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
H••••••• W••••• A•••••••• L••
Latest filing Jan 26, 2026
First filing on the tape May 14, 2024 · 8 filings
SEC status approved since Jun 13, 2024
RAUM
$189M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$188M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$62.8M
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
8 filings and snapshots on the tape
RAUM$189M as of Jan 26, 2026
Jan 24, 2025$171M then
HNW client RAUM$173M as of Jan 26, 2026
Jan 24, 2025$151M then
State-registered IARs (5.B.3)3 as of Jan 26, 2026
Jan 24, 20252 then
Employees (5.A)3 as of Jan 26, 2026
Jan 24, 20252 then
Private funds: no history
RAUM +10% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Jan 26, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $62.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $592,840derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%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
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- High-net-worth individuals$173M92%
- Individuals$15.5M8.2%
- Charitable organizations$339,0160.2%
- Individual clients
- 41reported
- HNW clients
- 69reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 318reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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 |
|---|---|---|---|---|
| J••••• J•••• S••••• | Coos Bay, Or | Aug 1, 2024 | 18 y | 3 |
| J•••• M•••••• F••••••• | Coos Bay, Or | Aug 1, 2024 | 28 y | 3 |
| J••••• K•••• F•••• | Coos Bay, Or | May 15, 2025 | 11 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
- J••••• J•••• S••••• from W•••• F•••• A•••••••Aug 1, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J•••• M•••••• F••••••• from W•••• F•••• A•••••••Aug 1, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•••• F•••• A•••••••Aug 9, 2024 · Coos Bay, Or
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••••• J••••• M•••••• · Managing Member/Investment Advisor Representative/Chief Compliance Officercontrolsince 05/2024 · owns 50% to 75%
- S•••••• J•••••• J•••• · Managing Member/Investment Advisor Representativecontrolsince 05/2024 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Coos Bay, Or · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 315 to 318May 15, 2025 to Jan 26, 2026
- HNW clients · 65 to 69May 15, 2025 to Jan 26, 2026
- Individual clients · 44 to 41May 15, 2025 to Jan 26, 2026
- Financial planning clients · 1-10 to 51-100May 15, 2025 to Jan 26, 2026
- Discretionary RAUM · $171M to $189MMay 15, 2025 to Jan 26, 2026
- HNW RAUM · $152M to $173MMay 15, 2025 to Jan 26, 2026
- Individual RAUM · $18.1M to $15.5MMay 15, 2025 to Jan 26, 2026
- RAUM · $171M to $189MMay 15, 2025 to Jan 26, 2026
- Accounts · 300 to 315Jan 24, 2025 to May 15, 2025
- Advisory employees · 2 to 3Jan 24, 2025 to May 15, 2025
- HNW clients · 62 to 65Jan 24, 2025 to May 15, 2025
- Employees · 2 to 3Jan 24, 2025 to May 15, 2025
- Financial planning clients · 1-10 to 1-10Jan 24, 2025 to May 15, 2025
- State-registered IARs · 2 to 3Jan 24, 2025 to May 15, 2025
- Discretionary RAUM · $171M to $171MJan 24, 2025 to May 15, 2025
- HNW RAUM · $151M to $152MJan 24, 2025 to May 15, 2025
- Individual RAUM · $19.7M to $18.1MJan 24, 2025 to May 15, 2025
- RAUM · $171M to $171MJan 24, 2025 to May 15, 2025
- Accounts · 212 to 300Aug 28, 2024 to Jan 24, 2025
- Charity clients · unset to 1.0Aug 28, 2024 to Jan 24, 2025
- Corporate clients · 2.0 to unsetAug 28, 2024 to Jan 24, 2025
- HNW clients · 42 to 62Aug 28, 2024 to Jan 24, 2025
- Individual clients · 34 to 44Aug 28, 2024 to Jan 24, 2025
- Financial planning clients · 0 to 1-10Aug 28, 2024 to Jan 24, 2025
- Discretionary RAUM · $131M to $171MAug 28, 2024 to Jan 24, 2025
- HNW RAUM · $119M to $151MAug 28, 2024 to Jan 24, 2025
- Individual RAUM · $11.3M to $19.7MAug 28, 2024 to Jan 24, 2025
- RAUM · $131M to $171MAug 28, 2024 to Jan 24, 2025
- Discretionary RAUM · $0 to $131MAug 9, 2024 to Aug 28, 2024
- HNW RAUM · unset to 119044682.0Aug 9, 2024 to Aug 28, 2024
- Individual RAUM · unset to 11259841.0Aug 9, 2024 to Aug 28, 2024
- RAUM · $0 to $131MAug 9, 2024 to Aug 28, 2024
- Accounts · 0 to 212Aug 9, 2024 to Aug 28, 2024
- Corporate clients · unset to 2.0Aug 9, 2024 to Aug 28, 2024
- HNW clients · unset to 42.0Aug 9, 2024 to Aug 28, 2024
- Individual clients · unset to 34.0Aug 9, 2024 to Aug 28, 2024
- Financial planning clients · unset to 0May 14, 2024 to Aug 1, 2024
Signals
2 dated events
- 2 advisors left W•••• F•••• A••••••• (Coos Bay, OR) for H••••••• W••••• A•••••••• L•• on the same dayAug 9, 2024 · Team lift-out · derived
- H••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)May 14, 2024 · 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
- 844-266-7623reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 541-266-7623reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 541-266-9173reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- h•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 541-266-7623reportedpublic record, Form ADV, Jan 26, 2026
- Contact form
- h•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- h•••••••••.comreportedpublished 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
- $62.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026