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
S•••••• • N•••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jul 7, 2020 · 14 filings
SEC status approved since Aug 10, 2020
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$978M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$262M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$1.0B as of Mar 31, 2026
Jan 7, 2021$589M then
HNW client RAUM$840M as of Mar 31, 2026
Jan 7, 2021$402M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Jan 7, 20214 then
Employees (5.A)6 as of Mar 31, 2026
Jan 7, 20216 then
Private funds: no history
RAUM +17% over the last fiscal year+16% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 31, 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
- $262MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 114derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $696,260derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $299M, 191 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$840M80%
- Individuals$138M13%
- Pension and profit-sharing plans$69.1M6.6%
- Charitable organizations$1.7M0.2%
- Individual clients
- 266reported
- HNW clients
- 189reported
- Pension plan clients
- 20reported
- Charitable clients
- n/areported
- Accounts
- 1,506reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $299M for 191 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 |
|---|---|---|---|---|
| K•••• L•• S••••••Certified Financial Planner, Chartered Financial Analyst | Eugene, Or | Sep 1, 2020 | 13 y | 1 |
| F•••••• L•• S••••••Certified Financial Planner | Eugene, Or | Sep 1, 2020 | 41 y | 2 |
| T••• M•••••• N•••••Certified Financial Planner | Eugene, Or | Sep 30, 2020 | 23 y | 2 |
| S•••• E•••••••• B•••••Certified Financial Planner | Eugene, Or | Sep 30, 2020 | 19 y | 2 |
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
- T••• M•••••• N••••• from K•• F•••••••• S•••••••• I••Sep 30, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- S•••• E•••••••• B••••• from R•••• • Y• I••••••••• A•••••••• L••Sep 30, 2020 · Other
- F•••••• L•• S•••••• from K•• F•••••••• S•••••••• I••Sep 1, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- K•••• L•• S•••••• from K•• F•••••••• S•••••••• I••Sep 1, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from K•• F•••••••• S•••••••• I••Oct 30, 2020 · Eugene, Or
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••• T•••• M•••••• · Principalcontrolsince 12/2009 · owns 50% to 75%
- S••••••• F••••••• L•• · Principalcontrolsince 12/2009 · owns 25% to 50%
- S••••••• K••••• L•• · Principal And Chief Compliance Officercontrolsince 01/2019 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Eugene, Or · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,472 to 1,506Oct 9, 2025 to Mar 31, 2026
- HNW clients · 156 to 189Oct 9, 2025 to Mar 31, 2026
- Individual clients · 289 to 266Oct 9, 2025 to Mar 31, 2026
- Pension plan clients · 24 to 20Oct 9, 2025 to Mar 31, 2026
- Assets in custody · $5.8M to $299MOct 9, 2025 to Mar 31, 2026
- Discretionary RAUM · $896M to $1.0BOct 9, 2025 to Mar 31, 2026
- HNW RAUM · $671M to $840MOct 9, 2025 to Mar 31, 2026
- Individual RAUM · $159M to $138MOct 9, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $4.1M to $4.7MOct 9, 2025 to Mar 31, 2026
- Pension RAUM · $68.7M to $69.1MOct 9, 2025 to Mar 31, 2026
- RAUM · $900M to $1.0BOct 9, 2025 to Mar 31, 2026
- Accounts · 1,456 to 1,472Mar 21, 2024 to Mar 27, 2025
- Individual clients · 281 to 289Mar 21, 2024 to Mar 27, 2025
- Pension plan clients · 28 to 24Mar 21, 2024 to Mar 27, 2025
- Assets in custody · $4.9M to $5.8MMar 21, 2024 to Mar 27, 2025
- Financial planning clients · 1-10 to 1-10Mar 21, 2024 to Mar 27, 2025
- Discretionary RAUM · $794M to $896MMar 21, 2024 to Mar 27, 2025
- HNW RAUM · $589M to $671MMar 21, 2024 to Mar 27, 2025
- Individual RAUM · $134M to $159MMar 21, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $10.7M to $4.1MMar 21, 2024 to Mar 27, 2025
- Pension RAUM · $79.7M to $68.7MMar 21, 2024 to Mar 27, 2025
- RAUM · $805M to $900MMar 21, 2024 to Mar 27, 2025
- Accounts · 1,400 to 1,456Jan 5, 2024 to Mar 21, 2024
- HNW clients · 136 to 156Jan 5, 2024 to Mar 21, 2024
- Individual clients · 280 to 281Jan 5, 2024 to Mar 21, 2024
- Pension plan clients · 27 to 28Jan 5, 2024 to Mar 21, 2024
- Pooled vehicle clients · 0.0 to unsetJan 5, 2024 to Mar 21, 2024
- Assets in custody · $10.0M to $4.9MJan 5, 2024 to Mar 21, 2024
- Discretionary RAUM · $665M to $794MJan 5, 2024 to Mar 21, 2024
- HNW RAUM · $460M to $589MJan 5, 2024 to Mar 21, 2024
- Individual RAUM · $139M to $134MJan 5, 2024 to Mar 21, 2024
- Non-discretionary RAUM · $10.8M to $10.7MJan 5, 2024 to Mar 21, 2024
- Pension RAUM · $74.3M to $79.7MJan 5, 2024 to Mar 21, 2024
- Pooled vehicle RAUM · 0.0 to unsetJan 5, 2024 to Mar 21, 2024
- RAUM · $676M to $805MJan 5, 2024 to Mar 21, 2024
- Accounts · 1,334 to 1,400Apr 26, 2022 to Mar 29, 2023
- HNW clients · 141 to 136Apr 26, 2022 to Mar 29, 2023
- Individual clients · 252 to 280Apr 26, 2022 to Mar 29, 2023
- Pension plan clients · 28 to 27Apr 26, 2022 to Mar 29, 2023
- Assets in custody · unset to 10011682.0Apr 26, 2022 to Mar 29, 2023
Signals
2 dated events
- S•••••• • N•••••• L•• reported RAUM $768.0M, up 30% from $588.9M (2021-01-28 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- S•••••• A•• N••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jul 7, 2020 · 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
- 541-636-4001reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 541-654-0546reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-306-9638reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/sittner-nelsonreportedpublic record, Form ADV, Sep 19, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 541-636-4001reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $262Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026