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
R•••• F•••••••• G••••• L••
Latest filing Jul 9, 2026
First filing on the tape Aug 6, 2020 · 18 filings
SEC status approved since Sep 8, 2020
RAUM
$408M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$403M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$58.3M
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$408M as of Jul 9, 2026
Mar 31, 2021$162M then
HNW client RAUM$296M as of Jul 9, 2026
Mar 31, 2021$116M then
State-registered IARs (5.B.3)7 as of Jul 9, 2026
Mar 31, 20215 then
Employees (5.A)9 as of Jul 9, 2026
Mar 31, 20216 then
Private funds: no history
RAUM +27% over the last fiscal year+21% a year over threeIARs 6 to 7offices 1 to 7
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
- $58.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $298,961derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.9derived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$296M72%
- Individuals$107M26%
- Pension and profit-sharing plans$4.7M1.1%
- Charitable organizations$850,2190.2%
- Corporations and businesses$570.0%
- Individual clients
- 270reported
- HNW clients
- 130reported
- Pension plan clients
- 3reported
- Charitable clients
- 1reported
- Accounts
- 1,365reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 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 |
|---|---|---|---|---|
| S••••• D• H••••••Certified Financial Planner | Tigard, Or | Mar 11, 2020 | 17 y | 4 |
| E••• R••••• D••• | Scottsdale, Az | Sep 8, 2020 | 17 y | 1 |
| S•••••••• D••••••• T•••••••••Certified Financial Planner | Tigard, Or | Nov 16, 2020 | 18 y | 2 |
| S•••• C••••••••• A•••• | Tigard, Or | Nov 11, 2024 | 27 y | 7 |
| J•••••• S•••• K••••Certified Financial Planner, Chartered Financial Analyst | Tigard, Or | Apr 1, 2025 | 30 y | 3 |
| T••• R••••• D••••••••• | Tigard, Or | Sep 18, 2025 | 13 y | 1 |
| R••••• T••• F•••••••••Certified Financial Planner | Tigard, Or | Jan 16, 2026 | 13 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- K•••••• K••••••• to I••••••••• A•••••• A•••••••• L••Mar 8, 2022 · RIA to RIA
Joined, latest
- R••••• T••• F••••••••• from H•••• I••••••••Jan 16, 2026 · Other
- T••• R••••• D••••••••• from F•••• P•••••• F••••••••• I•••Sep 18, 2025 · RIA to RIA
- J•••••• S•••• K•••• from C••••••••• C•••••• A•••••••• L••Apr 1, 2025 · Other
- S•••• C••••••••• A•••• from F••••••• P••••••• A•• W•••••••• A•••••••Nov 11, 2024 · Affiliated broker-dealer or bank to independent RIA
- S•••••••• D••••••• T••••••••• from H•••• I••••••••Nov 16, 2020 · RIA to RIA
- E••• R••••• D••• from H•••• I••••••••Sep 8, 2020 · Other
- S••••• D• H•••••• from H•••• I••••••••Mar 11, 2020 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from H•••• I••••••••Mar 27, 2020 · Lake Oswego, Or
- 2 joined from H•••• I••••••••Nov 29, 2017 · Lake Oswego, Or
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• E•••• R••••• · Managing Member & Ccocontrolsince 11/2017 · owns 75% or more
- F••••••••• R•••••• T••• · Membersince 11/2017 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Tigard, Or · principal | 7 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,188 to 1,365Sep 18, 2025 to Feb 10, 2026
- HNW clients · 118 to 130Sep 18, 2025 to Feb 10, 2026
- Individual clients · 232 to 270Sep 18, 2025 to Feb 10, 2026
- Other offices · 1 to 7Sep 18, 2025 to Feb 10, 2026
- Discretionary RAUM · $314M to $403MSep 18, 2025 to Feb 10, 2026
- HNW RAUM · $236M to $296MSep 18, 2025 to Feb 10, 2026
- Individual RAUM · $77.4M to $107MSep 18, 2025 to Feb 10, 2026
- Non-discretionary RAUM · $7.2M to $4.7MSep 18, 2025 to Feb 10, 2026
- Pension RAUM · $7.2M to $4.7MSep 18, 2025 to Feb 10, 2026
- RAUM · $321M to $408MSep 18, 2025 to Feb 10, 2026
- Advisory employees · 6 to 7Apr 2, 2025 to Sep 18, 2025
- Employees · 8 to 9Apr 2, 2025 to Sep 18, 2025
- State-registered IARs · 6 to 7Apr 2, 2025 to Sep 18, 2025
- Advisory employees · 5 to 6Jan 24, 2025 to Apr 2, 2025
- Employees · 7 to 8Jan 24, 2025 to Apr 2, 2025
- Financial planning clients · 1-10 to 1-10Jan 24, 2025 to Apr 2, 2025
- State-registered IARs · 5 to 6Jan 24, 2025 to Apr 2, 2025
- Accounts · 1,044 to 1,188Mar 29, 2024 to Jan 24, 2025
- Corporate clients · 2 to 1Mar 29, 2024 to Jan 24, 2025
- HNW clients · 109 to 118Mar 29, 2024 to Jan 24, 2025
- Individual clients · 200 to 232Mar 29, 2024 to Jan 24, 2025
- Pension plan clients · 6 to 3Mar 29, 2024 to Jan 24, 2025
- Discretionary RAUM · $253M to $314MMar 29, 2024 to Jan 24, 2025
- HNW RAUM · $193M to $236MMar 29, 2024 to Jan 24, 2025
- Individual RAUM · $59.4M to $77.4MMar 29, 2024 to Jan 24, 2025
- Non-discretionary RAUM · $8.8M to $7.2MMar 29, 2024 to Jan 24, 2025
- Pension RAUM · $8.8M to $7.2MMar 29, 2024 to Jan 24, 2025
- RAUM · $262M to $321MMar 29, 2024 to Jan 24, 2025
- Accounts · 288 to 1,044Nov 28, 2023 to Mar 29, 2024
- Corporate clients · 0 to 2Nov 28, 2023 to Mar 29, 2024
- HNW clients · 107 to 109Nov 28, 2023 to Mar 29, 2024
- Individual clients · 171 to 200Nov 28, 2023 to Mar 29, 2024
- Pension plan clients · 7 to 6Nov 28, 2023 to Mar 29, 2024
- Discretionary RAUM · $220M to $253MNov 28, 2023 to Mar 29, 2024
- HNW RAUM · $174M to $193MNov 28, 2023 to Mar 29, 2024
- Individual RAUM · $45.3M to $59.4MNov 28, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $9.9M to $8.8MNov 28, 2023 to Mar 29, 2024
- Pension RAUM · $9.9M to $8.8MNov 28, 2023 to Mar 29, 2024
- RAUM · $230M to $262MNov 28, 2023 to Mar 29, 2024
- Accounts · 254 to 288Nov 18, 2022 to Mar 31, 2023
Signals
3 dated events
- R•••• F•••••••• G••••• L•• reported 7 offices beyond its principal office, up from 1 (2025-09-18 to 2026-02-10)Feb 10, 2026 · Office count change · derived
- K•••••• K••••••• left R•••• F•••••••• G••••• L•• for I••••••••• A•••••• A•••••••• L•• (registered 2022-03-10)Mar 8, 2022 · a•••••• firm change · fact
- R•••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)Aug 6, 2020 · ria f•••• adv filing · 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
- 503-482-4400reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/R••••-FINANCIAL-GROUP-LLCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 503-482-4400reportedpublic record, Form ADV, Jul 9, 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
- $58.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026