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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Former SEC-registered adviser
P••• P•••••••••
Legal name P••• P••••••••• H••••••• L••
Latest filing Jan 30, 2025
First filing on the tape Sep 22, 2020 · 28 filings
SEC status approved since Nov 12, 2020
RAUM
$360M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$351M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$360M as of Jan 30, 2025
Jan 5, 2021$117M then
HNW client RAUM$298M as of Jan 30, 2025
Jan 5, 2021$91.2M then
State-registered IARs (5.B.3)5 as of Jan 30, 2025
Jan 5, 20212 then
Employees (5.A)6 as of Jan 30, 2025
Jan 5, 20213 then
Private funds: no history
RAUM +23% over the last fiscal year+16% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Jan 30, 2025; every figure names its basis
- RAUM per advisor
- $72.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $448,908derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.2%derived
- Compensation
- percentage of assets, hourly, 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$298M83%
- Individuals$53.0M15%
- Corporations and businesses$9.8M2.7%
- Charitable organizations$101,4310.0%
- Individual clients
- 138reported
- HNW clients
- 154reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 803reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
5 left, 0 joined in 12 months
net -5 in 12 months0 left in 90 days0 joined in 90 days6 left over 36 months
Left, latest
- T•••••• H•• Y•••• M••• to W•••••• A•••••••• L••Mar 10, 2026 · RIA to RIA
- T•••••• M••••••••• to W•••••• A•••••••• L••Mar 10, 2026 · RIA to RIA
- J•••• D•••• J•••••• to W•••••• A•••••••• L••Mar 10, 2026 · RIA to RIA
- N••••••• D••• S••••••••• to W•••••• A•••••••• L••Mar 10, 2026 · RIA to RIA
- W•••••• A•••• W•••• to W•••••• A•••••••• L••Mar 10, 2026 · RIA to RIA
- E••• R••••••• V••••••• to R••• F•••••••• P•••••••May 5, 2025 · RIA to RIA
Joined, latest
- J•••• D•••• J•••••• from N•••••••• W••••• A•••••••• L••May 7, 2021 · Other
- W•••••• A•••• W•••• from N•••••••• W••••• A•••••••• L••May 6, 2021 · Other
- N••••••• D••• S••••••••• from T•• I••••••••• A•••• M••••••••• L••Jan 2, 2021 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for W•••••• A•••••••• L••Mar 10, 2026 · Lake Oswego, Or · Firm absorbed
- 2 joined from N•••••••• W••••• A•••••••• L••May 6, 2021 · West Linn, Or
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• C••••• T••••• · Ccocontrolsince 06/2024 · owns less than 5%
- S••••••••• N•••••••• D••• · Managing Membercontrolsince 09/2020 · owns 50% to 75%
- W••••• W••••••• A•••• · Managing Membercontrolsince 09/2022 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Lake Oswego, Or · principal | 0 | 0 | 5 |
Offices
Schedule D 1.F, the 25 largest
- Camas, WA1 employees
What changed
consecutive filings, newest first
- Accounts · 767 to 803Dec 4, 2024 to Jan 30, 2025
- Corporate clients · 2.0 to unsetDec 4, 2024 to Jan 30, 2025
- HNW clients · 143 to 154Dec 4, 2024 to Jan 30, 2025
- Individual clients · 140 to 138Dec 4, 2024 to Jan 30, 2025
- Financial planning clients · 101-250 to 101-250Dec 4, 2024 to Jan 30, 2025
- Discretionary RAUM · $293M to $360MDec 4, 2024 to Jan 30, 2025
- HNW RAUM · $237M to $298MDec 4, 2024 to Jan 30, 2025
- Individual RAUM · $47.0M to $53.0MDec 4, 2024 to Jan 30, 2025
- RAUM · $293M to $360MDec 4, 2024 to Jan 30, 2025
- Accounts · 710 to 767Feb 8, 2023 to Mar 1, 2024
- Advisory employees · 3 to 4Feb 8, 2023 to Mar 1, 2024
- HNW clients · 132 to 143Feb 8, 2023 to Mar 1, 2024
- Individual clients · 129 to 140Feb 8, 2023 to Mar 1, 2024
- Employees · 5 to 6Feb 8, 2023 to Mar 1, 2024
- State-registered IARs · 3 to 5Feb 8, 2023 to Mar 1, 2024
- Discretionary RAUM · $241M to $293MFeb 8, 2023 to Mar 1, 2024
- HNW RAUM · $201M to $237MFeb 8, 2023 to Mar 1, 2024
- Individual RAUM · $35.6M to $47.0MFeb 8, 2023 to Mar 1, 2024
- RAUM · $241M to $293MFeb 8, 2023 to Mar 1, 2024
- Accounts · 668 to 710Jan 13, 2023 to Feb 8, 2023
- HNW clients · 198 to 132Jan 13, 2023 to Feb 8, 2023
- Individual clients · 190 to 129Jan 13, 2023 to Feb 8, 2023
- Assets in custody · 3492670.0 to unsetJan 13, 2023 to Feb 8, 2023
- Custody of client assets · true to falseJan 13, 2023 to Feb 8, 2023
- Discretionary RAUM · $231M to $241MJan 13, 2023 to Feb 8, 2023
- HNW RAUM · $184M to $201MJan 13, 2023 to Feb 8, 2023
- Individual RAUM · $43.9M to $35.6MJan 13, 2023 to Feb 8, 2023
- RAUM · $231M to $241MJan 13, 2023 to Feb 8, 2023
- Advisory employees · 4 to 3Nov 11, 2022 to Jan 13, 2023
- Employees · 6 to 5Nov 11, 2022 to Jan 13, 2023
- State-registered IARs · 4 to 3Nov 11, 2022 to Jan 13, 2023
- Accounts · 612 to 668Mar 25, 2022 to Aug 31, 2022
- HNW clients · 170 to 198Mar 25, 2022 to Aug 31, 2022
- Individual clients · 178 to 190Mar 25, 2022 to Aug 31, 2022
- Assets in custody · unset to 3492670.0Mar 25, 2022 to Aug 31, 2022
- Custody of client assets · false to trueMar 25, 2022 to Aug 31, 2022
- Discretionary RAUM · $231M to $231MMar 25, 2022 to Aug 31, 2022
- HNW RAUM · $183M to $184MMar 25, 2022 to Aug 31, 2022
- Individual RAUM · $44.2M to $43.9MMar 25, 2022 to Aug 31, 2022
- RAUM · $231M to $231MMar 25, 2022 to Aug 31, 2022
Signals
13 dated events
- P••• P••••••••• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $360.5M)Apr 1, 2026 · Left the SEC roster · derived
- P••• P•••••••••'s advisors moved to W•••••• A•••••••• L•• (Lake Oswego, OR): 5 of 5 registered, on the same dayMar 10, 2026 · Firm absorbed (people side) · derived
- W•••••• A•••• W•••• left P••• P••••••••• for W•••••• A•••••••• L•• (registered 2026-01-30)Mar 10, 2026 · Advisor changed firm · fact
- N••••••• D••• S••••••••• left P••• P••••••••• for W•••••• A•••••••• L•• (registered 2026-01-30)Mar 10, 2026 · Advisor changed firm · fact
- J•••• D•••• J•••••• left P••• P••••••••• for W•••••• A•••••••• L•• (registered 2026-01-30)Mar 10, 2026 · Advisor changed firm · fact
- T•••••• H•• Y•••• M••• left P••• P••••••••• for W•••••• A•••••••• L•• (registered 2026-01-30)Mar 10, 2026 · Advisor changed firm · fact
- T•••••• M••••••••• left P••• P••••••••• for W•••••• A•••••••• L•• (registered 2026-01-30)Mar 10, 2026 · Advisor changed firm · fact
- E••• R••••••• V••••••• left P••• P••••••••• for R••• F•••••••• P••••••• (registered 2025-05-16)May 5, 2025 · Advisor changed firm · fact
- C•••• P•••••• (Cco) appeared on Schedule A of P••• P•••••••••Jun 11, 2024 · Control person joined · fact
- Marc David Gewant (Managing Member) no longer on Schedule A of P••• P••••••••• (listed 2022-11-11, absent 2023-01-13)Jan 13, 2023 · Control person left · inference
- A•••• W•••••• W•••• (Managing Member) appeared on Schedule A of P••• P•••••••••Apr 21, 2021 · Control person joined · fact
- Leigh Stacy Sizemore (Chief Compliance Officer) no longer on Schedule A of P••• P••••••••• (listed 2021-01-06, absent 2021-04-21)Apr 21, 2021 · Control person left · inference
- P••• P••••••••• L•• filed its initial SEC registration (Form ADV)Sep 22, 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.
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
- Former SEC-registered adviserderiveda 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