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•••••••• W••••• A•••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Sep 23, 2019 · 17 filings
SEC status approved since Oct 21, 2019
RAUM
$202M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$201M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$202M as of Mar 17, 2026
Feb 14, 2020$193M then
HNW client RAUM$95.2M as of Mar 17, 2026
Feb 14, 2020$77.6M then
State-registered IARs (5.B.3)2 as of Mar 17, 2026
Feb 14, 20204 then
Employees (5.A)5 as of Mar 17, 2026
Feb 14, 20206 then
Private funds: no history
RAUM +9.8% over the last fiscal year+4.2% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
- RAUM per advisor
- $101MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 174derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $245,166derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
- Individuals$106M52%
- High-net-worth individuals$95.2M47%
- Corporations and businesses$861,4470.4%
- Individual clients
- 306reported
- HNW clients
- 42reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 823reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months2 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- M•••••• B••• C•••••• to E• W••••• A•••••••Jul 21, 2026 · RIA to RIA
- C••••• M• C•••••• to E• W••••• A•••••••Jul 21, 2026 · RIA to RIA
- D•••••• J• D•••••••• to M••••• S••••••Sep 7, 2022 · RIA to wirehouse
Joined, latest
- D•••••• J• D•••••••• from S••••••••• A•••••• A•••••••• I•••Sep 22, 2021 · Affiliated broker-dealer or bank to independent RIA
- M•••••• B••• C•••••• from C••••••• W••••• A•••••••• L••Nov 28, 2019 · RIA to a newly registered adviser
- C••••• M• C•••••• from V•••••• C•••••• M••••••••• I•••Nov 4, 2019 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• M••••••• B••• · Managercontrolsince 07/2019 · owns less than 5%
- T•••••• D•••• L•••• · Chief Compliance Officercontrolsince 07/2019 · owns less than 5%
- C••••••• M••••••• B••• · Membercontrolsince 09/2012 · owns 75% or more of C•••••• W••••• A•••••••• P•••
Entity owners
- C•••••• W••••• A•••••••• P••• · Memberdirect · 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 |
|---|---|---|---|---|---|
| Salem, Or · principal | 0 | 0 | 1 | ||
| Buckeye, Az | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 872 to 823Oct 23, 2025 to Mar 17, 2026
- HNW clients · 60 to 42Oct 23, 2025 to Mar 17, 2026
- Individual clients · 332 to 306Oct 23, 2025 to Mar 17, 2026
- Discretionary RAUM · $184M to $202MOct 23, 2025 to Mar 17, 2026
- HNW RAUM · $82.7M to $95.2MOct 23, 2025 to Mar 17, 2026
- Individual RAUM · $100M to $106MOct 23, 2025 to Mar 17, 2026
- RAUM · $184M to $202MOct 23, 2025 to Mar 17, 2026
- Financial planning clients · 0 to 0Jun 30, 2025 to Oct 23, 2025
- Accounts · 885 to 872Sep 17, 2024 to Mar 19, 2025
- Individual clients · 445 to 332Sep 17, 2024 to Mar 19, 2025
- Discretionary RAUM · $175M to $184MSep 17, 2024 to Mar 19, 2025
- HNW RAUM · $66.9M to $82.7MSep 17, 2024 to Mar 19, 2025
- Individual RAUM · $103M to $100MSep 17, 2024 to Mar 19, 2025
- RAUM · $175M to $184MSep 17, 2024 to Mar 19, 2025
- Other offices · 1 to 2Mar 26, 2024 to Sep 17, 2024
- Accounts · 985 to 885Sep 16, 2023 to Mar 26, 2024
- HNW clients · 68 to 60Sep 16, 2023 to Mar 26, 2024
- Individual clients · 480 to 445Sep 16, 2023 to Mar 26, 2024
- Discretionary RAUM · $179M to $175MSep 16, 2023 to Mar 26, 2024
- HNW RAUM · $69.7M to $66.9MSep 16, 2023 to Mar 26, 2024
- Individual RAUM · $102M to $103MSep 16, 2023 to Mar 26, 2024
- RAUM · $179M to $175MSep 16, 2023 to Mar 26, 2024
- Advisory employees · 3 to 2Mar 16, 2023 to Sep 16, 2023
- Advisory activities · 4 to 3Mar 16, 2023 to Sep 16, 2023
- State-registered IARs · 3 to 2Mar 16, 2023 to Sep 16, 2023
- Wrap assets (manager) · 0.0 to unsetMar 16, 2023 to Sep 16, 2023
- Wrap assets (sponsor) · 0.0 to unsetMar 16, 2023 to Sep 16, 2023
- Accounts · 1,090 to 985Oct 10, 2022 to Mar 16, 2023
- Advisory employees · 4 to 3Oct 10, 2022 to Mar 16, 2023
- HNW clients · 88 to 68Oct 10, 2022 to Mar 16, 2023
- Individual clients · 546 to 480Oct 10, 2022 to Mar 16, 2023
- Employees · 6 to 5Oct 10, 2022 to Mar 16, 2023
- State-registered IARs · 5 to 3Oct 10, 2022 to Mar 16, 2023
- Other offices · 0 to 1Oct 10, 2022 to Mar 16, 2023
- Discretionary RAUM · $215M to $179MOct 10, 2022 to Mar 16, 2023
- HNW RAUM · $98.0M to $69.7MOct 10, 2022 to Mar 16, 2023
- Individual RAUM · $110M to $102MOct 10, 2022 to Mar 16, 2023
- Non-discretionary RAUM · $2.7M to $0Oct 10, 2022 to Mar 16, 2023
- RAUM · $218M to $179MOct 10, 2022 to Mar 16, 2023
- Accounts · 1,156 to 1,090Aug 20, 2021 to Mar 22, 2022
Signals
7 dated events
- C•••••••• W••••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2026-08-03, RAUM $201.8M)Sep 1, 2026 · Left the SEC roster · derived
- C••••• M• C•••••• left C•••••••• W••••• A•••••••• L•• for E• W••••• A••••••• (registered 2026-01-09)Jul 21, 2026 · Advisor changed firm · fact
- M•••••• B••• C•••••• left C•••••••• W••••• A•••••••• L•• for E• W••••• A••••••• (registered 2026-01-15)Jul 21, 2026 · Advisor changed firm · fact
- Ray Ronald Boucher (Manager) no longer on Schedule A of C•••••••• W••••• A•••••••• L•• (listed 2023-03-16, absent 2023-09-16)Sep 16, 2023 · Control person left · inference
- D•••••• J• D•••••••• left C•••••••• W••••• A•••••••• L•• for M••••• S•••••• (registered 2022-09-20)Sep 7, 2022 · Advisor changed firm · fact
- Benny Wing Won (Manager) no longer on Schedule A of C•••••••• W••••• A•••••••• L•• (listed 2021-08-20, absent 2022-03-22)Mar 22, 2022 · Control person left · inference
- C•••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Sep 23, 2019 · 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