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.
SEC-registered adviser
S•••••• I••••••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jan 14, 2026 · 2 filings
SEC status approved since Jan 15, 2026
RAUM
$113M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$112M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$37.5M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$113M as of Mar 31, 2026
Jan 14, 2026$112M then
HNW client RAUM$85.3M as of Mar 31, 2026
Jan 14, 2026$84.7M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Jan 14, 20263 then
Employees (5.A)5 as of Mar 31, 2026
Jan 14, 20265 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 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
- RAUM per advisor
- $37.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $242,492derivedRAUM 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
- 1.0derived3 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 assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $14.2M, 38 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$85.3M76%
- Individuals$27.2M24%
- Corporations and businesses$26,1000.0%
- Individual clients
- 111reported
- HNW clients
- 60reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 464reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $14.2M for 38 clientsreported
- Compensation
- % of AUM, hourlyreported
- 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 |
|---|---|---|---|---|
| E•••••••• M•••• M••••••Certified Financial Planner, Chartered Financial Consultant | Portland, Or | Sep 18, 2019 | 11 y | 1 |
| E••• G•••• I••••Certified Financial Planner | Portland, Or | Jul 14, 2025 | 13 y | 2 |
| M•••••• J•••• M••••••Certified Financial Planner | Mint Hill, Nc | Sep 24, 2025 | 10 y | 4 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- M•••••• J•••• M•••••• from L•• F•••••••• L••Sep 24, 2025 · Affiliated broker-dealer or bank to independent RIA
- E••• G•••• I•••• from P••••••••• P•••• A•••••••Jul 14, 2025 · RIA to RIA
- E•••••••• M•••• M•••••• from S•• I••••••••• A•••••••• I•••Sep 18, 2019 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Portland, Or · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 460 to 464Jan 14, 2026 to Mar 31, 2026
- Corporate clients · 0 to 1Jan 14, 2026 to Mar 31, 2026
- HNW clients · 61 to 60Jan 14, 2026 to Mar 31, 2026
- Individual clients · 110 to 111Jan 14, 2026 to Mar 31, 2026
- Discretionary RAUM · $112M to $113MJan 14, 2026 to Mar 31, 2026
- HNW RAUM · $84.7M to $85.3MJan 14, 2026 to Mar 31, 2026
- Individual RAUM · $26.8M to $27.2MJan 14, 2026 to Mar 31, 2026
- RAUM · $112M to $113MJan 14, 2026 to Mar 31, 2026
Signals
No event on the tape.
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
- r••••••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 424-772-1682reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 503-433-7946reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (503) 433-7946reportedpublic record, Form ADV, Mar 31, 2026
- Team page
- s•••••••••.comreportedpublished 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
- $37.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026