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
M•• W••••• M••••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Nov 22, 2019 · 16 filings
SEC status approved since Jan 3, 2020
RAUM
$228M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$212M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$57.1M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$228M as of Mar 18, 2026
Mar 30, 2021$141M then
HNW client RAUM$122M as of Mar 18, 2026
Mar 30, 2021$61.7M then
State-registered IARs (5.B.3)4 as of Mar 18, 2026
Mar 30, 20215 then
Employees (5.A)6 as of Mar 18, 2026
Mar 30, 20217 then
Private funds: no history
RAUM +18% over the last fiscal year+16% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 18, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $57.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 104derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $261,991derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $170MreportedItem 5.I
- Custody
- $101M, 542 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$122M54%
- Individuals$89.7M39%
- Charitable organizations$15.3M6.7%
- Corporations and businesses$947,2740.4%
- Individual clients
- 354reported
- HNW clients
- 60reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 872reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $101M for 542 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••••• J••• S••••••• | Klamath Falls, Or | Mar 25, 2020 | 42 y | 2 |
| G••••• P•••••• D•••••• | Klamath Falls, Or | Dec 21, 2022 | 33 y | 2 |
| Q•••• J•••••• | Klamath Falls, Or | Jan 1, 2026 | 21 y | 2 |
| A••••• B••••• A••••••••• | Klamath Falls, Or | Jan 6, 2026 | 19 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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
- A••••• B••••• A••••••••• from A•••••• A••••••• S•••••••Jan 6, 2026 · Affiliated broker-dealer or bank to independent RIA
- Q•••• J•••••• from A•••••• A••••••• S•••••••Jan 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- G••••• P•••••• D•••••• from A•••••• A••••••• S•••••••Dec 21, 2022 · Affiliated broker-dealer or bank to independent RIA
- T••••••• J••• S••••••• from A•••••• A••••••• S•••••••Mar 25, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from A•••••• A••••••• S•••••••Apr 1, 2020 · Irving, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• A•••••• B••••• · Chief Compliance Officercontrolsince 02/2020 · owns less than 5%
- D••••••• G•••••• P•••••• · Partnercontrolsince 01/2003 · owns 25% to 50%
- S•••••••• T•••••••• J••• · Managing Partnercontrolsince 01/2003 · owns 50% to 75%
Related persons
Schedule D 7.A
- M•••••••• S•••••••• P••••••• • C•• L••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Klamath Falls, Or · principal | 4 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Eagle Point, OR2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 18, 2026custody of client assets (Item 9.A): no on the filing of 2026-01-06, yes on the filing of 2026-03-18peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 795 to 872Jan 6, 2026 to Mar 18, 2026
- HNW clients · 55 to 60Jan 6, 2026 to Mar 18, 2026
- Individual clients · 345 to 354Jan 6, 2026 to Mar 18, 2026
- Assets in custody · unset to 100797153.0Jan 6, 2026 to Mar 18, 2026
- Custody of client assets · false to trueJan 6, 2026 to Mar 18, 2026
- Discretionary RAUM · $188M to $228MJan 6, 2026 to Mar 18, 2026
- HNW RAUM · $102M to $122MJan 6, 2026 to Mar 18, 2026
- Individual RAUM · $79.0M to $89.7MJan 6, 2026 to Mar 18, 2026
- Non-discretionary RAUM · $5.1M to $428,295Jan 6, 2026 to Mar 18, 2026
- RAUM · $193M to $228MJan 6, 2026 to Mar 18, 2026
- Accounts · 860 to 795Jan 9, 2025 to Mar 14, 2025
- Advisory employees · 7 to 6Jan 9, 2025 to Mar 14, 2025
- HNW clients · 53 to 55Jan 9, 2025 to Mar 14, 2025
- Individual clients · 311 to 345Jan 9, 2025 to Mar 14, 2025
- Employees · 7 to 6Jan 9, 2025 to Mar 14, 2025
- Financial planning clients · 0 to 0Jan 9, 2025 to Mar 14, 2025
- State-registered IARs · 5 to 4Jan 9, 2025 to Mar 14, 2025
- Discretionary RAUM · $165M to $188MJan 9, 2025 to Mar 14, 2025
- HNW RAUM · $97.3M to $102MJan 9, 2025 to Mar 14, 2025
- Individual RAUM · $61.1M to $79.0MJan 9, 2025 to Mar 14, 2025
- Non-discretionary RAUM · $4.8M to $5.1MJan 9, 2025 to Mar 14, 2025
- RAUM · $170M to $193MJan 9, 2025 to Mar 14, 2025
- Accounts · 803 to 860Mar 15, 2023 to Mar 26, 2024
- Advisory employees · 5 to 7Mar 15, 2023 to Mar 26, 2024
- Charity clients · 2.0 to unsetMar 15, 2023 to Mar 26, 2024
- Corporate clients · 1.0 to unsetMar 15, 2023 to Mar 26, 2024
- HNW clients · 39 to 53Mar 15, 2023 to Mar 26, 2024
- Individual clients · 292 to 311Mar 15, 2023 to Mar 26, 2024
- Pension plan clients · 0.0 to unsetMar 15, 2023 to Mar 26, 2024
- Pooled vehicle clients · 0.0 to unsetMar 15, 2023 to Mar 26, 2024
- Discretionary RAUM · $144M to $165MMar 15, 2023 to Mar 26, 2024
- HNW RAUM · $70.7M to $97.3MMar 15, 2023 to Mar 26, 2024
- Individual RAUM · $66.6M to $61.1MMar 15, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $3.6M to $4.8MMar 15, 2023 to Mar 26, 2024
- Pension RAUM · 0.0 to unsetMar 15, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · 0.0 to unsetMar 15, 2023 to Mar 26, 2024
- RAUM · $147M to $170MMar 15, 2023 to Mar 26, 2024
- Accounts · 387 to 803May 11, 2022 to Mar 15, 2023
- Charity clients · unset to 2.0May 11, 2022 to Mar 15, 2023
- Corporate clients · 0 to 1May 11, 2022 to Mar 15, 2023
Signals
7 dated events
- Eldon Andrew Peterson (Partner) no longer on Schedule A of M•• W••••• M••••••••• L•• (listed 2021-09-08, absent 2022-03-17)Mar 17, 2022 · Control person left · inference
- T••••• J••• C••• (Member And Chief Compliance Officer) no longer on Schedule A of M•• W••••• M••••••••• L•• (listed 2019-11-22, absent 2020-03-11)Mar 11, 2020 · Control person left · inference
- J••• Terrence Scroggin (Managing Partner) appeared on Schedule A of M•• W••••• M••••••••• L••Mar 11, 2020 · Control person joined · fact
- Eldon Andrew Peterson (Partner) appeared on Schedule A of M•• W••••• M••••••••• L••Mar 11, 2020 · Control person joined · fact
- Patrick Gerrin Degroot (Partner) appeared on Schedule A of M•• W••••• M••••••••• L••Mar 11, 2020 · Control person joined · fact
- Brooke Autumn Armbruster (Chief Compliance Officer) appeared on Schedule A of M•• W••••• M••••••••• L••Mar 11, 2020 · Control person joined · fact
- D••••• A••••••• L•• filed its initial SEC registration (Form ADV)Nov 22, 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
- 541-884-4164reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- m••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 541-884-4164reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- m••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $57.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026