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
N•••••• W••••• M••••••••• I•••
Latest filing Mar 25, 2026
First filing on the tape Mar 30, 2021 · 10 filings
SEC status approved since Apr 30, 2021
RAUM
$200M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$200M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$100M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$200M as of Mar 25, 2026
Mar 28, 2022$120M then
HNW client RAUM$112M as of Mar 25, 2026
Mar 28, 2022$53.8M then
State-registered IARs (5.B.3)2 as of Mar 25, 2026
Mar 28, 20222 then
Employees (5.A)3 as of Mar 25, 2026
Mar 28, 20224 then
Private funds: no history
RAUM +24% over the last fiscal year+23% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 25, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $100MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 264derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $747,131derivedHNW RAUM over HNW clients
- Average account
- $231,779derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.9%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $138M, 339 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$112M56%
- Individuals$88.0M44%
- Individual clients
- 378reported
- HNW clients
- 150reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 863reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $138M for 339 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=3.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• M•••••• N••••••Certified Financial Planner | Gladstone, Or | Jan 5, 2022 | 27 y | 1 |
| S••••• J•••••• S•••••Certified Financial Planner | Gladstone, Or | Jan 21, 2026 | 11 y | 1 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••••• D••••• M•••••• · President And Chief Compliance Officercontrolsince 06/2006 · 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 |
|---|---|---|---|---|---|
| Gladstone, Or · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 781 to 863Mar 4, 2025 to Mar 25, 2026
- HNW clients · 135 to 150Mar 4, 2025 to Mar 25, 2026
- Individual clients · 359 to 378Mar 4, 2025 to Mar 25, 2026
- Assets in custody · $115M to $138MMar 4, 2025 to Mar 25, 2026
- Employees · 4 to 3Mar 4, 2025 to Mar 25, 2026
- Financial planning clients · 0 to 51-100Mar 4, 2025 to Mar 25, 2026
- Discretionary RAUM · $162M to $200MMar 4, 2025 to Mar 25, 2026
- HNW RAUM · $85.8M to $112MMar 4, 2025 to Mar 25, 2026
- Individual RAUM · $76.2M to $88.0MMar 4, 2025 to Mar 25, 2026
- RAUM · $162M to $200MMar 4, 2025 to Mar 25, 2026
- Accounts · 701 to 781Feb 23, 2024 to Mar 4, 2025
- HNW clients · 115 to 135Feb 23, 2024 to Mar 4, 2025
- Individual clients · 340 to 359Feb 23, 2024 to Mar 4, 2025
- Assets in custody · $96.4M to $115MFeb 23, 2024 to Mar 4, 2025
- Financial planning clients · 0 to 0Feb 23, 2024 to Mar 4, 2025
- Discretionary RAUM · $135M to $162MFeb 23, 2024 to Mar 4, 2025
- HNW RAUM · $67.0M to $85.8MFeb 23, 2024 to Mar 4, 2025
- Individual RAUM · $68.3M to $76.2MFeb 23, 2024 to Mar 4, 2025
- RAUM · $135M to $162MFeb 23, 2024 to Mar 4, 2025
- Accounts · 636 to 701Aug 31, 2023 to Feb 23, 2024
- HNW clients · 96 to 115Aug 31, 2023 to Feb 23, 2024
- Individual clients · 322 to 340Aug 31, 2023 to Feb 23, 2024
- Assets in custody · $48.2M to $96.4MAug 31, 2023 to Feb 23, 2024
- Discretionary RAUM · $106M to $135MAug 31, 2023 to Feb 23, 2024
- HNW RAUM · $47.8M to $67.0MAug 31, 2023 to Feb 23, 2024
- Individual RAUM · $58.4M to $68.3MAug 31, 2023 to Feb 23, 2024
- RAUM · $106M to $135MAug 31, 2023 to Feb 23, 2024
- Assets in custody · $164 to $48.2MMay 17, 2023 to Aug 31, 2023
- Assets in custody · unset to 164.0Mar 29, 2023 to May 17, 2023
- Custody of client assets · false to trueMar 29, 2023 to May 17, 2023
- Accounts · 575 to 636Mar 28, 2022 to Mar 29, 2023
- HNW clients · 82 to 96Mar 28, 2022 to Mar 29, 2023
- Individual clients · 309 to 322Mar 28, 2022 to Mar 29, 2023
- Discretionary RAUM · $120M to $106MMar 28, 2022 to Mar 29, 2023
- HNW RAUM · $53.8M to $47.8MMar 28, 2022 to Mar 29, 2023
- Individual RAUM · $66.2M to $58.4MMar 28, 2022 to Mar 29, 2023
- RAUM · $120M to $106MMar 28, 2022 to Mar 29, 2023
- Accounts · 576 to 575Jan 5, 2022 to Mar 28, 2022
- HNW clients · 23 to 82Jan 5, 2022 to Mar 28, 2022
- Individual clients · 270 to 309Jan 5, 2022 to Mar 28, 2022
Signals
1 dated events
- N•••••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Mar 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 phone
- 503-654-1469reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 503-657-3143reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- n•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 503-657-3143reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- n•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- n•••••••••.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
- $100Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026