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
W••••• P•••••••
Legal name W••••• F••••••••• L••
Latest filing Mar 10, 2026
First filing on the tape Apr 1, 2022 · 6 filings
SEC status approved since Apr 29, 2022
RAUM
$145M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$145M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$145M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$145M as of Mar 10, 2026
Mar 3, 2023$95.2M then
HNW client RAUM$96.0M as of Mar 10, 2026
Mar 3, 2023$59.4M then
State-registered IARs (5.B.3)1 as of Mar 10, 2026
Mar 3, 20231 then
Employees (5.A)5 as of Mar 10, 2026
Mar 3, 20235 then
Private funds: no history
RAUM +13% over the last fiscal year+15% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 10, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $145MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 203derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $364,600derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $79.6M, 174 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$96.0M66%
- Individuals$48.7M34%
- Individual clients
- 134reported
- HNW clients
- 69reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 397reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $79.6M for 174 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• J• W•••••Certified Financial Planner | Lake Oswego, Or | May 18, 2022 | 25 y | 4 |
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
- S••••• J• W••••• from S••••••••• A•••••• A•••••••• I•••May 18, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••• S•••••• J• · Chief Compliance Officercontrolsince 02/2022 · owns less than 5%
- W•••••• S•••••• J• · Trusteecontrolsince 06/2011 · owns F of S••••• J• W••••• T•••• U•••• 6••••••••
Entity owners
- S••••• J• W••••• T•••• U•••• 6•••••••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 10, 2026hourly charges (Item 5.E.2): no on the filing of 2025-01-27, yes on the filing of 2026-03-10peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory employees · 1 to 2Jan 27, 2025 to Mar 10, 2026
- Accounts · 391 to 397Jan 27, 2025 to Mar 10, 2026
- Charity clients · 0.0 to unsetJan 27, 2025 to Mar 10, 2026
- Corporate clients · 0.0 to unsetJan 27, 2025 to Mar 10, 2026
- HNW clients · 63 to 69Jan 27, 2025 to Mar 10, 2026
- Individual clients · 135 to 134Jan 27, 2025 to Mar 10, 2026
- Pension plan clients · 0.0 to unsetJan 27, 2025 to Mar 10, 2026
- Pooled vehicle clients · 0.0 to unsetJan 27, 2025 to Mar 10, 2026
- Assets in custody · $72.9M to $79.6MJan 27, 2025 to Mar 10, 2026
- Employees · 4 to 5Jan 27, 2025 to Mar 10, 2026
- Discretionary RAUM · $128M to $145MJan 27, 2025 to Mar 10, 2026
- HNW RAUM · $81.2M to $96.0MJan 27, 2025 to Mar 10, 2026
- Individual RAUM · $46.7M to $48.7MJan 27, 2025 to Mar 10, 2026
- Pension RAUM · 0.0 to unsetJan 27, 2025 to Mar 10, 2026
- Pooled vehicle RAUM · 0.0 to unsetJan 27, 2025 to Mar 10, 2026
- RAUM · $128M to $145MJan 27, 2025 to Mar 10, 2026
- Accounts · 381 to 391Mar 26, 2024 to Jan 27, 2025
- HNW clients · 62 to 63Mar 26, 2024 to Jan 27, 2025
- Individual clients · 134 to 135Mar 26, 2024 to Jan 27, 2025
- Assets in custody · $57.9M to $72.9MMar 26, 2024 to Jan 27, 2025
- Employees · 5 to 4Mar 26, 2024 to Jan 27, 2025
- Financial planning clients · 1-10 to 1-10Mar 26, 2024 to Jan 27, 2025
- Discretionary RAUM · $115M to $128MMar 26, 2024 to Jan 27, 2025
- HNW RAUM · $73.1M to $81.2MMar 26, 2024 to Jan 27, 2025
- Individual RAUM · $41.5M to $46.7MMar 26, 2024 to Jan 27, 2025
- RAUM · $115M to $128MMar 26, 2024 to Jan 27, 2025
- Accounts · 359 to 381Mar 3, 2023 to Mar 26, 2024
- Advisory activities · 3 to 2Mar 3, 2023 to Mar 26, 2024
- HNW clients · 57 to 62Mar 3, 2023 to Mar 26, 2024
- Individual clients · 131 to 134Mar 3, 2023 to Mar 26, 2024
- Assets in custody · $90.7M to $57.9MMar 3, 2023 to Mar 26, 2024
- Financial planning clients · 0 to 1-10Mar 3, 2023 to Mar 26, 2024
- Discretionary RAUM · $95.2M to $115MMar 3, 2023 to Mar 26, 2024
- HNW RAUM · $59.4M to $73.1MMar 3, 2023 to Mar 26, 2024
- Individual RAUM · $35.8M to $41.5MMar 3, 2023 to Mar 26, 2024
- RAUM · $95.2M to $115MMar 3, 2023 to Mar 26, 2024
- Accounts · 347 to 359Aug 25, 2022 to Mar 3, 2023
- HNW clients · 59 to 57Aug 25, 2022 to Mar 3, 2023
- Individual clients · 128 to 131Aug 25, 2022 to Mar 3, 2023
- Assets in custody · $100M to $90.7MAug 25, 2022 to Mar 3, 2023
Signals
1 dated events
- W••••• P••••••• filed its initial SEC registration (Form ADV)Apr 1, 2022 · 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
- operations@wagnerplanning.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 503-210-0311reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 503-342-0038reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/wagner-planningreportedpublic record, Form ADV, Sep 18, 2026
- Website
- wagnerplanning.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 503-342-0038reportedpublic record, Form ADV, Mar 10, 2026
- Contact form
- wagnerplanning.com/contact-usreportedpublished 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
- $145Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026