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
O••••••••• W••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Aug 30, 2021 · 13 filings
SEC status approved since Sep 30, 2021
RAUM
$103M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$103M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$34.3M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$103M as of Mar 30, 2026
Mar 3, 2022$311M then
HNW client RAUM$77.0M as of Mar 30, 2026
Mar 3, 2022$41.4M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Mar 3, 20223 then
Employees (5.A)3 as of Mar 30, 2026
Mar 3, 20223 then
Private funds: no history
RAUM +33% over the last fiscal year-30% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 30, 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
- 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $34.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $308,069derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +33%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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
- 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$77.0M75%
- Individuals$25.9M25%
- Individual clients
- 87reported
- HNW clients
- 36reported
- Pension plan clients
- 67reported
- Charitable clients
- n/areported
- Accounts
- 334reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• D•••••• D••••••Chartered Financial Analyst | Gig Harbor, Wa | Feb 15, 2019 | 20 y | 6 |
| D••••• R••• R••••• | Cottonwood Heights, Ut | Jul 9, 2019 | 16 y | 3 |
| C••••••••• E••••• C•••••• | Gig Harbor, Wa | Jul 14, 2021 | 34 y | 3 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- C••••••••• E••••• C•••••• from S••••••••• A•••••• A•••••••• I•••Jul 14, 2021 · Other
- D••••• R••• R••••• from G••••• R••••••••• P••••••• L••Jul 9, 2019 · Other
- G•••••• D•••••• D•••••• from W••••••••• F•••••••• M••••••••• L••Feb 15, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• G••••••• D•••••• · Managing Principal/Ccocontrolsince 02/2019 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Gig Harbor, Wa | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Lake Oswego, OR1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 306 to 334Mar 18, 2025 to Mar 30, 2026
- HNW clients · 33 to 36Mar 18, 2025 to Mar 30, 2026
- Individual clients · 76 to 87Mar 18, 2025 to Mar 30, 2026
- Pension plan clients · 63 to 67Mar 18, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 1-10Mar 18, 2025 to Mar 30, 2026
- Discretionary RAUM · $77.2M to $103MMar 18, 2025 to Mar 30, 2026
- HNW RAUM · $59.0M to $77.0MMar 18, 2025 to Mar 30, 2026
- Individual RAUM · $18.2M to $25.9MMar 18, 2025 to Mar 30, 2026
- RAUM · $77.2M to $103MMar 18, 2025 to Mar 30, 2026
- Accounts · 284 to 306Mar 27, 2024 to Mar 18, 2025
- HNW clients · 35 to 33Mar 27, 2024 to Mar 18, 2025
- Individual clients · 74 to 76Mar 27, 2024 to Mar 18, 2025
- Pension plan clients · 62 to 63Mar 27, 2024 to Mar 18, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 18, 2025
- HQ city · unset to Mar 27, 2024 to Mar 18, 2025
- HQ state · unset to Mar 27, 2024 to Mar 18, 2025
- Discretionary RAUM · $68.4M to $77.2MMar 27, 2024 to Mar 18, 2025
- HNW RAUM · $53.6M to $59.0MMar 27, 2024 to Mar 18, 2025
- Individual RAUM · $14.7M to $18.2MMar 27, 2024 to Mar 18, 2025
- RAUM · $68.4M to $77.2MMar 27, 2024 to Mar 18, 2025
- Accounts · 275 to 284Oct 5, 2023 to Mar 13, 2024
- HNW clients · 33 to 35Oct 5, 2023 to Mar 13, 2024
- Pension plan clients · 53 to 62Oct 5, 2023 to Mar 13, 2024
- Discretionary RAUM · $56.2M to $68.4MOct 5, 2023 to Mar 13, 2024
- HNW RAUM · $44.6M to $53.6MOct 5, 2023 to Mar 13, 2024
- Individual RAUM · $11.5M to $14.7MOct 5, 2023 to Mar 13, 2024
- RAUM · $56.2M to $68.4MOct 5, 2023 to Mar 13, 2024
- Accounts · 328 to 275Mar 1, 2023 to Sep 7, 2023
- Non-discretionary RAUM · $241M to $0Mar 1, 2023 to Sep 7, 2023
- Pension RAUM · 241067320.0 to unsetMar 1, 2023 to Sep 7, 2023
- RAUM · $297M to $56.2MMar 1, 2023 to Sep 7, 2023
- Accounts · 268 to 328Mar 3, 2022 to Mar 1, 2023
- HNW clients · 28 to 33Mar 3, 2022 to Mar 1, 2023
- Individual clients · 57 to 74Mar 3, 2022 to Mar 1, 2023
- Pension plan clients · 42 to 53Mar 3, 2022 to Mar 1, 2023
- Discretionary RAUM · $54.3M to $56.2MMar 3, 2022 to Mar 1, 2023
- HNW RAUM · $41.4M to $44.6MMar 3, 2022 to Mar 1, 2023
- Individual RAUM · $12.9M to $11.5MMar 3, 2022 to Mar 1, 2023
- Non-discretionary RAUM · $257M to $241MMar 3, 2022 to Mar 1, 2023
- Pension RAUM · $257M to $241MMar 3, 2022 to Mar 1, 2023
Signals
2 dated events
- O••••••••• W••••• M••••••••• L•• reported RAUM $56.2M, down 81% from $297.2M (2023-03-01 to 2023-09-07)Sep 7, 2023 · RAUM change · derived
- O••••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 30, 2021 · 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
- info@opportunuswealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 253-254-5078reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 503-410-7485reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 801-930-0184reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- opportunuswealth.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 253-254-5078reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- opportunuswealth.com/contact-8reportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- opportunuswealth.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- $34.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026