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••••••• A••••••• S•••••••• L••

Former SEC-registered adviserPortland, OregonCRD 290231SEC 801-112309IAPD
Latest filing Aug 17, 2021
First filing on the tape Dec 15, 2017 · 25 filings
RAUM
$689M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$689M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
26
15 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$689M as of Mar 29, 2021
Mar 26, 2019$407M then
HNW client RAUM$358M as of Mar 29, 2021
Mar 26, 2019$159M then
State-registered IARs (5.B.3)15 as of Mar 29, 2021
Mar 26, 201915 then
Employees (5.A)26 as of Mar 29, 2021
Mar 26, 201915 then
Private funds: no history
RAUM +35% over the last fiscal yearIARs 15 to 15
Practice profile
derived from the filing of Aug 17, 2021; every figure names its basis
RAUM per advisor
$45.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
87derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$221,909derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
7.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+35%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+19%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Custody
$359M, 742 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$358M52%
  • Individuals$331M48%
  • Corporations and businesses$360,6800.1%
Individual clients
1,063reported
HNW clients
236reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3,105reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$359M for 742 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••••••• R•••••• P•••••• · Membercontrol
    since 09/2017 · owns 25% to 50%
  • B••••• G•••• S•••• · Membercontrol
    since 09/2017 · owns 25% to 50%
  • J••••••••• M••••••• P••• · Chief Compliance Officercontrol
    since 09/2017 · owns less than 5%
  • P••••• D••••••• K•• · Membercontrol
    since 09/2017 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Danville, CA1 employees
What changed
consecutive filings, newest first
  • Accounts · 2,170 to 3,105
    Jul 6, 2020 to Mar 29, 2021
  • Corporate clients · 2 to 1
    Jul 6, 2020 to Mar 29, 2021
  • HNW clients · 133 to 236
    Jul 6, 2020 to Mar 29, 2021
  • Individual clients · 958 to 1,063
    Jul 6, 2020 to Mar 29, 2021
  • Assets in custody · $4.1M to $359M
    Jul 6, 2020 to Mar 29, 2021
  • Discretionary RAUM · $511M to $689M
    Jul 6, 2020 to Mar 29, 2021
  • HNW RAUM · $214M to $358M
    Jul 6, 2020 to Mar 29, 2021
  • Individual RAUM · $294M to $331M
    Jul 6, 2020 to Mar 29, 2021
  • RAUM · $511M to $689M
    Jul 6, 2020 to Mar 29, 2021
  • Accounts · 2,155 to 2,170
    Oct 31, 2019 to Apr 1, 2020
  • Advisory employees · 18 to 15
    Oct 31, 2019 to Apr 1, 2020
  • BD registered reps · 10 to 11
    Oct 31, 2019 to Apr 1, 2020
  • Charity clients · 1 to 0
    Oct 31, 2019 to Apr 1, 2020
  • Corporate clients · 0 to 2
    Oct 31, 2019 to Apr 1, 2020
  • HNW clients · 104 to 133
    Oct 31, 2019 to Apr 1, 2020
  • Individual clients · 814 to 958
    Oct 31, 2019 to Apr 1, 2020
  • Assets in custody · unset to 4111071.0
    Oct 31, 2019 to Apr 1, 2020
  • Custody of client assets · false to true
    Oct 31, 2019 to Apr 1, 2020
  • Employees · 18 to 26
    Oct 31, 2019 to Apr 1, 2020
  • Insurance-licensed employees · 8 to 2
    Oct 31, 2019 to Apr 1, 2020
  • State-registered IARs · 18 to 15
    Oct 31, 2019 to Apr 1, 2020
  • Discretionary RAUM · $407M to $511M
    Oct 31, 2019 to Apr 1, 2020
  • HNW RAUM · $159M to $214M
    Oct 31, 2019 to Apr 1, 2020
  • Individual RAUM · $248M to $294M
    Oct 31, 2019 to Apr 1, 2020
  • RAUM · $407M to $511M
    Oct 31, 2019 to Apr 1, 2020
  • Wrap assets (manager) · 44346649.0 to unset
    Oct 31, 2019 to Apr 1, 2020
  • Wrap assets (sponsor) · 0.0 to unset
    Oct 31, 2019 to Apr 1, 2020
  • Advisory employees · 15 to 18
    Jun 21, 2019 to Oct 31, 2019
  • BD registered reps · 9 to 10
    Jun 21, 2019 to Oct 31, 2019
  • Employees · 15 to 18
    Jun 21, 2019 to Oct 31, 2019
  • State-registered IARs · 15 to 18
    Jun 21, 2019 to Oct 31, 2019
  • Accounts · 517 to 2,155
    Jan 11, 2019 to Mar 26, 2019
  • Charity clients · 0 to 1
    Jan 11, 2019 to Mar 26, 2019
  • HNW clients · 36 to 104
    Jan 11, 2019 to Mar 26, 2019
  • Individual clients · 138 to 814
    Jan 11, 2019 to Mar 26, 2019
  • Pension plan clients · 9 to 0
    Jan 11, 2019 to Mar 26, 2019
  • Financial planning clients · 0 to 251-500
    Jan 11, 2019 to Mar 26, 2019
  • Discretionary RAUM · $121M to $407M
    Jan 11, 2019 to Mar 26, 2019
  • HNW RAUM · $53.3M to $159M
    Jan 11, 2019 to Mar 26, 2019
  • Individual RAUM · $64.4M to $248M
    Jan 11, 2019 to Mar 26, 2019
Signals
19 dated events
  • O•••••• F•••••••• M•••••• left C••••••• A••••••• S•••••••• L•• for M•••••• (registered 2022-01-06)
    Jan 28, 2022 · Advisor changed firm · fact
  • G•••••• S•••• B•••• left C••••••• A••••••• S•••••••• L•• for M•••••• (registered 2022-01-03)
    Jan 28, 2022 · Advisor changed firm · fact
  • M•••••• R••••••• M•••••••• left C••••••• A••••••• S•••••••• L•• for M•••••• (registered 2022-01-03)
    Jan 28, 2022 · Advisor changed firm · fact
  • P••• R•••••• E••••••• left C••••••• A••••••• S•••••••• L•• for M•••••• (registered 2022-01-03)
    Jan 28, 2022 · Advisor changed firm · fact
  • W•••••• H•••• L•••• left C••••••• A••••••• S•••••••• L•• for M•••••• (registered 2022-01-03)
    Jan 28, 2022 · Advisor changed firm · fact
  • E••• K••••• A•••• left C••••••• A••••••• S•••••••• L•• for M•••••• (registered 2022-01-26)
    Jan 28, 2022 · Advisor changed firm · fact
  • D•••••• K•• P•••• left C••••••• A••••••• S•••••••• L•• for M•••••• (registered 2022-01-03)
    Jan 28, 2022 · Advisor changed firm · fact
  • C••••••• A••••••• S•••••••• L••'s advisors moved to M•••••• (Portland, OR): 9 of 9 registered, on the same day
    Jan 28, 2022 · Firm absorbed (people side) · derived
  • K•• A•••• M•••••• left C••••••• A••••••• S•••••••• L•• for M•••••• (registered 2022-03-16)
    Jan 28, 2022 · Advisor changed firm · fact
  • R••••• P•••••• B•••••••• left C••••••• A••••••• S•••••••• L•• for M•••••• (registered 2022-01-03)
    Jan 28, 2022 · Advisor changed firm · fact
  • S••••• R•••••• D••••• left C••••••• A••••••• S•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2024-03-21)
    Jan 7, 2022 · Advisor changed firm · fact
  • E••• S•••• E•••• left C••••••• A••••••• S•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2024-03-21)
    Jan 7, 2022 · Advisor changed firm · fact
  • J••••••• A•••••• B••• left C••••••• A••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2021-01-07)
    Jan 7, 2022 · Advisor changed firm · fact
  • 2 advisors left C••••••• A••••••• S•••••••• L•• (Tillamook, OR) for C••••• I••••••••• A••••••• L•• on the same day
    Jan 7, 2022 · Team lift-out · derived
  • S••••• L•• H•• M•••••••• left C••••••• A••••••• S•••••••• L•• for C••••••••• P•••••••• R••••• C••• (registered 2022-01-11)
    Jan 4, 2022 · Advisor changed firm · fact
  • C••••••• A••••••• S•••••••• L•• reported RAUM $689.0M, up 35% from $510.9M (2020-07-06 to 2021-03-29)
    Mar 29, 2021 · RAUM change · derived
  • C••••••• A••••••• S•••••••• L•• reported RAUM $510.9M, up 25% from $407.2M (2019-10-31 to 2020-04-01)
    Apr 1, 2020 · RAUM change · derived
  • C••••••• A••••••• S•••••••• L•• reported RAUM $407.2M, up 236% from $121.2M (2019-01-11 to 2019-03-26)
    Mar 26, 2019 · RAUM change · derived
  • C••••••• A••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)
    Dec 15, 2017 · 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.
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