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••• D••• • H•••• H•••••••• I••
Latest filing Sep 14, 2026
First filing on the tape Apr 30, 2026 · 3 filings
SEC status approved since Jun 8, 2026
RAUM
$187M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
3 filings and snapshots on the tape
RAUM$187M as of Jul 15, 2026
Apr 30, 2026$187M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 15, 2026
Apr 30, 20260 then
Employees (5.A)3 as of Jul 15, 2026
Apr 30, 20263 then
Private funds1 as of Jul 15, 2026
Apr 30, 20261 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 14, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $187MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$187M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••• D••• • H•••• H••••••• C••••••••• E••••• | Hedge Fund | $40.3M | 100 | Jul 21, 2020 |
Owners and control persons
Schedule A and B, latest filing
- S•••• R•••••• J••••• · Ownercontrolsince 12/2018 · owns 75% or more
- T••••• M••••••• G•••••• · Chief Compliance Officercontrolsince 07/2020 · owns less than 5%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Sep 14, 2026custody of client assets (Item 9.A): yes on the filing of 2026-07-15, no on the filing of 2026-09-14peers: asset managers, $100M to $500M (1,567)
What changed
consecutive filings, newest first
- Assets in custody · 195368722.0 to unsetJul 15, 2026 to Sep 14, 2026
- Custody of client assets · true to falseJul 15, 2026 to Sep 14, 2026
- Financial planning clients · to unsetJul 15, 2026 to Sep 14, 2026
- Other offices · 1 to 0Jul 15, 2026 to Sep 14, 2026
- Private funds · 1 to unsetJul 15, 2026 to Sep 14, 2026
- Succession · false to unsetJul 15, 2026 to Sep 14, 2026
Signals
2 dated events
- Ronald Joseph Sloy, registered through S•••• D••• • H••••• L•• (Vancouver, WA), is a direct owner of S••• D••• • H•••• H•••••••• I••, an adviser first registered 2026-04-30Apr 30, 2026 · Owner of a newly registered adviser · fact
- Michael Gregory Tudor, registered through S•••• D••• • H••••• L•• (Port Angeles, WA), is a direct owner of S••• D••• • H•••• H•••••••• I••, an adviser first registered 2026-04-30Apr 30, 2026 · Owner of a newly registered adviser · 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
- Principal office phone
- 503-248-9800reportedpublic record, Form ADV, Sep 14, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026