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
A••••• F•••••••• A•••••••• L••
Latest filing Jul 23, 2026
First filing on the tape Apr 27, 2017 · 34 filings
SEC status approved since May 16, 2017
RAUM
$734M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
94%
$690M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$734M as of Jul 23, 2026
Mar 31, 2018$190M then
HNW client RAUM$668M as of Jul 23, 2026
Mar 31, 2018$185M then
State-registered IARs (5.B.3)5 as of Jul 23, 2026
Mar 31, 20183 then
Employees (5.A)10 as of Jul 23, 2026
Mar 31, 20184 then
Private funds: no history
RAUM +15% over the last fiscal year+17% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Jul 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $785,340derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +42%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $11.1M, 1 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)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$668M91%
- Charitable organizations$23.6M3.2%
- Individuals$21.7M3.0%
- Corporations and businesses$19.9M2.7%
- Individual clients
- 61reported
- HNW clients
- 171reported
- Pension plan clients
- 0reported
- Charitable clients
- 4reported
- Accounts
- 934reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $11.1M for 1 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| P•••••• T•••••••Certified Financial Planner, Chartered Financial Analyst | Lake Oswego, Or | Jun 29, 2017 | 19 y | 4 |
| S••••• D••••• A•••••• | Lake Oswego, Or | Jul 7, 2017 | 31 y | 2 |
| S•••• A••• T••••••• | Lake Oswego, Or | Apr 27, 2022 | 10 y | 0 |
| J••••• L••••••• J•••••• F••Chartered Financial Analyst | Lake Oswego, Or | Nov 16, 2023 | 10 y | 1 |
| M••••••• L••• W•••••• | Lake Oswego, Or | Jun 20, 2024 | 22 y | 8 |
| M•••••• S•••••••• E••••• | Lake Oswego, Or | Jan 19, 2025 | 46 y | 3 |
| J••••••••• T•••••••Certified Financial Planner | Lake Oswego, Or | Apr 21, 2026 | 10 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- A••• E••••• C••• to F•••• P••••••• W•••••• L••Feb 6, 2025 · RIA to RIA
- M•••• M•••••••• R••••••••• to E•••••••• C•••••• M••••••••• L••Jun 17, 2024 · RIA to RIA
- R••••• W•••••• N•••• to C••••• P•••••••Mar 12, 2022 · RIA to a newly registered adviser
Joined, latest
- J••••••••• T••••••• from F••••••• W•••••• C•••••• M••••••••• I•••Apr 21, 2026 · RIA to RIA
- M•••••• S•••••••• E••••• from I•••••••• C•••••• L••Jan 19, 2025 · Other
- M••••••• L••• W•••••• from D••• D••••••• • C••Jun 20, 2024 · RIA to RIA
- M•••• M•••••••• R••••••••• from H•••• • G••••• W••••• M••••••••• L••Mar 5, 2024 · RIA to RIA
- J••••• L••••••• J•••••• F•• from V••••••• A•••••••• I•••Nov 16, 2023 · Affiliated broker-dealer or bank to independent RIA
- R••••• W•••••• N•••• from M••••• S••••••Aug 1, 2019 · Wirehouse to independent RIA
- S••••• D••••• A•••••• from T•• I••••••••• A•••• M••••••••• L••Jul 7, 2017 · Other
- P•••••• T••••••• from T•• I••••••••• A•••• M••••••••• L••Jun 29, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from T•• I••••••••• A•••• M••••••••• L••Sep 11, 2017 · Portland, Or
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• S•••••• D••••• · Principalcontrolsince 04/2017 · owns less than 5%
- T•••••••• P•••••• · Senior Wealth Advisorcontrolsince 04/2017 · owns less than 5%
- T•••••••• S••••• A••• · Chief Investment Officercontrolsince 04/2022 · owns less than 5%
- A••••••• S•••••• D••••• · President And Directorcontrolsince 04/2017 · owns 25% to 50% of T••••••• C••••••••• I•••
- T•••••••• P•••••• · Chief Financial Officer And Directorcontrolsince 04/2017 · owns 25% to 50% of T••••••• C••••••••• I•••
- T•••••••• S••••• A••• · Chief Investment Officer And Directorcontrolsince 04/2022 · owns F of T••••••• C••••••••• I•••
- P••••• J••••••• M••••••• · Ccosince 03/2023 · owns less than 5%
Entity owners
- T••••••• C••••••••• I••• · Parent Entitydirect · owns 75% or more
Related persons
Schedule D 7.A
- U••••• C•••••• M••••••••• L••investment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lake Oswego, Or · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 680 to 934Jun 6, 2025 to Mar 30, 2026
- Charity clients · 3 to 4Jun 6, 2025 to Mar 30, 2026
- Corporate clients · 2 to 7Jun 6, 2025 to Mar 30, 2026
- HNW clients · 126 to 171Jun 6, 2025 to Mar 30, 2026
- Individual clients · 37 to 61Jun 6, 2025 to Mar 30, 2026
- Assets in custody · $10.2M to $11.1MJun 6, 2025 to Mar 30, 2026
- Discretionary RAUM · $626M to $703MJun 6, 2025 to Mar 30, 2026
- HNW RAUM · $596M to $668MJun 6, 2025 to Mar 30, 2026
- Individual RAUM · $19.0M to $21.7MJun 6, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $13.3M to $30.1MJun 6, 2025 to Mar 30, 2026
- RAUM · $639M to $734MJun 6, 2025 to Mar 30, 2026
- Financial planning clients · 101-250 to 101-250Apr 7, 2025 to Jun 6, 2025
- Accounts · 763 to 680Mar 27, 2024 to Feb 25, 2025
- Advisory employees · 5 to 4Mar 27, 2024 to Feb 25, 2025
- HNW clients · 143 to 126Mar 27, 2024 to Feb 25, 2025
- Individual clients · 20 to 37Mar 27, 2024 to Feb 25, 2025
- Assets in custody · $9.2M to $10.2MMar 27, 2024 to Feb 25, 2025
- Employees · 9 to 10Mar 27, 2024 to Feb 25, 2025
- Financial planning clients · 51-100 to 101-250Mar 27, 2024 to Feb 25, 2025
- Discretionary RAUM · $546M to $626MMar 27, 2024 to Feb 25, 2025
- HNW RAUM · $549M to $596MMar 27, 2024 to Feb 25, 2025
- Individual RAUM · $3.5M to $19.0MMar 27, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $12.4M to $13.3MMar 27, 2024 to Feb 25, 2025
- RAUM · $558M to $639MMar 27, 2024 to Feb 25, 2025
- Accounts · 706 to 763Jan 26, 2024 to Mar 27, 2024
- Advisory employees · 4 to 5Jan 26, 2024 to Mar 27, 2024
- Charity clients · 6 to 3Jan 26, 2024 to Mar 27, 2024
- Corporate clients · 9 to 2Jan 26, 2024 to Mar 27, 2024
- HNW clients · 127 to 143Jan 26, 2024 to Mar 27, 2024
- Individual clients · 47 to 20Jan 26, 2024 to Mar 27, 2024
- Financial planning clients · 101-250 to 51-100Jan 26, 2024 to Mar 27, 2024
- State-registered IARs · 4 to 5Jan 26, 2024 to Mar 27, 2024
- Discretionary RAUM · $449M to $546MJan 26, 2024 to Mar 27, 2024
- HNW RAUM · $430M to $549MJan 26, 2024 to Mar 27, 2024
- Individual RAUM · $12.2M to $3.5MJan 26, 2024 to Mar 27, 2024
- Non-discretionary RAUM · $13.5M to $12.4MJan 26, 2024 to Mar 27, 2024
- RAUM · $463M to $558MJan 26, 2024 to Mar 27, 2024
- Related adviser · false to trueMar 30, 2023 to Nov 9, 2023
- Accounts · 583 to 706Jan 3, 2023 to Mar 21, 2023
- Advisory employees · 5 to 4Jan 3, 2023 to Mar 21, 2023
Signals
11 dated events
- A••• E••••• C••• left A••••• F•••••••• A•••••••• L•• for F•••• P••••••• W•••••• L•• (registered 2025-04-17)Feb 6, 2025 · Advisor changed firm · fact
- M•••• M•••••••• R••••••••• left A••••• F•••••••• A•••••••• L•• for E•••••••• C•••••• M••••••••• L•• (registered 2024-07-05)Jun 17, 2024 · Advisor changed firm · fact
- Dawn Jamie Mccreary (Chief Compliance Officer / Chief Operating Officer) no longer on Schedule A of A••••• F•••••••• A•••••••• L•• (listed 2023-03-21, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Stephanie Fagerstrom (Client Relationship Manager) no longer on Schedule A of A••••• F•••••••• A•••••••• L•• (listed 2022-10-19, absent 2022-10-24)Oct 24, 2022 · Control person left · inference
- Alan Scott T••••••• (Chief Investment Officer) appeared on Schedule A of A••••• F•••••••• A•••••••• L••Jun 22, 2022 · Control person joined · fact
- R••••• W•••••• N•••• left A••••• F•••••••• A•••••••• L•• for C••••• P••••••• (registered 2022-04-08)Mar 12, 2022 · Advisor changed firm · fact
- Leigh Stacy Sizemore (Chief Compliance Officer) no longer on Schedule A of A••••• F•••••••• A•••••••• L•• (listed 2021-04-23, absent 2021-07-13)Jul 13, 2021 · Control person left · inference
- Stephanie Fagerstrom (Client Relationship Manager) appeared on Schedule A of A••••• F•••••••• A•••••••• L••Mar 31, 2021 · Control person joined · fact
- Leigh Stacy Sizemore (Chief Compliance Officer) appeared on Schedule A of A••••• F•••••••• A•••••••• L••Jun 20, 2019 · Control person joined · fact
- Louise Megan Castleman (Chief Compliance Officer) no longer on Schedule A of A••••• F•••••••• A•••••••• L•• (listed 2019-04-23, absent 2019-06-20)Jun 20, 2019 · Control person left · inference
- A••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 27, 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 email
- i•••@a•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 877-487-6860reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- A•••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 877-487-6860reportedpublic record, Form ADV, Jul 23, 2026
- Contact form
- a•••••••••.comreportedpublished 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
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026