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
P••• W••••• A•••••••• I•••
Latest filing Apr 20, 2026
First filing on the tape Jul 18, 2022 · 9 filings
SEC status approved since Aug 18, 2022
RAUM
$221M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$221M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$73.7M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$221M as of Apr 20, 2026
Mar 3, 2023$140M then
HNW client RAUM$142M as of Apr 20, 2026
Mar 3, 2023$71.2M then
State-registered IARs (5.B.3)2 as of Apr 20, 2026
Mar 3, 20232 then
Employees (5.A)4 as of Apr 20, 2026
Mar 3, 20234 then
Private funds: no history
RAUM +13% over the last fiscal year+17% a year over threeIARs 2 to 2offices 1 to 3
Practice profile
derived from the filing of Apr 20, 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
- RAUM per advisor
- $73.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 86derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $261,574derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 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
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$142M64%
- Individuals$79.4M36%
- Individual clients
- 179reported
- HNW clients
- 78reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 845reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• L••• R•••••Certified Financial Planner | Camas, Wa | Oct 2, 2022 | 23 y | 1 |
| T••••• D••• E•••••••• M••••Chartered Financial Analyst | Camas, Wa | Oct 2, 2022 | 31 y | 2 |
| C••••••• M•••• K•••••• | Camas, Wa | Mar 10, 2026 | 12 y | 0 |
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•••• L••• R••••• from S••••••• F•••• A•••••••Oct 2, 2022 · RIA to a newly registered adviser
- T••••• D••• E•••••••• M•••• from S••••••• F•••• A•••••••Oct 2, 2022 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S••••••• F•••• A•••••••Nov 16, 2022 · Portland, Or
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• S••••• L••• · Owner And Ccocontrolsince 06/2022 · 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 |
|---|---|---|---|---|---|
| Camas, Wa · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Apr 20, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Other offices · 1 to 3Jan 15, 2026 to Apr 20, 2026
- Accounts · 823 to 845Feb 14, 2025 to Jan 15, 2026
- HNW clients · 65 to 78Feb 14, 2025 to Jan 15, 2026
- Individual clients · 192 to 179Feb 14, 2025 to Jan 15, 2026
- HNW RAUM · $111M to $142MFeb 14, 2025 to Jan 15, 2026
- Individual RAUM · $83.4M to $79.4MFeb 14, 2025 to Jan 15, 2026
- Non-discretionary RAUM · $195M to $221MFeb 14, 2025 to Jan 15, 2026
- RAUM · $195M to $221MFeb 14, 2025 to Jan 15, 2026
- Accounts · 727 to 823Aug 19, 2024 to Feb 14, 2025
- HNW clients · 52 to 65Aug 19, 2024 to Feb 14, 2025
- Individual clients · 167 to 192Aug 19, 2024 to Feb 14, 2025
- Financial planning clients · 1-10 to 1-10Aug 19, 2024 to Feb 14, 2025
- HNW RAUM · $86.1M to $111MAug 19, 2024 to Feb 14, 2025
- Individual RAUM · $75.6M to $83.4MAug 19, 2024 to Feb 14, 2025
- Non-discretionary RAUM · $162M to $195MAug 19, 2024 to Feb 14, 2025
- RAUM · $162M to $195MAug 19, 2024 to Feb 14, 2025
- Accounts · 701 to 727Mar 3, 2023 to Feb 26, 2024
- HNW clients · 47 to 52Mar 3, 2023 to Feb 26, 2024
- Individual clients · 166 to 167Mar 3, 2023 to Feb 26, 2024
- Financial planning clients · 0 to 1-10Mar 3, 2023 to Feb 26, 2024
- HNW RAUM · $71.2M to $86.1MMar 3, 2023 to Feb 26, 2024
- Individual RAUM · $68.4M to $75.6MMar 3, 2023 to Feb 26, 2024
- Non-discretionary RAUM · $140M to $162MMar 3, 2023 to Feb 26, 2024
- RAUM · $140M to $162MMar 3, 2023 to Feb 26, 2024
- Accounts · 693 to 701Dec 2, 2022 to Mar 3, 2023
- HNW clients · 43 to 47Dec 2, 2022 to Mar 3, 2023
- Individual clients · 160 to 166Dec 2, 2022 to Mar 3, 2023
- HNW RAUM · $66.5M to $71.2MDec 2, 2022 to Mar 3, 2023
- Individual RAUM · $70.4M to $68.4MDec 2, 2022 to Mar 3, 2023
- Non-discretionary RAUM · $137M to $140MDec 2, 2022 to Mar 3, 2023
- RAUM · $137M to $140MDec 2, 2022 to Mar 3, 2023
- Accounts · 0 to 693Sep 29, 2022 to Dec 2, 2022
- Advisory employees · 1 to 2Sep 29, 2022 to Dec 2, 2022
- HNW clients · 0 to 43Sep 29, 2022 to Dec 2, 2022
- Individual clients · 0 to 160Sep 29, 2022 to Dec 2, 2022
- Employees · 1 to 4Sep 29, 2022 to Dec 2, 2022
- Insurance-licensed employees · 1 to 0Sep 29, 2022 to Dec 2, 2022
- State-registered IARs · 1 to 2Sep 29, 2022 to Dec 2, 2022
- HNW RAUM · $0 to $66.5MSep 29, 2022 to Dec 2, 2022
- Individual RAUM · $0 to $70.4MSep 29, 2022 to Dec 2, 2022
Signals
2 dated events
- 2 advisors left S••••••• F•••• A••••••• (Portland, OR) for P••• W••••• A•••••••• I••• on the same dayNov 16, 2022 · Team lift-out · derived
- P••• W••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Jul 18, 2022 · ria f•••• adv filing · 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
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 3605587058reportedpublic record, Form ADV, Apr 20, 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
- $73.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026