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.
SEC-registered adviser
Koenig Investment Advisory, LLC
Latest filing Feb 2, 2026
First filing on the tape Oct 21, 2020 · 15 filings
SEC status approved since Nov 20, 2020
RAUM
$258M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$256M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$86.1M
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
15 filings and snapshots on the tape
RAUM$258M as of Feb 2, 2026
Mar 23, 2021$200M then
HNW client RAUM$212M as of Feb 2, 2026
Mar 23, 2021$118M then
State-registered IARs (5.B.3)3 as of Feb 2, 2026
Mar 23, 20213 then
Employees (5.A)3 as of Feb 2, 2026
Mar 23, 20213 then
Private funds: no history
RAUM +7.3% over the last fiscal year+10% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 2, 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
- $86.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 98derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $431,021derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, publicationsreportedItem 5.G
- Custody
- $93.9M, 220 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$212M82%
- Individuals$43.7M17%
- Charitable organizations$1.1M0.4%
- Pension and profit-sharing plans$829,1950.3%
- Corporations and businesses$669,0960.3%
- Individual clients
- 179reported
- HNW clients
- 114reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 599reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $93.9M for 220 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 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 |
|---|---|---|---|---|
| Jeffrey L McculloughCertified Financial Planner | Ashland, Or | Nov 26, 2020 | 18 y | 5 |
| Lorrie Anne MillerCertified Financial Planner | Ashland, Or | Dec 7, 2020 | 18 y | 2 |
| Hugo R SanchezCertified Financial Planner | Ashland, Or | Jan 3, 2022 | 10 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
- Hugo R Sanchez from Cutler Investment GroupJan 3, 2022 · RIA to RIA
- Lorrie Anne Miller from Mylaunch, LLCDec 7, 2020 · RIA to a newly registered adviser
- Jeffrey L Mccullough from Mylaunch, LLCNov 26, 2020 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Mylaunch, LLCJun 2, 2020 · Medford, Or
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L Jeffrey Mccullough · Principal; Investment Advisor Representativecontrolsince 10/2020 · owns 75% or more
- Lorrie Anne Miller · Investment Advisor Representative; Chief Compliance Officersince 11/2020 · 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 |
|---|---|---|---|---|---|
| Ashland, Or · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 597 to 599Jan 28, 2025 to Jan 15, 2026
- HNW clients · 106 to 114Jan 28, 2025 to Jan 15, 2026
- Individual clients · 199 to 179Jan 28, 2025 to Jan 15, 2026
- Assets in custody · $99.6M to $93.9MJan 28, 2025 to Jan 15, 2026
- Discretionary RAUM · $241M to $258MJan 28, 2025 to Jan 15, 2026
- HNW RAUM · $193M to $212MJan 28, 2025 to Jan 15, 2026
- Individual RAUM · $44.5M to $43.7MJan 28, 2025 to Jan 15, 2026
- Pension RAUM · $1.1M to $829,195Jan 28, 2025 to Jan 15, 2026
- RAUM · $241M to $258MJan 28, 2025 to Jan 15, 2026
- Accounts · 605 to 597Jan 22, 2024 to Jan 28, 2025
- HNW clients · 115 to 106Jan 22, 2024 to Jan 28, 2025
- Individual clients · 215 to 199Jan 22, 2024 to Jan 28, 2025
- Assets in custody · $113M to $99.6MJan 22, 2024 to Jan 28, 2025
- Financial planning clients · 0 to 0Jan 22, 2024 to Jan 28, 2025
- Discretionary RAUM · $226M to $241MJan 22, 2024 to Jan 28, 2025
- HNW RAUM · $182M to $193MJan 22, 2024 to Jan 28, 2025
- Individual RAUM · $39.3M to $44.5MJan 22, 2024 to Jan 28, 2025
- Pension RAUM · $3.7M to $1.1MJan 22, 2024 to Jan 28, 2025
- RAUM · $226M to $241MJan 22, 2024 to Jan 28, 2025
- Accounts · 598 to 605Jun 14, 2023 to Jan 22, 2024
- HNW clients · 114 to 115Jun 14, 2023 to Jan 22, 2024
- Individual clients · 223 to 215Jun 14, 2023 to Jan 22, 2024
- Assets in custody · $167M to $113MJun 14, 2023 to Jan 22, 2024
- Discretionary RAUM · $193M to $226MJun 14, 2023 to Jan 22, 2024
- HNW RAUM · $146M to $182MJun 14, 2023 to Jan 22, 2024
- Individual RAUM · $39.7M to $39.3MJun 14, 2023 to Jan 22, 2024
- Pension RAUM · $6.2M to $3.7MJun 14, 2023 to Jan 22, 2024
- RAUM · $193M to $226MJun 14, 2023 to Jan 22, 2024
- HQ city · MEDFORD to ASHLANDJan 31, 2023 to Jun 5, 2023
- Assets in custody · $118M to $167MJan 23, 2023 to Jan 31, 2023
- Accounts · 645 to 598Jan 27, 2022 to Jan 23, 2023
- Advisory employees · 4 to 3Jan 27, 2022 to Jan 23, 2023
- HNW clients · 109 to 114Jan 27, 2022 to Jan 23, 2023
- Individual clients · 209 to 223Jan 27, 2022 to Jan 23, 2023
- Assets in custody · $122M to $118MJan 27, 2022 to Jan 23, 2023
- Employees · 4 to 3Jan 27, 2022 to Jan 23, 2023
- State-registered IARs · 4 to 3Jan 27, 2022 to Jan 23, 2023
- Discretionary RAUM · $214M to $193MJan 27, 2022 to Jan 23, 2023
- HNW RAUM · $168M to $146MJan 27, 2022 to Jan 23, 2023
- Individual RAUM · $40.5M to $39.7MJan 27, 2022 to Jan 23, 2023
Signals
1 dated events
- Condor Wealth Management, Llc filed its initial SEC registration (Form ADV)Oct 21, 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
- 541-608-0551reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-435-4000reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-959-7806reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/koenig-investment-advisoryreportedpublic record, Form ADV, Sep 17, 2026
- Website
- koeniginvestment.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 541-608-0551reportedpublic record, Form ADV, Feb 2, 2026
- Contact form
- koeniginvestment.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- koeniginvestment.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $86.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026