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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
R••••••••• C••••••••• G••••• I•••
Latest filing Mar 11, 2026
First filing on the tape Oct 1, 2020 · 12 filings
SEC status approved since Oct 30, 2020
RAUM
$457M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
26%
$119M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$228M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$457M as of Mar 11, 2026
Mar 29, 2021$471M then
HNW client RAUM$104M as of Mar 11, 2026
Mar 29, 2021$0 then
State-registered IARs (5.B.3)1 as of Mar 11, 2026
Mar 29, 20212 then
Employees (5.A)4 as of Mar 11, 2026
Mar 29, 20214 then
Private funds: no history
RAUM +11% over the last fiscal year+12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $228MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 74%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $101M, 59 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$328M72%
- High-net-worth individuals$104M23%
- Individuals$14.6M3.2%
- Charitable organizations$9.1M2.0%
- Banks and thrifts$1.2M0.3%
- Individual clients
- 33reported
- HNW clients
- 40reported
- Pension plan clients
- 10reported
- Charitable clients
- 2reported
- Accounts
- 192reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $101M for 59 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.26 fund_share=0.0 institutional_share=0.74 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• H••••• U•••• | Lake Oswego, Or | Oct 1, 2021 | 41 y | 3 |
| J•••• A•••••• M••••• | Portland, Or | Apr 27, 2026 | 18 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- J•••• A•••••• M••••• from F••••• I•••••••••Apr 27, 2026 · RIA to RIA
- J••• H••••• U•••• from A•••• P•••• A•••••••Oct 1, 2021 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- U••••• J•••• H••••• · Presidentcontrolsince 02/1997 · owns 75% or more
- P•••• B••••• W•••••• · Chief Compliance Officersince 03/2024 · owns less than 5%
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 | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 11, 2026institutional share of RAUM of 74% against a peer median of 0% (5676 comparable advisers, 100.0th percentile, 24.8 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 185 to 192Mar 27, 2025 to Mar 11, 2026
- Charity clients · 1 to 2Mar 27, 2025 to Mar 11, 2026
- HNW clients · 28 to 40Mar 27, 2025 to Mar 11, 2026
- Individual clients · 44 to 33Mar 27, 2025 to Mar 11, 2026
- Assets in custody · $94.2M to $101MMar 27, 2025 to Mar 11, 2026
- Discretionary RAUM · $392M to $442MMar 27, 2025 to Mar 11, 2026
- HNW RAUM · $84.8M to $104MMar 27, 2025 to Mar 11, 2026
- Individual RAUM · $27.3M to $14.6MMar 27, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $19.2M to $14.9MMar 27, 2025 to Mar 11, 2026
- Pension RAUM · $289M to $328MMar 27, 2025 to Mar 11, 2026
- RAUM · $411M to $457MMar 27, 2025 to Mar 11, 2026
- Accounts · 195 to 185Mar 21, 2024 to Mar 27, 2025
- HNW clients · 30 to 28Mar 21, 2024 to Mar 27, 2025
- Individual clients · 41 to 44Mar 21, 2024 to Mar 27, 2025
- Assets in custody · $77.1M to $94.2MMar 21, 2024 to Mar 27, 2025
- Financial planning clients · 1-10 to 1-10Mar 21, 2024 to Mar 27, 2025
- Discretionary RAUM · $350M to $392MMar 21, 2024 to Mar 27, 2025
- HNW RAUM · $87.2M to $84.8MMar 21, 2024 to Mar 27, 2025
- Individual RAUM · $20.8M to $27.3MMar 21, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $17.1M to $19.2MMar 21, 2024 to Mar 27, 2025
- Pension RAUM · $250M to $289MMar 21, 2024 to Mar 27, 2025
- RAUM · $367M to $411MMar 21, 2024 to Mar 27, 2025
- Accounts · 192 to 195May 5, 2023 to Mar 21, 2024
- HNW clients · 26 to 30May 5, 2023 to Mar 21, 2024
- Individual clients · 51 to 41May 5, 2023 to Mar 21, 2024
- Assets in custody · $52.2M to $77.1MMay 5, 2023 to Mar 21, 2024
- Employees · 3 to 4May 5, 2023 to Mar 21, 2024
- Financial planning clients · 0 to 1-10May 5, 2023 to Mar 21, 2024
- Discretionary RAUM · $307M to $350MMay 5, 2023 to Mar 21, 2024
- HNW RAUM · $78.5M to $87.2MMay 5, 2023 to Mar 21, 2024
- Individual RAUM · $23.6M to $20.8MMay 5, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $19.0M to $17.1MMay 5, 2023 to Mar 21, 2024
- Pension RAUM · $217M to $250MMay 5, 2023 to Mar 21, 2024
- RAUM · $326M to $367MMay 5, 2023 to Mar 21, 2024
- Accounts · 182 to 192Oct 25, 2022 to Mar 16, 2023
- Advisory employees · 2 to 1Oct 25, 2022 to Mar 16, 2023
- Charity clients · 2 to 1Oct 25, 2022 to Mar 16, 2023
- HNW clients · 27 to 26Oct 25, 2022 to Mar 16, 2023
- Individual clients · 44 to 51Oct 25, 2022 to Mar 16, 2023
- Pension plan clients · 11 to 10Oct 25, 2022 to Mar 16, 2023
Signals
4 dated events
- R••••••••• C••••••••• G••••• I••• reported RAUM $361.9M, up 39% from $260.0M (2021-09-29 to 2022-02-02)Feb 2, 2022 · RAUM change · derived
- R••••••••• C••••••••• G••••• I••• reported RAUM $260.0M, down 45% from $471.2M (2021-03-29 to 2021-07-23)Jul 23, 2021 · RAUM change · derived
- Lee Christopher Payne (Chief Compliance Officer) appeared on Schedule A of R••••••••• C••••••••• G••••• I•••Jul 23, 2021 · Control person joined · fact
- R••••••••• C••••••••• G••••• I••• filed its initial SEC registration (Form ADV)Oct 1, 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
- 503-222-6544reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 503-225-1700reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 866-460-7901reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- r•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 503-225-1700reportedpublic record, Form ADV, Mar 11, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $228Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026