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
N••••••••
Legal name N•••••••• C•••••• M••••••••• L••
Latest filing Jun 15, 2026
First filing on the tape Feb 27, 2023 · 14 filings
SEC status approved since Mar 29, 2023
RAUM
$199M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
10%
$20.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$199M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$199M as of Jun 15, 2026
Mar 15, 2024$161M then
HNW client RAUM$1.0M as of Mar 30, 2025
Mar 15, 2024$1.1M then
State-registered IARs (5.B.3)1 as of Jun 15, 2026
Mar 15, 20242 then
Employees (5.A)1 as of Jun 15, 2026
Mar 15, 20242 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jun 15, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $199MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 81%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$161M81%
- Individuals$20.5M10%
- Pooled investment vehicles$17.7M8.9%
- Individual clients
- 176reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 190reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.1 fund_share=0.09 institutional_share=0.81 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• P••••• A•••• S•••••••• | Lake Oswego, Or | Apr 27, 2023 | 24 y | 3 |
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
- J•••••• P••••• A•••• S•••••••• from F•••••••• A•••••••• I••••••••• M•••••••••Apr 27, 2023 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• J••••••• P••••• A•••• · Principal, Chief Compliance Officercontrolsince 02/2023 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 192 to 190Mar 30, 2025 to Mar 18, 2026
- Corporate clients · 13.0 to unsetMar 30, 2025 to Mar 18, 2026
- Individual clients · 177 to 176Mar 30, 2025 to Mar 18, 2026
- Pooled vehicle clients · unset to 5.0Mar 30, 2025 to Mar 18, 2026
- Financial planning clients · 0 to 11-25Mar 30, 2025 to Mar 18, 2026
- Discretionary RAUM · $174M to $199MMar 30, 2025 to Mar 18, 2026
- HNW RAUM · 1032440.0 to unsetMar 30, 2025 to Mar 18, 2026
- Individual RAUM · $15.8M to $20.5MMar 30, 2025 to Mar 18, 2026
- Pension RAUM · unset to 161101608.0Mar 30, 2025 to Mar 18, 2026
- Pooled vehicle RAUM · unset to 17749671.0Mar 30, 2025 to Mar 18, 2026
- RAUM · $174M to $199MMar 30, 2025 to Mar 18, 2026
- Accounts · 93 to 192Nov 27, 2024 to Mar 30, 2025
- Advisory employees · 2 to 1Nov 27, 2024 to Mar 30, 2025
- Corporate clients · 12 to 13Nov 27, 2024 to Mar 30, 2025
- Individual clients · 80 to 177Nov 27, 2024 to Mar 30, 2025
- Employees · 2 to 1Nov 27, 2024 to Mar 30, 2025
- Financial planning clients · 0 to 0Nov 27, 2024 to Mar 30, 2025
- HQ city · PORTLAND to Nov 27, 2024 to Mar 30, 2025
- HQ state · OR to Nov 27, 2024 to Mar 30, 2025
- State-registered IARs · 2 to 1Nov 27, 2024 to Mar 30, 2025
- Other offices · 1 to 0Nov 27, 2024 to Mar 30, 2025
- Discretionary RAUM · $161M to $174MNov 27, 2024 to Mar 30, 2025
- HNW RAUM · $1.1M to $1.0MNov 27, 2024 to Mar 30, 2025
- Individual RAUM · $16.3M to $15.8MNov 27, 2024 to Mar 30, 2025
- RAUM · $161M to $174MNov 27, 2024 to Mar 30, 2025
- Accounts · 106 to 93Mar 4, 2024 to Mar 15, 2024
- Corporate clients · unset to 12.0Mar 4, 2024 to Mar 15, 2024
- Individual clients · 95 to 80Mar 4, 2024 to Mar 15, 2024
- Pension plan clients · 11.0 to unsetMar 4, 2024 to Mar 15, 2024
- Discretionary RAUM · $117M to $161MMar 4, 2024 to Mar 15, 2024
- HNW RAUM · unset to 1100000.0Mar 4, 2024 to Mar 15, 2024
- Individual RAUM · $11.5M to $16.3MMar 4, 2024 to Mar 15, 2024
- Pension RAUM · 105189245.0 to unsetMar 4, 2024 to Mar 15, 2024
- RAUM · $117M to $161MMar 4, 2024 to Mar 15, 2024
- Accounts · unset to 106.0May 24, 2023 to Jun 5, 2023
- Individual clients · unset to 95.0May 24, 2023 to Jun 5, 2023
- Pension plan clients · unset to 11.0May 24, 2023 to Jun 5, 2023
- Discretionary RAUM · unset to 116655803.0May 24, 2023 to Jun 5, 2023
- Individual RAUM · unset to 11466558.0May 24, 2023 to Jun 5, 2023
- Non-discretionary RAUM · unset to 0.0May 24, 2023 to Jun 5, 2023
Signals
4 dated events
- Joseph R••• C•••••• (Principal) no longer on Schedule A of Naviquant (listed 2024-03-18, absent 2024-11-27)Nov 27, 2024 · Control person left · inference
- R••• C•••••• (Principal) appeared on Schedule A of NaviquantMar 15, 2024 · Control person joined · fact
- R••• C•••••• (Principal) no longer on Schedule A of Naviquant (listed 2023-06-05, absent 2023-12-22)Dec 22, 2023 · Control person left · inference
- Naviquant filed its initial SEC registration (Form ADV)Feb 27, 2023 · 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
- Firm profile
- linkedin.com/company/naviquant/aboutreportedpublic record, Form ADV, Sep 19, 2026
- Website
- n••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (503) 476-7811reportedpublic record, Form ADV, Jun 15, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $199Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026