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.
SEC-registered adviser
Icon Financial Services LLC
Latest filing Mar 13, 2026
First filing on the tape Dec 20, 2019 · 27 filings
SEC status approved since Jan 23, 2020
RAUM
$19.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$19.7M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$6.6M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$19.7M as of Mar 13, 2026
Feb 17, 2021$7,707 then
HNW client RAUM$168,245 as of Mar 13, 2026
Feb 17, 2021$906 then
State-registered IARs (5.B.3)3 as of Mar 13, 2026
Feb 17, 20211 then
Employees (5.A)3 as of Mar 13, 2026
Feb 17, 20211 then
Private funds: no history
RAUM +192% over the last fiscal year+166% a year over threeIARs 1 to 3
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Bank affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $6.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 1,393derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $24,035derivedHNW RAUM over HNW clients
- Average account
- $4,726derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +192%derivedbetween the last two annual amendments
- Advisor growth, one year
- +200%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +64%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $19.7MreportedItem 5.I
- Custody
- $19.7M, 4,178 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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
- Individuals$19.6M99%
- High-net-worth individuals$168,2450.9%
- Individual clients
- 4,171reported
- HNW clients
- 7reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4,178reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $19.7M for 4,178 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| Alexander Kent Rowley | Portland, Or | Feb 18, 2020 | 12 y | 1 |
| John Cortlandt Sweeney | Denver, Co | Jul 11, 2025 | 11 y | 0 |
| Zachary George Fowler | Portland, Or | Jan 23, 2026 | 11 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 headcount1 left over 36 months
Left, latest
- Lindsay Diana Hessel to Coldstream Wealth ManagementSep 11, 2024 · RIA to RIA
Joined, latest
- Alexander Kent Rowley from Fisher InvestmentsFeb 18, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Kent Alexander Rowley · Co-Founder & Chief Compliance Officercontrolsince 11/2019 · owns less than 5%
- Laurie Rowley · Co-Founder, Ceocontrolsince 11/2018 · owns 50% to 75% of The Icon Savings Plan Corporation
Entity owners
- The Icon Savings Plan Corporation · 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 |
|---|---|---|---|---|---|
| Portland, Or · principal | 3 | 1 | 0 | ||
| Denver, Co | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Mar 13, 2026private clients per advisor of 1,392.7 against a peer median of 31.5 (99 comparable advisers, 100.0th percentile, 56.5 robust deviations)peers: independent wealth managers, under $100M (99) · 100% percentile
- account count surgeChange between filings · filing Mar 13, 2026accounts (Item 5.F.2.f) moved from 2,552.0 to 4,178.0 (+64.0%) between the annual amendments of 2025-03-17 and 2026-03-13; the peer median change was +2.0% (136 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, under $100M (136) · 93% percentile
- client count surgeChange between filings · filing Mar 13, 2026individual and HNW clients (Item 5.D) moved from 2,552.0 to 4,178.0 (+64.0%) between the annual amendments of 2025-03-17 and 2026-03-13; the peer median change was 0.0% (120 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, under $100M (120) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 2,552 to 4,178Jan 23, 2026 to Mar 13, 2026
- HNW clients · 0 to 7Jan 23, 2026 to Mar 13, 2026
- Individual clients · 2,552 to 4,171Jan 23, 2026 to Mar 13, 2026
- Assets in custody · $6.8M to $19.7MJan 23, 2026 to Mar 13, 2026
- Discretionary RAUM · $6.8M to $19.7MJan 23, 2026 to Mar 13, 2026
- HNW RAUM · $0 to $168,245Jan 23, 2026 to Mar 13, 2026
- Individual RAUM · $6.8M to $19.6MJan 23, 2026 to Mar 13, 2026
- RAUM · $6.8M to $19.7MJan 23, 2026 to Mar 13, 2026
- Advisory employees · 1 to 3May 12, 2025 to Jan 23, 2026
- Employees · 1 to 3May 12, 2025 to Jan 23, 2026
- State-registered IARs · 1 to 3May 12, 2025 to Jan 23, 2026
- Financial planning clients · unset to Mar 17, 2025 to May 12, 2025
- Accounts · 2,341 to 2,552Nov 1, 2024 to Mar 17, 2025
- Individual clients · 2,341 to 2,552Nov 1, 2024 to Mar 17, 2025
- Assets in custody · $6.3M to $6.8MNov 1, 2024 to Mar 17, 2025
- Discretionary RAUM · $6.3M to $6.8MNov 1, 2024 to Mar 17, 2025
- Individual RAUM · $6.3M to $6.8MNov 1, 2024 to Mar 17, 2025
- RAUM · $6.3M to $6.8MNov 1, 2024 to Mar 17, 2025
- Accounts · 1,622 to 2,341Nov 1, 2024 to Nov 1, 2024
- HNW clients · 1 to 0Nov 1, 2024 to Nov 1, 2024
- Individual clients · 1,651 to 2,341Nov 1, 2024 to Nov 1, 2024
- Assets in custody · $3.8M to $6.3MNov 1, 2024 to Nov 1, 2024
- Discretionary RAUM · $3.8M to $6.3MNov 1, 2024 to Nov 1, 2024
- HNW RAUM · $8,497 to $0Nov 1, 2024 to Nov 1, 2024
- Individual RAUM · $3.8M to $6.3MNov 1, 2024 to Nov 1, 2024
- RAUM · $3.8M to $6.3MNov 1, 2024 to Nov 1, 2024
- Advisory employees · 2 to 1Mar 16, 2024 to Sep 11, 2024
- Employees · 2 to 1Mar 16, 2024 to Sep 11, 2024
- State-registered IARs · 2 to 1Mar 16, 2024 to Sep 11, 2024
- Accounts · 850 to 1,622Apr 25, 2023 to Mar 16, 2024
- HNW clients · 0 to 1Apr 25, 2023 to Mar 16, 2024
- Individual clients · 850 to 1,651Apr 25, 2023 to Mar 16, 2024
- Assets in custody · $1.0M to $3.8MApr 25, 2023 to Mar 16, 2024
- Discretionary RAUM · $1.0M to $3.8MApr 25, 2023 to Mar 16, 2024
- HNW RAUM · $0 to $8,497Apr 25, 2023 to Mar 16, 2024
- Individual RAUM · $1.0M to $3.8MApr 25, 2023 to Mar 16, 2024
- RAUM · $1.0M to $3.8MApr 25, 2023 to Mar 16, 2024
- Advisory employees · 1 to 2Mar 14, 2023 to Apr 25, 2023
- Employees · 1 to 2Mar 14, 2023 to Apr 25, 2023
- State-registered IARs · 1 to 2Mar 14, 2023 to Apr 25, 2023
Signals
2 dated events
- Lindsay Diana Hessel left Icon Financial Services Llc for Coldstream Wealth Management (registered 2026-02-27)Sep 11, 2024 · Advisor changed firm · fact
- Icon Financial Services Llc filed its initial SEC registration (Form ADV)Dec 20, 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 email
- support@iconsavingsplan.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 720-634-6202reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 888-544-9451reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/icon-savings-planreportedpublic record, Form ADV, Sep 17, 2026
- Website
- iconsavingsplan.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 1 (503) 917-0590reportedpublic record, Form ADV, Mar 13, 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
- $6.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026