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
C•••••• F•••••••• P•••••••
Legal name C•••••• F•••••••• P•••••••• L••
Latest filing Mar 16, 2026
First filing on the tape Aug 2, 2020 · 14 filings
SEC status approved since Sep 2, 2020
RAUM
$285M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$273M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$94.9M
derived; firm RAUM over IAPD count
Employees
5
3 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$285M as of Mar 16, 2026
Feb 5, 2021$186M then
HNW client RAUM$198M as of Mar 16, 2026
Feb 5, 2021$111M then
State-registered IARs (5.B.3)3 as of Mar 16, 2026
Feb 5, 20212 then
Employees (5.A)5 as of Mar 16, 2026
Feb 5, 20214 then
Private funds: no history
RAUM +17% over the last fiscal year+12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 16, 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
- $94.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $495,229derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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
- +0.5%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $44.7M, 65 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$198M69%
- Individuals$75.7M27%
- Corporations and businesses$9.5M3.3%
- Charitable organizations$1.8M0.6%
- Individual clients
- 129reported
- HNW clients
- 92reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 575reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $221M managedreported
- Custody of client assets
- $44.7M for 65 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.96 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 |
|---|---|---|---|---|
| B••••••• W•••••• N•••••Certified Financial Planner | Salem, Or | Sep 15, 2020 | 25 y | 1 |
| C••• S• C•••••••Certified Financial Planner | Salem, Or | Sep 15, 2020 | 13 y | 1 |
| D•••• N• J••••••Certified Financial Planner | Salem, Or | Sep 11, 2023 | 17 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
- D•••• N• J•••••• from K•• F•••••••• S•••••••• I••Sep 11, 2023 · Affiliated broker-dealer or bank to independent RIA
- B••••••• W•••••• N••••• from K•• F•••••••• S•••••••• I••Sep 15, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- C••• S• C••••••• from K•• F•••••••• S•••••••• I••Sep 15, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from K•• F•••••••• S•••••••• I••Oct 30, 2020 · Salem, Or
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• C•••• S• · Managing Membercontrolsince 01/2016 · owns 10% to 25%
- N•••••• B•••••••• W•••••• · Managing Member & Chief Compliance Officercontrolsince 01/2007 · 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 |
|---|---|---|---|---|---|
| Salem, Or · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 569 to 575Jun 18, 2025 to Mar 16, 2026
- HNW clients · 88 to 92Jun 18, 2025 to Mar 16, 2026
- Individual clients · 132 to 129Jun 18, 2025 to Mar 16, 2026
- Assets in custody · $35.7M to $44.7MJun 18, 2025 to Mar 16, 2026
- Discretionary RAUM · $244M to $285MJun 18, 2025 to Mar 16, 2026
- HNW RAUM · $165M to $198MJun 18, 2025 to Mar 16, 2026
- Individual RAUM · $69.3M to $75.7MJun 18, 2025 to Mar 16, 2026
- RAUM · $244M to $285MJun 18, 2025 to Mar 16, 2026
- Wrap assets (manager) · $184M to $221MJun 18, 2025 to Mar 16, 2026
- Advisory activities · 4 to 5Mar 4, 2025 to Jun 18, 2025
- Financial planning clients · 0 to 0Mar 4, 2025 to Jun 18, 2025
- Accounts · 550 to 569Mar 26, 2024 to Mar 4, 2025
- HNW clients · 75 to 88Mar 26, 2024 to Mar 4, 2025
- Individual clients · 141 to 132Mar 26, 2024 to Mar 4, 2025
- Assets in custody · $28.6M to $35.7MMar 26, 2024 to Mar 4, 2025
- Discretionary RAUM · $216M to $244MMar 26, 2024 to Mar 4, 2025
- HNW RAUM · $134M to $165MMar 26, 2024 to Mar 4, 2025
- Individual RAUM · $72.4M to $69.3MMar 26, 2024 to Mar 4, 2025
- RAUM · $216M to $244MMar 26, 2024 to Mar 4, 2025
- Wrap assets (manager) · $159M to $184MMar 26, 2024 to Mar 4, 2025
- Accounts · 572 to 550Mar 28, 2023 to Mar 26, 2024
- Advisory employees · 2 to 3Mar 28, 2023 to Mar 26, 2024
- Charity clients · 2.0 to unsetMar 28, 2023 to Mar 26, 2024
- Corporate clients · 1.0 to unsetMar 28, 2023 to Mar 26, 2024
- HNW clients · 78 to 75Mar 28, 2023 to Mar 26, 2024
- Individual clients · 148 to 141Mar 28, 2023 to Mar 26, 2024
- Assets in custody · $24.6M to $28.6MMar 28, 2023 to Mar 26, 2024
- Employees · 4 to 5Mar 28, 2023 to Mar 26, 2024
- State-registered IARs · 2 to 3Mar 28, 2023 to Mar 26, 2024
- Discretionary RAUM · $204M to $216MMar 28, 2023 to Mar 26, 2024
- HNW RAUM · $135M to $134MMar 28, 2023 to Mar 26, 2024
- Individual RAUM · $66.4M to $72.4MMar 28, 2023 to Mar 26, 2024
- RAUM · $204M to $216MMar 28, 2023 to Mar 26, 2024
- Wrap assets (manager) · $114M to $159MMar 28, 2023 to Mar 26, 2024
- Accounts · 569 to 572Mar 11, 2022 to Mar 28, 2023
- Charity clients · unset to 2.0Mar 11, 2022 to Mar 28, 2023
- Corporate clients · unset to 1.0Mar 11, 2022 to Mar 28, 2023
- HNW clients · 76 to 78Mar 11, 2022 to Mar 28, 2023
- Individual clients · 151 to 148Mar 11, 2022 to Mar 28, 2023
- Assets in custody · $28.4M to $24.6MMar 11, 2022 to Mar 28, 2023
Signals
1 dated events
- C•••••• F•••••••• P••••••• filed its initial SEC registration (Form ADV)Aug 2, 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 email
- info@c••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 503-585-1067reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 888-899-1067reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/capital-financial-plannersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- capfina.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 503-585-1067reportedpublic record, Form ADV, Mar 16, 2026
- Contact form
- capfina.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
- $94.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026