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
W••••• A••••••• N•
Legal name W••••• A••••••• N•••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Apr 1, 2021 · 22 filings
SEC status approved since Apr 30, 2021
RAUM
$354M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$348M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$50.6M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
9
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$354M as of Mar 5, 2026
Mar 28, 2022$171M then
HNW client RAUM$265M as of Mar 5, 2026
Mar 28, 2022$99.0M then
State-registered IARs (5.B.3)6 as of Mar 5, 2026
Mar 28, 20224 then
Employees (5.A)8 as of Mar 5, 2026
Mar 28, 20226 then
Private funds: no history
RAUM +18% over the last fiscal year+20% a year over threeIARs 7 to 6offices 10 to 9
Practice profile
derived from the filing of Mar 5, 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
- RAUM per advisor
- $50.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $306,980derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 0.7derived10 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$265M75%
- Individuals$82.6M23%
- Corporations and businesses$3.6M1.0%
- Pension and profit-sharing plans$2.7M0.8%
- Individual clients
- 194reported
- HNW clients
- 105reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 1,154reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••• P•••••••• M•••• C•••••••Personal Financial Specialist | Portland, Or | Aug 25, 2017 | 18 y | 1 |
| G••••••• D••••••Personal Financial Specialist | Portland, Or | Aug 25, 2017 | 20 y | 1 |
| T•••• J•••• J•••••• | Portland, Or | Aug 25, 2017 | 26 y | 1 |
| T••• S• W•••• | Portland, Or | May 26, 2022 | 19 y | 0 |
| P••••• K•• C••••••• | Portland, Or | Jul 3, 2023 | 16 y | 1 |
| C••••• J••• J•••••••• | Portland, Or | Jul 12, 2024 | 15 y | 1 |
| D•••• D••••• | Portland, Or | Aug 17, 2026 | 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
- B•••••• W••••••••• to R••• A••••• W••••• L••Jul 1, 2025 · RIA to a state-registered adviser
Joined, latest
- C••••• J••• J•••••••• from P••• F•••••••• A•••••••Jul 12, 2024 · RIA to RIA
- P••••• K•• C••••••• from C••••• I••••••••• A••••••• L••Jul 3, 2023 · Affiliated broker-dealer or bank to independent RIA
- D••• P•••••••• M•••• C••••••• from R•• F••••••••Aug 25, 2017 · RIA to RIA
- G••••••• D•••••• from R•• F••••••••Aug 25, 2017 · RIA to RIA
- T•••• J•••• J•••••• from R•• F••••••••Aug 25, 2017 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R•• F••••••••Oct 4, 2016 · Beaverton, Or
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• D•••• P•••••••• M•••• · Ownercontrolsince 11/2013 · owns 75% or more of T•• S•••••••• I•••
- D••••••• G••••••• · Ownercontrolsince 11/2013 · owns 75% or more of F•• A••••••• G•••• I•••
- J••••••• T••••• J•••• · Membercontrolsince 04/2022 · owns 75% or more of T••• G•••• L••
- J••••••• T••••• J•••• · Chief Compliance Officersince 05/2016 · owns less than 5%
Entity owners
- F•• A••••••• G•••• I••• · Ownerdirect · owns 25% to 50%
- T•• S•••••••• I••• · Ownerdirect · owns 50% to 75%
- T••• G•••• L•• · Ownerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- G••••••• D••••••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Portland, Or · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Portland, OR2 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,139 to 1,154Oct 21, 2025 to Mar 5, 2026
- HNW clients · 99 to 105Oct 21, 2025 to Mar 5, 2026
- Individual clients · 201 to 194Oct 21, 2025 to Mar 5, 2026
- Discretionary RAUM · $295M to $352MOct 21, 2025 to Mar 5, 2026
- HNW RAUM · $218M to $265MOct 21, 2025 to Mar 5, 2026
- Individual RAUM · $73.5M to $82.6MOct 21, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $4.9M to $2.2MOct 21, 2025 to Mar 5, 2026
- Pension RAUM · $5.2M to $2.7MOct 21, 2025 to Mar 5, 2026
- RAUM · $300M to $354MOct 21, 2025 to Mar 5, 2026
- Advisory employees · 7 to 6Jun 17, 2025 to Jul 17, 2025
- Employees · 9 to 8Jun 17, 2025 to Jul 17, 2025
- Financial planning clients · 251-500 to 251-500Jun 17, 2025 to Jul 17, 2025
- State-registered IARs · 7 to 6Jun 17, 2025 to Jul 17, 2025
- Other offices · 10 to 9Jun 17, 2025 to Jul 17, 2025
- Accounts · 1,121 to 1,139Jan 28, 2025 to Apr 29, 2025
- Advisory activities · 4 to 5Jan 28, 2025 to Apr 29, 2025
- HNW clients · 68 to 99Jan 28, 2025 to Apr 29, 2025
- Individual clients · 220 to 201Jan 28, 2025 to Apr 29, 2025
- Pension plan clients · 15 to 2Jan 28, 2025 to Apr 29, 2025
- Discretionary RAUM · $253M to $295MJan 28, 2025 to Apr 29, 2025
- HNW RAUM · $150M to $218MJan 28, 2025 to Apr 29, 2025
- Individual RAUM · $100M to $73.5MJan 28, 2025 to Apr 29, 2025
- Non-discretionary RAUM · $10.8M to $4.9MJan 28, 2025 to Apr 29, 2025
- Pension RAUM · $10.9M to $5.2MJan 28, 2025 to Apr 29, 2025
- RAUM · $264M to $300MJan 28, 2025 to Apr 29, 2025
- Other offices · 9 to 10Dec 26, 2024 to Jan 28, 2025
- Advisory employees · 6 to 7Mar 6, 2024 to Jul 22, 2024
- Employees · 8 to 9Mar 6, 2024 to Jul 22, 2024
- State-registered IARs · 6 to 7Mar 6, 2024 to Jul 22, 2024
- Accounts · 1,009 to 1,121Oct 11, 2023 to Mar 6, 2024
- Corporate clients · 2 to 3Oct 11, 2023 to Mar 6, 2024
- HNW clients · 66 to 68Oct 11, 2023 to Mar 6, 2024
- Individual clients · 214 to 220Oct 11, 2023 to Mar 6, 2024
- Pension plan clients · 12 to 15Oct 11, 2023 to Mar 6, 2024
- Discretionary RAUM · $197M to $253MOct 11, 2023 to Mar 6, 2024
- HNW RAUM · $122M to $150MOct 11, 2023 to Mar 6, 2024
- Individual RAUM · $73.4M to $100MOct 11, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $7.6M to $10.8MOct 11, 2023 to Mar 6, 2024
- Pension RAUM · $7.6M to $10.9MOct 11, 2023 to Mar 6, 2024
- RAUM · $205M to $264MOct 11, 2023 to Mar 6, 2024
Signals
3 dated events
- B•••••• W••••••••• left W••••• A••••••• N• for R••• A••••• W••••• L•• (registered 2025-07-18)Jul 1, 2025 · Advisor changed firm · fact
- W••••• A••••••• N• reported 8 offices beyond its principal office, up from 1 (2023-03-23 to 2023-04-19)Apr 19, 2023 · Office count change · derived
- W••••• A••••••• N• filed its initial SEC registration (Form ADV)Apr 1, 2021 · 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
- Business email
- info@wealthnw.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 503-255-6186reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 971-249-9930reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- WEALTHNW.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 971-249-9930reportedpublic record, Form ADV, Mar 5, 2026
- Contact form
- wealthnw.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- wealthnw.com/team-memberreportedpublished by the firm, firm site, Sep 15, 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
- $50.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026