DFX Intelligence

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Former SEC-registered adviserFormer SEC adviser· Vancouver, Washington

Former SEC-registered adviser, based in Vancouver, Washington, reporting $11.4M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2019-08-21 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $11.4M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: +30%
Private clients: 100% of RAUM, $11.4M

Advisors Advisor movement Where the RAUM sits

As of 2019-08-21 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +30% over the last fiscal year, to $11.4M.
2019-08-21
RAUM a year earlier $8.8MRAUM now $11.4M

Every filed figure, and the identifiersCRD 284303 · SEC 801-108233 · 17 filingsShow

CRD 284303SEC 801-108233First filing on the tape Aug 1, 2016, latest Aug 21, 2019IAPD

RAUM

$11.4M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$11.4M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

17 filings and snapshots on the tape

RAUM$11.4M as of Mar 18, 2019

Feb 3, 2017$60,000 then

HNW client RAUM$10.8M as of Mar 18, 2019

Mar 21, 2018$8.2M then

State-registered IARs (5.B.3)2 as of Mar 18, 2019

Feb 3, 20171 then

Employees (5.A)2 as of Mar 18, 2019

Feb 3, 20171 then

Private funds: no history

RAUM +30% over the last fiscal yearIARs 3 to 2

Practice profile

derived from the filing of Aug 21, 2019; every figure names its basis

RAUM per advisor: $5.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 8derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $897,269derivedHNW RAUM over HNW clients
Average account: $335,913derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +30%derivedbetween the last two annual amendments
Advisor growth, one year: -33%derivedItem 5.B.3 between annual amendments
Client growth, one year: +50%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, educational seminars, otherreportedItem 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$10.8M94%
Individuals$653,8065.7%

Individual clients: 3reported
HNW clients: 12reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 34reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
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

S•••••••• J••••• T••••••• to F••••• I•••••••••
Dec 26, 2019 · RIA to RIA

Joined, latest

S•••••••• J••••• T••••••• from F••••• I•••••••••
Sep 29, 2016 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

T•••••••• S••••••••• J••••• · Managing Member & Chief Compliance Officercontrol
since 06/2016 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

Portland, OR1 employees

What changed

consecutive filings, newest first

Related adviser · true to false
Mar 18, 2019 to Aug 21, 2019
Accounts · 25 to 34
Mar 4, 2019 to Mar 18, 2019
Advisory activities · 3 to 4
Mar 4, 2019 to Mar 18, 2019
HNW clients · 8 to 12
Mar 4, 2019 to Mar 18, 2019
Individual clients · 2 to 3
Mar 4, 2019 to Mar 18, 2019
Discretionary RAUM · $8.8M to $11.4M
Mar 4, 2019 to Mar 18, 2019
HNW RAUM · $8.2M to $10.8M
Mar 4, 2019 to Mar 18, 2019
Individual RAUM · $581,961 to $653,806
Mar 4, 2019 to Mar 18, 2019
RAUM · $8.8M to $11.4M
Mar 4, 2019 to Mar 18, 2019
Advisory employees · 3 to 2
May 10, 2018 to Feb 22, 2019
Employees · 3 to 2
May 10, 2018 to Feb 22, 2019
State-registered IARs · 3 to 2
May 10, 2018 to Feb 22, 2019
Advisory employees · 2 to 3
Jan 4, 2018 to Mar 21, 2018
Advisory activities · 1 to 3
Jan 4, 2018 to Mar 21, 2018
Business name · I••••••••• L•• to I••••••••• L••
Jan 4, 2018 to Mar 21, 2018
HNW clients · 6 to 8
Jan 4, 2018 to Mar 21, 2018
Employees · 2 to 3
Jan 4, 2018 to Mar 21, 2018
Insurance-licensed employees · 0 to 1
Jan 4, 2018 to Mar 21, 2018
State-registered IARs · 2 to 3
Jan 4, 2018 to Mar 21, 2018
Legal name · I••••••••• L•• to I••••••••• L••
Jan 4, 2018 to Mar 21, 2018
Other offices · 0 to 1
Jan 4, 2018 to Mar 21, 2018
Discretionary RAUM · $9.0M to $8.8M
Jan 4, 2018 to Mar 21, 2018
HNW RAUM · $8.5M to $8.2M
Jan 4, 2018 to Mar 21, 2018
Individual RAUM · $500,000 to $581,961
Jan 4, 2018 to Mar 21, 2018
RAUM · $9.0M to $8.8M
Jan 4, 2018 to Mar 21, 2018
Accounts · 3 to 25
Jul 25, 2017 to Jan 4, 2018
Charity clients · unset to 0.0
Jul 25, 2017 to Jan 4, 2018
Corporate clients · unset to 0.0
Jul 25, 2017 to Jan 4, 2018
HNW clients · unset to 6.0
Jul 25, 2017 to Jan 4, 2018
Individual clients · unset to 2.0
Jul 25, 2017 to Jan 4, 2018
Pension plan clients · unset to 0.0
Jul 25, 2017 to Jan 4, 2018
Pooled vehicle clients · unset to 0.0
Jul 25, 2017 to Jan 4, 2018
Other offices · unset to 0.0
Jul 25, 2017 to Jan 4, 2018
Discretionary RAUM · $60,000 to $9.0M
Jul 25, 2017 to Jan 4, 2018
HNW RAUM · unset to 8500000.0
Jul 25, 2017 to Jan 4, 2018
Individual RAUM · unset to 500000.0
Jul 25, 2017 to Jan 4, 2018
Pension RAUM · unset to 0.0
Jul 25, 2017 to Jan 4, 2018
Pooled vehicle RAUM · unset to 0.0
Jul 25, 2017 to Jan 4, 2018
RAUM · $60,000 to $9.0M
Jul 25, 2017 to Jan 4, 2018
Advisory employees · 1 to 2
Feb 3, 2017 to Jul 25, 2017

Signals

1 dated events

••• Locked
Aug 1, 2016 · 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