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
N•• C•••••• A•••••••
Legal name B•• W••••• M••••••••• L••
Latest filing Aug 27, 2026
First filing on the tape Nov 15, 2019 · 30 filings
SEC status approved since Dec 13, 2019
RAUM
$847M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
85%
$724M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$169M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$847M as of Aug 27, 2026
Mar 2, 2020$0 then
HNW client RAUM$590M as of Aug 27, 2026
Mar 16, 2021$302M then
State-registered IARs (5.B.3)4 as of Aug 27, 2026
Mar 2, 20202 then
Employees (5.A)5 as of Aug 27, 2026
Mar 2, 20203 then
Private funds: no history
RAUM +19% over the last fiscal year+20% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Aug 27, 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
- $169MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 437derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $655,915derivedHNW RAUM over HNW clients
- Average account
- $373,017derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 5.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $194M, 343 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$590M70%
- Individuals$134M16%
- Corporations and businesses$74.3M8.8%
- Pension and profit-sharing plans$48.1M5.7%
- Charitable organizations$1.1M0.1%
- Individual clients
- 1,283reported
- HNW clients
- 900reported
- Pension plan clients
- 14reported
- Charitable clients
- 18reported
- Accounts
- 2,272reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $194M for 343 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• N•••••• C••••• | Beaverton, Or | Feb 12, 2020 | 18 y | 1 |
| J•••• A•••••••• B•••• | Beaverton, Or | Feb 12, 2020 | 29 y | 2 |
| D•••• K•••••• N••••• | Beaverton, Or | Feb 12, 2020 | 28 y | 2 |
| J••• H•••• | Beaverton, Or | Oct 1, 2025 | 13 y | 0 |
| Z••• T•••••• B•••• | Beaverton, Or | Jul 14, 2026 | 10 y | 0 |
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
- J•••• A•••••••• B•••• from T••• P•••••• W••••• A•••••••• L••Feb 12, 2020 · RIA to a newly registered adviser
- D•••• K•••••• N••••• from T••• P•••••• W••••• A•••••••• L••Feb 12, 2020 · RIA to a newly registered adviser
- A••••• N•••••• C••••• from T••• P•••••• W••••• A•••••••• L••Feb 12, 2020 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from T••• P•••••• W••••• A•••••••• L••Apr 1, 2020 · Salem, Or
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J••••• A•••••••• · Partnercontrolsince 04/2020 · owns 50% to 75%
- E•••••••• M•••••••• L•• · Chief Compliance Officercontrolsince 09/2023 · owns less than 5%
- N•••••• D••••• K•••••• · Partnercontrolsince 04/2020 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Beaverton, Or · principal | 5 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Sisters, OR2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Aug 27, 2026private clients per advisor of 436.6 against a peer median of 63.6 (1210 comparable advisers, 99.0th percentile, 10.1 robust deviations)peers: independent wealth managers, $500M to $1B (1,210) · 99% percentile
What changed
consecutive filings, newest first
- Related adviser · false to trueMar 25, 2026 to Aug 27, 2026
- Accounts · 2,138 to 2,272Sep 24, 2025 to Mar 25, 2026
- Advisory activities · 4 to 3Sep 24, 2025 to Mar 25, 2026
- Corporate clients · 55 to 57Sep 24, 2025 to Mar 25, 2026
- HNW clients · 855 to 900Sep 24, 2025 to Mar 25, 2026
- Individual clients · 1,195 to 1,283Sep 24, 2025 to Mar 25, 2026
- Pension plan clients · 15 to 14Sep 24, 2025 to Mar 25, 2026
- Assets in custody · unset to 194431479.0Sep 24, 2025 to Mar 25, 2026
- Custody of client assets · false to trueSep 24, 2025 to Mar 25, 2026
- Discretionary RAUM · $662M to $795MSep 24, 2025 to Mar 25, 2026
- HNW RAUM · $502M to $590MSep 24, 2025 to Mar 25, 2026
- Individual RAUM · $111M to $134MSep 24, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $48.3M to $52.4MSep 24, 2025 to Mar 25, 2026
- Pension RAUM · $44.1M to $48.1MSep 24, 2025 to Mar 25, 2026
- RAUM · $711M to $847MSep 24, 2025 to Mar 25, 2026
- Accounts · 1,995 to 2,138Mar 8, 2024 to Mar 10, 2025
- Charity clients · 14 to 18Mar 8, 2024 to Mar 10, 2025
- Corporate clients · 43 to 55Mar 8, 2024 to Mar 10, 2025
- HNW clients · 743 to 855Mar 8, 2024 to Mar 10, 2025
- Individual clients · 1,176 to 1,195Mar 8, 2024 to Mar 10, 2025
- Pension plan clients · 19 to 15Mar 8, 2024 to Mar 10, 2025
- Financial planning clients · 51-100 to 51-100Mar 8, 2024 to Mar 10, 2025
- Discretionary RAUM · $501M to $662MMar 8, 2024 to Mar 10, 2025
- HNW RAUM · $376M to $502MMar 8, 2024 to Mar 10, 2025
- Individual RAUM · $93.4M to $111MMar 8, 2024 to Mar 10, 2025
- Non-discretionary RAUM · $63.1M to $48.3MMar 8, 2024 to Mar 10, 2025
- Pension RAUM · $63.4M to $44.1MMar 8, 2024 to Mar 10, 2025
- RAUM · $564M to $711MMar 8, 2024 to Mar 10, 2025
- Accounts · 1,960 to 1,995Nov 1, 2023 to Mar 8, 2024
- BD registered reps · 1 to 0Nov 1, 2023 to Mar 8, 2024
- Charity clients · 12 to 14Nov 1, 2023 to Mar 8, 2024
- Corporate clients · 49 to 43Nov 1, 2023 to Mar 8, 2024
- HNW clients · 768 to 743Nov 1, 2023 to Mar 8, 2024
- Individual clients · 1,117 to 1,176Nov 1, 2023 to Mar 8, 2024
- Pension plan clients · 17 to 19Nov 1, 2023 to Mar 8, 2024
- Other offices · 2 to 1Nov 1, 2023 to Mar 8, 2024
- Discretionary RAUM · $446M to $501MNov 1, 2023 to Mar 8, 2024
- HNW RAUM · $335M to $376MNov 1, 2023 to Mar 8, 2024
- Individual RAUM · $67.0M to $93.4MNov 1, 2023 to Mar 8, 2024
- Non-discretionary RAUM · $48.7M to $63.1MNov 1, 2023 to Mar 8, 2024
Signals
5 dated events
- N•• C•••••• A••••••• reported RAUM $710.5M, up 26% from $563.7M (2024-03-08 to 2025-03-10)Mar 10, 2025 · RAUM change · derived
- Lea Michelle Eldridge (Chief Compliance Officer) appeared on Schedule A of N•• C•••••• A•••••••Sep 11, 2023 · Control person joined · fact
- Leigh Stacy Sizemore (Chief Compliance Officer) no longer on Schedule A of N•• C•••••• A••••••• (listed 2023-03-29, absent 2023-09-11)Sep 11, 2023 · Control person left · inference
- N•• C•••••• A••••••• reported RAUM $502.2M, up 28% from $393.6M (2021-10-01 to 2021-10-26)Oct 26, 2021 · RAUM change · derived
- N•• C•••••• A••••••• filed its initial SEC registration (Form ADV)Nov 15, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 503-683-7726reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- n•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 503-683-7727reportedpublic record, Form ADV, Aug 27, 2026
- Contact form
- 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
- $169Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026