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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Former SEC-registered adviser
C•••••• U•••••• L••
Latest filing Mar 27, 2025
First filing on the tape Nov 7, 2016 · 30 filings
SEC status approved since Apr 17, 2024
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$0 as of Mar 27, 2025
Mar 16, 2017$109M then
HNW client RAUM$0 as of Mar 13, 2023
Mar 1, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 27, 2025
Mar 16, 20173 then
Employees (5.A)0 as of Mar 27, 2025
Mar 16, 20173 then
Private funds1 as of Feb 19, 2025
Mar 16, 20171 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 27, 2025; every figure names its basis
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.0derivedItem 5.A over advisors
- Advisors per office
- 1.2derived5 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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
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
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- reported
- 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••••••• B•••••• S••••• | Hillsboro, Or | Aug 27, 2024 | 12 y | 3 |
| B•••••• W•••••• S•• | San Juan, Pr | Sep 13, 2024 | 12 y | 2 |
| B•••• S•••• F••••• | Hillsboro, Or | Mar 5, 2025 | 12 y | 3 |
| T••••• M••••• M••••• | Waunakee, Wi | Dec 16, 2025 | 14 y | 0 |
| T•••••• M••••••• W•••••• | Hillsboro, Or | Jan 1, 2026 | 12 y | 0 |
| A••••• P•••• C••••• | Hillsboro, Or | Jul 31, 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- B•••••• W•••••• S•• from N••••••••• M••••• I••••••••• S•••••••••Feb 8, 2018 · Other
- B•••• S•••• F••••• from C•••••• P•••• S••••• S•••Jan 13, 2017 · Other
- B••••••• B•••••• S••••• from C•••••• P•••• S••••• S•••Jan 12, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C•••••• P•••• S••••• S•••Apr 11, 2017 · Geneva
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•• U••••• P••••• R••• F• L•no longer reported | Real Estate Fund | $109M | 218 | Nov 7, 2016 |
| C•••••••• I••••••••• F••• • N•••• A•• E•••••• L••• | Real Estate Fund | $0 | 0 | Mar 25, 2021 |
Owners and control persons
Schedule A and B, latest filing
- F•••••• B••••• S•••• · Managing Membercontrolsince 03/2016 · owns 50% to 75%
- S•••••• B•••••••• B•••••• · Managing Membercontrolsince 03/2016 · owns 50% to 75%
- W••••••• T••••••• M••••••• · Chief Compliance Officer & Chief Financial Officercontrolsince 03/2016 · owns less than 5%
Related persons
Schedule D 7.A
- C•••••••• I••••••••• F••• • N•••• A•• E•••••• L•••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Hillsboro, Or · principal | 6 | 3 | 0 | ||
| San Juan, Pr | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Charity clients · unset to 0.0Feb 19, 2025 to Mar 27, 2025
- Corporate clients · unset to 0.0Feb 19, 2025 to Mar 27, 2025
- HNW clients · unset to 0.0Feb 19, 2025 to Mar 27, 2025
- Individual clients · unset to 0.0Feb 19, 2025 to Mar 27, 2025
- Pension plan clients · unset to 0.0Feb 19, 2025 to Mar 27, 2025
- Pooled vehicle clients · unset to 0.0Feb 19, 2025 to Mar 27, 2025
- Financial planning clients · unset to Feb 19, 2025 to Mar 27, 2025
- Private funds · 1 to unsetFeb 19, 2025 to Mar 27, 2025
- Accounts · 1 to 0Aug 7, 2024 to Feb 19, 2025
- Charity clients · 0.0 to unsetAug 7, 2024 to Feb 19, 2025
- Corporate clients · 0.0 to unsetAug 7, 2024 to Feb 19, 2025
- HNW clients · 0.0 to unsetAug 7, 2024 to Feb 19, 2025
- Individual clients · 0.0 to unsetAug 7, 2024 to Feb 19, 2025
- Pension plan clients · 0.0 to unsetAug 7, 2024 to Feb 19, 2025
- Pooled vehicle clients · 1.0 to unsetAug 7, 2024 to Feb 19, 2025
- Other offices · 3 to 4Aug 7, 2024 to Feb 19, 2025
- Discretionary RAUM · $159M to $0Aug 7, 2024 to Feb 19, 2025
- HNW RAUM · 0.0 to unsetAug 7, 2024 to Feb 19, 2025
- Individual RAUM · 0.0 to unsetAug 7, 2024 to Feb 19, 2025
- Pension RAUM · 0.0 to unsetAug 7, 2024 to Feb 19, 2025
- Pooled vehicle RAUM · 159300000.0 to unsetAug 7, 2024 to Feb 19, 2025
- RAUM · $159M to $0Aug 7, 2024 to Feb 19, 2025
- Accounts · 0 to 1Mar 13, 2023 to Mar 18, 2024
- Advisory employees · 4 to 0Mar 13, 2023 to Mar 18, 2024
- Pooled vehicle clients · 0 to 1Mar 13, 2023 to Mar 18, 2024
- Assets in custody · unset to 159300000.0Mar 13, 2023 to Mar 18, 2024
- Employees · 4 to 0Mar 13, 2023 to Mar 18, 2024
- State-registered IARs · 4 to 0Mar 13, 2023 to Mar 18, 2024
- Discretionary RAUM · $0 to $159MMar 13, 2023 to Mar 18, 2024
- Pooled vehicle RAUM · $0 to $159MMar 13, 2023 to Mar 18, 2024
- RAUM · $0 to $159MMar 13, 2023 to Mar 18, 2024
- Other offices · 2 to 3Oct 17, 2022 to Jan 3, 2023
- Accounts · 1 to 0Mar 25, 2021 to Mar 2, 2022
- Pooled vehicle clients · 1 to 0Mar 25, 2021 to Mar 2, 2022
- Non-discretionary RAUM · $500,000 to $0Mar 25, 2021 to Mar 2, 2022
- Pooled vehicle RAUM · $500,000 to $0Mar 25, 2021 to Mar 2, 2022
- RAUM · $500,000 to $0Mar 25, 2021 to Mar 2, 2022
- Accounts · 2 to 1Mar 18, 2021 to Mar 25, 2021
- Advisory employees · 3 to 4Mar 18, 2021 to Mar 25, 2021
- Pooled vehicle clients · 2 to 1Mar 18, 2021 to Mar 25, 2021
Signals
4 dated events
- C•••••• U•••••• L•• no longer on the SEC adviser roster (last listed 2025-12-20)Jan 2, 2026 · Left the SEC roster · derived
- C•••••• U•••••• L•• reported RAUM $0, down 100% from $159.3M (2024-08-07 to 2025-02-19)Feb 19, 2025 · RAUM change · derived
- C•••••• U•••••• L•• reported RAUM $500,000, down 100% from $120.0M (2021-03-18 to 2021-03-25)Mar 25, 2021 · RAUM change · derived
- C•••••• U•••••• L•• filed its initial SEC registration (Form ADV)Nov 7, 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.
How to reach
public business contact points only, each with its source
- Website
- w••.c••••••••.comreportedpublic record, Form ADV, Sep 18, 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
- 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
Across the graphs
C•••••• U•••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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