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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Former SEC-registered adviser

N•••••••• I••••••••• C•••••••••

Former SEC-registered adviserLake Oswego, OregonCRD 327970SEC 801-128752websiteIAPD
Legal name N•••••••• I••••••••• C••••••••• L••
Latest filing Nov 11, 2024
First filing on the tape Aug 18, 2023 · 7 filings
SEC status approved since Sep 19, 2023
RAUM
$592M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$577M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$592M as of Nov 11, 2024
Aug 18, 2023$570M then
HNW client RAUM$167M as of Nov 11, 2024
Aug 18, 2023$162M then
State-registered IARs (5.B.3)5 as of Nov 11, 2024
Aug 18, 20235 then
Employees (5.A)7 as of Nov 11, 2024
Aug 18, 20237 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Nov 11, 2024; every figure names its basis
RAUM per advisor
$118MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
65derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$8.8MderivedHNW RAUM over HNW clients
Average account
$667,946derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$131M, 121 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$410M69%
  • High-net-worth individuals$167M28%
  • Charitable organizations$8.4M1.4%
  • Pension and profit-sharing plans$6.3M1.1%
Individual clients
308reported
HNW clients
19reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
886reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$131M for 121 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • G•••••• M•••••••• C•••••• · Relationship Managercontrol
    since 11/2013 · owns 10% to 25%
  • R••••• M••••••• J••• N•••• · Chief Compliance Officercontrol
    since 05/1998 · owns 25% to 50%
  • S•••••••• M•••• E••••• · Membercontrol
    since 05/1998 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Lake Oswego, Or · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 338 to 886
    Nov 6, 2023 to Feb 8, 2024
  • HNW clients · 20 to 19
    Nov 6, 2023 to Feb 8, 2024
  • Individual clients · 313 to 308
    Nov 6, 2023 to Feb 8, 2024
  • Assets in custody · $110M to $131M
    Nov 6, 2023 to Feb 8, 2024
  • Discretionary RAUM · $568M to $590M
    Nov 6, 2023 to Feb 8, 2024
  • HNW RAUM · $162M to $167M
    Nov 6, 2023 to Feb 8, 2024
  • Individual RAUM · $398M to $410M
    Nov 6, 2023 to Feb 8, 2024
  • Non-discretionary RAUM · $1.5M to $1.6M
    Nov 6, 2023 to Feb 8, 2024
  • Pension RAUM · $3.5M to $6.3M
    Nov 6, 2023 to Feb 8, 2024
  • RAUM · $570M to $592M
    Nov 6, 2023 to Feb 8, 2024
  • Succession · true to false
    Aug 23, 2023 to Nov 6, 2023
  • Succession · false to true
    Aug 18, 2023 to Aug 23, 2023
Signals
11 dated events
  • N•••••••• I••••••••• C••••••••• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $591.8M)
    Feb 3, 2025 · Left the SEC roster · derived
  • M••• J••• R•••• left N•••••••• I••••••••• C••••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-01-02)
    Jan 13, 2025 · Advisor changed firm · fact
  • A•••••••• D•••• left N•••••••• I••••••••• C••••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-01-13)
    Jan 13, 2025 · Advisor changed firm · fact
  • E•••• J••• C••••• left N•••••••• I••••••••• C••••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-01-02)
    Jan 13, 2025 · Advisor changed firm · fact
  • M••• E••••• S••••••• left N•••••••• I••••••••• C••••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-01-02)
    Jan 13, 2025 · Advisor changed firm · fact
  • M••••••• C•••••• G••••• left N•••••••• I••••••••• C••••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-01-02)
    Jan 13, 2025 · Advisor changed firm · fact
  • N•••••••• I••••••••• C•••••••••'s advisors moved to W••••• E••••••••• A••••••• S•••••••• L•• (Lake Oswego, OR): 5 of 5 registered, on the same day
    Jan 13, 2025 · Firm absorbed (people side) · derived
  • N•••••••• I••••••••• C•••••••••'s advisors moved to N•••••••• I••••••••• C••••••••• (Lake Oswego, OR): 4 of 5 registered, on the same day
    Nov 20, 2023 · Firm absorbed (people side) · derived
  • Parkinson Christel Turkiewicz (Relationship Manager) no longer on Schedule A of N•••••••• I••••••••• C••••••••• (listed 2023-08-23, absent 2023-11-06)
    Nov 6, 2023 · Control person left · inference
  • N•••••••• I••••••••• C••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Aug 23, 2023 · Succession (Item 4) · fact
  • N•••••••• I••••••••• C••••••••• filed its initial SEC registration (Form ADV)
    Aug 18, 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.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026