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

C••••••••• W••••• A••••••• L••

Former SEC-registered adviserLake Oswego, OregonCRD 281979SEC 801-106884IAPD
Latest filing Sep 1, 2017
First filing on the tape Oct 30, 2015 · 6 filings
RAUM
$90.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$56.3M gross assets
History
6 filings and snapshots on the tape
RAUM$90.1M as of Sep 1, 2017
Oct 30, 2015$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Sep 1, 2017
Oct 30, 20150 then
Employees (5.A)3 as of Sep 1, 2017
Oct 30, 20151 then
Private funds5 as of Sep 1, 2017
Mar 30, 20162 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 1, 2017; every figure names its basis
RAUM per advisor
$90.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$10.0MderivedRAUM 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
1.0derived1 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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$90.1M, 9 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$90.1M for 9 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C• O••••••••• F••• L•Hedge Fund$28.0M1Mar 31, 2017
      T•• G••••• M••••• F•••• L•••Hedge Fund$18.2M34Mar 30, 2016
      S••••• R••••• B••••••• F••• L••Hedge Fund$4.9M2Mar 31, 2017
      C••••••••• L••••••••• L•••Hedge Fund$4.8M9Mar 31, 2017
      C••••••••• S•••• D••••••• B••• F•••• L•Hedge Fund$357,2834Mar 30, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • O•••••• P•••• P• •• O•••• · President, Chief Compliance Officer, Cfo, Managing Membercontrol
        since 10/2015 · owns less than 5%
      • T•••••••• S••••• A••• · Managing Membercontrol
        since 07/2016 · owns less than 5%
      • O•••••• P•••• P• •• O•••• · Trusteecontrol
        since 06/2015 · owns F of P••• P• O••••• I• R•••••••• T•••• D•••• D••••••• 6• 2•••
      Entity owners
      • C••••••••• W••••• H•••••• C•••••• L•• · Owner, Managing Member
        direct · owns 75% or more
      • P••• P• O••••• I• R•••••••• T•••• D•••• D••••••• 6• 2••• · Managing Member
        indirect · owns 25% to 50% of C••••••••• W••••• H•••••• C•••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 1 to 3
        Mar 31, 2017 to Sep 1, 2017
      • Assets in custody · $55.2M to $90.1M
        Mar 31, 2017 to Sep 1, 2017
      • Employees · 2 to 3
        Mar 31, 2017 to Sep 1, 2017
      • State-registered IARs · 0 to 1
        Mar 31, 2017 to Sep 1, 2017
      • Discretionary RAUM · $89.7M to $90.1M
        Mar 31, 2017 to Sep 1, 2017
      • RAUM · $89.7M to $90.1M
        Mar 31, 2017 to Sep 1, 2017
      • Accounts · 6 to 9
        Mar 30, 2016 to Mar 31, 2017
      • Assets in custody · $10.3M to $55.2M
        Mar 30, 2016 to Mar 31, 2017
      • Private funds · 2 to 5
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $47.3M to $89.7M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $47.3M to $89.7M
        Mar 30, 2016 to Mar 31, 2017
      • Accounts · 0 to 6
        Nov 18, 2015 to Mar 30, 2016
      • Advisory activities · 1 to 2
        Nov 18, 2015 to Mar 30, 2016
      • Assets in custody · unset to 10330000.0
        Nov 18, 2015 to Mar 30, 2016
      • Custody of client assets · false to true
        Nov 18, 2015 to Mar 30, 2016
      • Employees · 1 to 2
        Nov 18, 2015 to Mar 30, 2016
      • Private funds · unset to 2
        Nov 18, 2015 to Mar 30, 2016
      • Discretionary RAUM · $0 to $47.3M
        Nov 18, 2015 to Mar 30, 2016
      • RAUM · $0 to $47.3M
        Nov 18, 2015 to Mar 30, 2016
      Signals
      1 dated events
      • C••••••••• W••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 30, 2015 · 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.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026