $113M to $113MJul 1, 2025 to Jan 7, 2026
- Pension RAUM · $550,000 to $1.0MJul 1, 2025 to Jan 7, 2026
- Pooled vehicle RAUM · unset to 0.0Jul 1, 2025 to Jan 7, 2026
- RAUM · $258M to $300MJul 1, 2025 to Jan 7, 2026
- Financial planning clients · 0 to 0Jan 21, 2025 to Jul 1, 2025
- Accounts · 1,467 to 1,476Oct 3, 2024 to Jan 21, 2025
- Advisory employees · 3 to 4Oct 3, 2024 to Jan 21, 2025
- HNW clients · 114 to 84Oct 3, 2024 to Jan 21, 2025
- Individual clients · 588 to 392Oct 3, 2024 to Jan 21, 2025
- Employees · 3 to 4Oct 3, 2024 to Jan 21, 2025
- Discretionary RAUM · $235M to $258MOct 3, 2024 to Jan 21, 2025
- HNW RAUM · $123M to $145MOct 3, 2024 to Jan 21, 2025
- Individual RAUM · $111M to $113MOct 3, 2024 to Jan 21, 2025
- Pension RAUM · unset to 550000.0Oct 3, 2024 to Jan 21, 2025
- RAUM · $235M to $258MOct 3, 2024 to Jan 21, 2025
- State-registered IARs · 3 to 2Nov 22, 2023 to Feb 2, 2024
- Accounts · 1,372 to 1,467Nov 22, 2023 to Feb 2, 2024
- Advisory employees · 4 to 3Nov 22, 2023 to Feb 2, 2024
- HNW clients · 116 to 114Nov 22, 2023 to Feb 2, 2024
- Individual clients · 520 to 588Nov 22, 2023 to Feb 2, 2024
- Employees · 4 to 3Nov 22, 2023 to Feb 2, 2024
- Discretionary RAUM · $210M to $235MNov 22, 2023 to Feb 2, 2024
- HNW RAUM · $104M to $123MNov 22, 2023 to Feb 2, 2024
- Individual RAUM · $107M to $111MNov 22, 2023 to Feb 2, 2024
- RAUM · $210M to $235MNov 22, 2023 to Feb 2, 2024
- HQ city · PORTLAND to CLACKAMASFeb 14, 2023 to May 1, 2023
- Accounts · 1,286 to 1,372Jan 13, 2023 to Jan 13, 2023
- HNW clients · 114 to 116Jan 13, 2023 to Jan 13, 2023
- Individual clients · 519 to 520Jan 13, 2023 to Jan 13, 2023
- Discretionary RAUM · $217M to $210MJan 13, 2023 to Jan 13, 2023
- HNW RAUM · $116M to $104MJan 13, 2023 to Jan 13, 2023
- Individual RAUM · $99.4M to $107MJan 13, 2023 to Jan 13, 2023
- Pension RAUM · 1770000.0 to unsetJan 13, 2023 to Jan 13, 2023
- RAUM · $217M to $210MJan 13, 2023 to Jan 13, 2023
Signals
3 dated events
- D•••• J• B••••• left S••••••• W••••• M••••••••• for J•• C••••••• W••••• M••••••••• (registered 2024-03-01)Oct 2, 2023 · Advisor changed firm · fact
- Lynn Carol Young (Trustee) appeared on Schedule A of S••••••• W••••• M•••••••••Feb 18, 2021 · Control person joined · fact
- S••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Sep 20, 2017 · 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
- Principal office phone
- 503-257-0057reportedpublic record, Form ADV, Jan 7, 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
- $150Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026