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
C•••• F•••••••• A•••••••
Legal name C•••• F•••••••• A•••••••• L••
Latest filing Jul 9, 2026
First filing on the tape May 8, 2017 · 53 filings
SEC status approved since Jun 22, 2017
RAUM
$482M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$468M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$43.8M
derived; firm RAUM over IAPD count
Employees
12
11 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
53 filings and snapshots on the tape
RAUM$482M as of Jul 9, 2026
Mar 21, 2018$134M then
HNW client RAUM$304M as of Jul 9, 2026
Mar 21, 2018$49.7M then
State-registered IARs (5.B.3)11 as of Jul 9, 2026
Mar 21, 201815 then
Employees (5.A)12 as of Jul 9, 2026
Mar 21, 201815 then
Private funds: no history
RAUM +15% over the last fiscal year+19% a year over threeIARs 14 to 11offices 7 to 6
Practice profile
derived from the filing of Jul 9, 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
- $43.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 166derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $555,395derivedHNW RAUM over HNW clients
- Average account
- $165,745derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 1.6derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -21%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $48.5M, 232 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$304M63%
- Individuals$164M34%
- Corporations and businesses$7.7M1.6%
- Pension and profit-sharing plans$3.7M0.8%
- Charitable organizations$2.4M0.5%
- Individual clients
- 1,283reported
- HNW clients
- 548reported
- Pension plan clients
- 17reported
- Charitable clients
- 11reported
- Accounts
- 2,907reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $4.4M managedreported
- Custody of client assets
- $48.5M for 232 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=12.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J••••• C•••• | Portland, Or | Jun 29, 2017 | 28 y | 1 |
| J•• S• T•••••••• | Portland, Or | Jun 29, 2017 | 25 y | 0 |
| B•••• M•••••• C•••• | Portland, Or | Jun 29, 2017 | 23 y | 1 |
| J••••• D•••• L••• | Portland, Or | Jun 29, 2017 | 20 y | 1 |
| T••••• B••••• O••••••• | Portland, Or | Jun 29, 2017 | 36 y | 3 |
| C•••• S•••• L••••• | Portland, Or | Jul 18, 2017 | 37 y | 1 |
| A•••• P•••• | Portland, Or | Nov 15, 2017 | 11 y | 0 |
| M•••• M• E•••••• | Portland, Or | Jan 15, 2020 | 12 y | 0 |
| K••• A••• B••••••• | Newberg, Or | Jun 22, 2022 | 13 y | 0 |
| M••••• D••• W•••••••• | Portland, Or | Jan 1, 2026 | 27 y | 0 |
| C•••••• L••• J•••••Certified Financial Planner | Fulshear, Tx | Feb 24, 2026 | 21 y | 4 |
Advisor movement
4 left, 1 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 36% of current headcount5 left over 36 months
Left, latest
- D••••• W• R••••••• to R••• C•••• W••••• M•••••••••Feb 23, 2026 · RIA to a newly registered adviser
- K••• R••• P•••••• to R••• C•••• W••••• M•••••••••Feb 23, 2026 · RIA to a newly registered adviser
- R••••• R•••••• M••••••• to R••• C•••• W••••• M•••••••••Feb 23, 2026 · RIA to a newly registered adviser
- G•••••• S•••• L••••• to O•••• W•••••• I•••Dec 5, 2025 · RIA to affiliated broker-dealer or bank
- H••••• S•••• P••••••• to F•••••• W•••••Jan 3, 2024 · RIA to a state-registered adviser
- R••••• J••••• S••••••• to N••• F•••••••• P•••••••• L••Oct 5, 2022 · RIA to a state-registered adviser
Joined, latest
- C•••••• L••• J••••• from S•••••••• A••••••• L••Feb 24, 2026 · Affiliated broker-dealer or bank to independent RIA
- H••••• S•••• P••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jan 26, 2022 · Affiliated broker-dealer or bank to independent RIA
- C•••• S•••• L••••• from M••••• S•••••• D• I•••Jul 18, 2017 · Other
- R••••• J••••• S••••••• from L•• F•••••••• L••Jun 29, 2017 · RIA to a newly registered adviser
- D••••• W• R••••••• from M••••• S••••••Jun 29, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- G•••••• S•••• L••••• from L•• F•••••••• L••Jun 29, 2017 · RIA to a newly registered adviser
- K••• R••• P•••••• from H•••••• T••••••• • K•••• L••Jun 29, 2017 · Other
- J••••• D•••• L••• from C•••••• T•••• B•••Jun 29, 2017 · Other
- M•••••• J••••• C•••• from S•••••••• A••••••• L••Jun 29, 2017 · Affiliated broker-dealer or bank to a newly registered adviser
- B•••• M•••••• C•••• from B••• O• A•••••• I••••••••• S•••••••• I•••Jun 29, 2017 · Other
- T••••• B••••• O••••••• from M••••• S••••••Jun 29, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- R••••• R•••••• M••••••• from H•••••• T••••••• • K•••• L••Jun 29, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for R••• C•••• W••••• M•••••••••Feb 23, 2026 · Portland, Or
- 2 joined from L•• F•••••••• L••Dec 21, 2017 · Hood River, Or
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••••••• J••• S• · Managing Member / Alternative Regulatory Contactcontrolsince 07/2017 · owns 50% to 75%
- W••••••••• M•••••• D••• · Managing Member / Chief Compliance Officercontrolsince 04/2017 · owns 50% to 75%
Related persons
Schedule D 7.A
- B•••••••• G•••••••• A•• O••••••• P•••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Portland, Or · principal | 11 | 2 | 4 | 1 | |
| Newberg, Or | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Beaverton, OR11 employees
- Portland, OR2 employees
- Salem, OR2 employees
- Tualatin, OR2 employees
- , 2 employees
- Lake Oswego, OR1 employees
What changed
consecutive filings, newest first
- HQ city · BEAVERTON to PORTLANDMar 20, 2026 to Jul 9, 2026
- Accounts · 2,966 to 2,907Feb 4, 2026 to Mar 20, 2026
- Advisory employees · 13 to 11Feb 4, 2026 to Mar 20, 2026
- BD registered reps · 11 to 12Feb 4, 2026 to Mar 20, 2026
- Charity clients · 10 to 11Feb 4, 2026 to Mar 20, 2026
- Corporate clients · 13 to 14Feb 4, 2026 to Mar 20, 2026
- HNW clients · 477 to 548Feb 4, 2026 to Mar 20, 2026
- Individual clients · 1,416 to 1,283Feb 4, 2026 to Mar 20, 2026
- Pension plan clients · 16 to 17Feb 4, 2026 to Mar 20, 2026
- Assets in custody · unset to 48488002.0Feb 4, 2026 to Mar 20, 2026
- Custody of client assets · false to trueFeb 4, 2026 to Mar 20, 2026
- Employees · 13 to 12Feb 4, 2026 to Mar 20, 2026
- Financial planning clients · 101-250 to 251-500Feb 4, 2026 to Mar 20, 2026
- State-registered IARs · 13 to 11Feb 4, 2026 to Mar 20, 2026
- Discretionary RAUM · $419M to $482MFeb 4, 2026 to Mar 20, 2026
- HNW RAUM · $239M to $304MFeb 4, 2026 to Mar 20, 2026
- Individual RAUM · $168M to $164MFeb 4, 2026 to Mar 20, 2026
- Pension RAUM · $2.8M to $3.7MFeb 4, 2026 to Mar 20, 2026
- RAUM · $419M to $482MFeb 4, 2026 to Mar 20, 2026
- Wrap assets (manager) · $3.8M to $4.4MFeb 4, 2026 to Mar 20, 2026
- Advisory employees · 14 to 13Jul 14, 2025 to Dec 8, 2025
- BD registered reps · 12 to 11Jul 14, 2025 to Dec 8, 2025
- Employees · 14 to 13Jul 14, 2025 to Dec 8, 2025
- State-registered IARs · 14 to 13Jul 14, 2025 to Dec 8, 2025
- Other offices · 7 to 6Jul 14, 2025 to Dec 8, 2025
- Financial planning clients · 101-250 to 101-250Apr 9, 2025 to Jul 14, 2025
- Accounts · 2,773 to 2,966Aug 1, 2024 to Apr 9, 2025
- Charity clients · 7 to 10Aug 1, 2024 to Apr 9, 2025
- Corporate clients · 12 to 13Aug 1, 2024 to Apr 9, 2025
- HNW clients · 383 to 477Aug 1, 2024 to Apr 9, 2025
- Pension plan clients · 12 to 16Aug 1, 2024 to Apr 9, 2025
- Discretionary RAUM · $346M to $419MAug 1, 2024 to Apr 9, 2025
- HNW RAUM · $188M to $239MAug 1, 2024 to Apr 9, 2025
- Individual RAUM · $150M to $168MAug 1, 2024 to Apr 9, 2025
- Pension RAUM · $2.1M to $2.8MAug 1, 2024 to Apr 9, 2025
- RAUM · $346M to $419MAug 1, 2024 to Apr 9, 2025
- Wrap assets (manager) · $3.3M to $3.8MAug 1, 2024 to Apr 9, 2025
- Advisory employees · 15 to 14Apr 3, 2024 to Apr 15, 2024
- BD registered reps · 13 to 12Apr 3, 2024 to Apr 15, 2024
- Employees · 15 to 14Apr 3, 2024 to Apr 15, 2024
Signals
8 dated events
- R••••• R•••••• M••••••• left C•••• F•••••••• A••••••• for R••• C•••• W••••• M••••••••• (registered 2026-02-23)Feb 23, 2026 · Advisor changed firm · fact
- D••••• W• R••••••• left C•••• F•••••••• A••••••• for R••• C•••• W••••• M••••••••• (registered 2026-02-18)Feb 23, 2026 · Advisor changed firm · fact
- K••• R••• P•••••• left C•••• F•••••••• A••••••• for R••• C•••• W••••• M••••••••• (registered 2026-02-18)Feb 23, 2026 · Advisor changed firm · fact
- 3 advisors left C•••• F•••••••• A••••••• (Portland, OR) for R••• C•••• W••••• M••••••••• on the same dayFeb 23, 2026 · Team lift-out · derived
- G•••••• S•••• L••••• left C•••• F•••••••• A••••••• for O•••• W•••••• I••• (registered 2025-10-01)Dec 5, 2025 · Advisor changed firm · fact
- H••••• S•••• P••••••• left C•••• F•••••••• A••••••• for F•••••• W••••• (registered 2024-01-02)Jan 3, 2024 · Advisor changed firm · fact
- R••••• J••••• S••••••• left C•••• F•••••••• A••••••• for N••• F•••••••• P•••••••• L•• (registered 2022-10-07)Oct 5, 2022 · Advisor changed firm · fact
- C•••• F•••••••• A••••••• filed its initial SEC registration (Form ADV)May 8, 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
- Business phone
- 503-400-3831reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 503-538-1900reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/cross-financial-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- L•••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (503) 430-0563reportedpublic record, Form ADV, Jul 9, 2026
- Team page
- lydafinancial.com/team.htmreportedpublished by the firm, firm site, Sep 17, 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
- $43.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026