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
D•••••• W••••• M••••••••• L••
Latest filing Jun 29, 2026
First filing on the tape Nov 26, 2019 · 17 filings
SEC status approved since Jan 3, 2020
RAUM
$254M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
85%
$216M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$84.7M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$254M as of Jun 29, 2026
Mar 18, 2021$148M then
HNW client RAUM$182M as of Jun 29, 2026
Mar 18, 2021$110M then
State-registered IARs (5.B.3)0 as of Jun 29, 2026
Mar 18, 20212 then
Employees (5.A)4 as of Jun 29, 2026
Mar 18, 20213 then
Private funds: no history
RAUM +15% over the last fiscal year+16% a year over threeIARs 3 to 0
Practice profile
derived from the filing of Jun 29, 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
- $84.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $455,948derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -70%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$182M72%
- Corporations and businesses$36.9M15%
- Individuals$33.6M13%
- Pension and profit-sharing plans$1.4M0.5%
- Individual clients
- 93reported
- HNW clients
- 44reported
- Pension plan clients
- 4reported
- Charitable clients
- 0reported
- Accounts
- 557reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| C••••••••• A• H•••••••Certified Financial Planner | Beaverton, Or | Feb 12, 2020 | 16 y | 4 |
| J••••• E••••• O••••• | Beaverton, Or | Nov 2, 2020 | 42 y | 4 |
| A••• A•••• D••••••••Certified Financial Planner | Beaverton, Or | Oct 1, 2021 | 13 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
- A••• A•••• D•••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Oct 1, 2021 · Affiliated broker-dealer or bank to independent RIA
- J••••• E••••• O••••• from T••• P•••••• W••••• A•••••••• L••Nov 2, 2020 · RIA to RIA
- C••••••••• A• H••••••• 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
- 2 joined from T••• P•••••• W••••• A•••••••• L••Apr 1, 2020 · Portland, Or
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••••••• M•••••••• L•• · Chief Compliance Officercontrolsince 09/2023 · owns less than 5%
- H•••••••• C••••••••• A• · Managing Partnercontrolsince 04/2020 · owns 10% to 25%
- O•••••• J•••••• E••••• · Managing Partnercontrolsince 04/2020 · 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 |
|---|---|---|---|---|---|
| Beaverton, Or · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 13, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $220,199,080 to $253,963,186, advisors 3 to 0, private clients 457 to 137, offices 0 to 0 (2025-03-14 to 2026-03-13)peers: independent wealth managers, $100M to $500M (5,676)
- client count collapseChange between filings · filing Mar 13, 2026individual and HNW clients (Item 5.D) moved from 457.0 to 137.0 (-70.0%) between the annual amendments of 2025-03-14 and 2026-03-13; the peer median change was +3.0% (3309 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 0.4% percentile
What changed
consecutive filings, newest first
- Accounts · 506 to 557Mar 14, 2025 to Mar 13, 2026
- Charity clients · 16 to 0Mar 14, 2025 to Mar 13, 2026
- Corporate clients · 33 to 13Mar 14, 2025 to Mar 13, 2026
- HNW clients · 278 to 44Mar 14, 2025 to Mar 13, 2026
- Individual clients · 179 to 93Mar 14, 2025 to Mar 13, 2026
- Pension plan clients · 0 to 4Mar 14, 2025 to Mar 13, 2026
- State-registered IARs · 3 to 0Mar 14, 2025 to Mar 13, 2026
- Discretionary RAUM · $220M to $253MMar 14, 2025 to Mar 13, 2026
- HNW RAUM · $167M to $182MMar 14, 2025 to Mar 13, 2026
- Individual RAUM · $19.6M to $33.6MMar 14, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $0 to $1.4MMar 14, 2025 to Mar 13, 2026
- Pension RAUM · $0 to $1.4MMar 14, 2025 to Mar 13, 2026
- RAUM · $220M to $254MMar 14, 2025 to Mar 13, 2026
- Accounts · 501 to 506Mar 13, 2024 to Mar 14, 2025
- Charity clients · 14 to 16Mar 13, 2024 to Mar 14, 2025
- Corporate clients · 30 to 33Mar 13, 2024 to Mar 14, 2025
- HNW clients · 290 to 278Mar 13, 2024 to Mar 14, 2025
- Individual clients · 167 to 179Mar 13, 2024 to Mar 14, 2025
- Financial planning clients · 26-50 to 51-100Mar 13, 2024 to Mar 14, 2025
- Discretionary RAUM · $197M to $220MMar 13, 2024 to Mar 14, 2025
- HNW RAUM · $153M to $167MMar 13, 2024 to Mar 14, 2025
- Individual RAUM · $16.8M to $19.6MMar 13, 2024 to Mar 14, 2025
- RAUM · $197M to $220MMar 13, 2024 to Mar 14, 2025
- Accounts · 436 to 501Sep 11, 2023 to Mar 13, 2024
- Charity clients · 15 to 14Sep 11, 2023 to Mar 13, 2024
- Corporate clients · 19 to 30Sep 11, 2023 to Mar 13, 2024
- HNW clients · 253 to 290Sep 11, 2023 to Mar 13, 2024
- Individual clients · 149 to 167Sep 11, 2023 to Mar 13, 2024
- Discretionary RAUM · $163M to $197MSep 11, 2023 to Mar 13, 2024
- HNW RAUM · $123M to $153MSep 11, 2023 to Mar 13, 2024
- Individual RAUM · $13.7M to $16.8MSep 11, 2023 to Mar 13, 2024
- RAUM · $163M to $197MSep 11, 2023 to Mar 13, 2024
- Accounts · 385 to 436Oct 14, 2022 to Mar 9, 2023
- BD registered reps · 1 to 0Oct 14, 2022 to Mar 9, 2023
- Charity clients · 13 to 15Oct 14, 2022 to Mar 9, 2023
- Corporate clients · 9 to 19Oct 14, 2022 to Mar 9, 2023
- HNW clients · 242 to 253Oct 14, 2022 to Mar 9, 2023
- Individual clients · 118 to 149Oct 14, 2022 to Mar 9, 2023
- Pension plan clients · unset to 0.0Oct 14, 2022 to Mar 9, 2023
- Discretionary RAUM · $173M to $163MOct 14, 2022 to Mar 9, 2023
Signals
3 dated events
- Lea Michelle Eldridge (Chief Compliance Officer) appeared on Schedule A of D•••••• W••••• M••••••••• L••Sep 11, 2023 · Control person joined · fact
- Leigh Stacy Sizemore (Chief Compliance Officer) no longer on Schedule A of D•••••• W••••• M••••••••• L•• (listed 2023-03-29, absent 2023-09-11)Sep 11, 2023 · Control person left · inference
- D•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 26, 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
- 503-444-7100reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- definedwm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 503-444-7895reportedpublic record, Form ADV, Jun 29, 2026
- Contact form
- definedwm.com/contactreportedpublished 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
- $84.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026