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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

R•••••••••

Former SEC-registered adviserLake Oswego, OregonCRD 291921SEC 801-112828IAPD
Legal name R••••••••• A•••••••• L••
Latest filing Apr 1, 2022
First filing on the tape Mar 13, 2018 · 12 filings
RAUM
$1.3M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM: $1.3M
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2022
Mar 28, 20190 then
Employees (5.A)5 as of Apr 1, 2022
Mar 28, 20190 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2022; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 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 assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, educational seminars, otherreportedItem 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
  • Other investment advisers$1.3M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• A•••• W•••••• · Presidentcontrol
        since 08/2015 · owns less than 5%
      • N••••••• A•••••• J••••• · Ccocontrol
        since 08/2015 · owns less than 5%
      • H•••••• A•••• W•••••• · Ceocontrol
        since 05/2013 · owns 25% to 50% of R••••••••• I•••
      • N••••••• A•••••• J••••• · Ctocontrol
        since 05/2013 · owns 25% to 50% of R••••••••• I•••
      Entity owners
      • R••••••••• I••• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · unset to 1.0
        Jan 31, 2022 to Apr 1, 2022
      • Advisory employees · 0 to 5
        Jan 31, 2022 to Apr 1, 2022
      • Advisory activities · 2 to 3
        Jan 31, 2022 to Apr 1, 2022
      • Employees · 0 to 5
        Jan 31, 2022 to Apr 1, 2022
      • Discretionary RAUM · unset to 0.0
        Jan 31, 2022 to Apr 1, 2022
      • Non-discretionary RAUM · unset to 1300000.0
        Jan 31, 2022 to Apr 1, 2022
      • RAUM · unset to 1300000.0
        Jan 31, 2022 to Apr 1, 2022
      • HQ city · PORTLAND to LAKE OSWEGO
        Jun 29, 2021 to Jan 31, 2022
      • Legal name · 3•• A•••••••• L•• to R••••••••• A•••••••• L••
        Oct 29, 2019 to Mar 24, 2020
      • Business name · 3•• A•••••••• L•• to R•••••••••
        Mar 28, 2019 to May 14, 2019
      • Employees · 3 to 0
        Mar 28, 2018 to Mar 28, 2019
      Signals
      1 dated events
      • 3•• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 13, 2018 · 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.
      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