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

X••• F•••••••• P•••••••• L••

Independent wealth managerPortland, OregonCRD 333436SEC 801-134943websiteIAPD
Latest filing Sep 2, 2026
First filing on the tape Nov 13, 2025 · 4 filings
SEC status approved since Dec 12, 2025
RAUM
$104M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$104M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$52.2M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$104M as of Apr 27, 2026
Nov 13, 2025$100M then
HNW client RAUM$85.8M as of Apr 27, 2026
Nov 13, 2025$79.3M then
State-registered IARs (5.B.3)2 as of Apr 27, 2026
Nov 13, 20252 then
Employees (5.A)4 as of Apr 27, 2026
Nov 13, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 2, 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
  • 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
RAUM per advisor
$52.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
59derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$272,035derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 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 assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
Custody
$22.7M, 42 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$85.8M82%
  • Individuals$18.7M18%
Individual clients
67reported
HNW clients
51reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
384reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$22.7M for 42 clientsreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•••• B•••••• H•••••Certified Financial PlannerPortland, OrNov 7, 202413 y1
D••••• B•••• W••••••Certified Financial PlannerPortland, Or Nov 7, 202411 y3
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 headcount1 left over 36 months
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
    • H•••••• J••••• B•••••• · Partner, Chief Compliance Officer, Membercontrol
      since 09/2024 · owns 50% to 75%
    • W••••••• D•••••• B•••• · Partner, Membercontrol
      since 09/2024 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Portland, Or · principal200
    Columbus, Oh000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Financial planning clients · 101-250 to 101-250
      Apr 27, 2026 to Sep 2, 2026
    • Related adviser · false to unset
      Apr 27, 2026 to Sep 2, 2026
    • Related bank · false to unset
      Apr 27, 2026 to Sep 2, 2026
    • Related broker-dealer · false to unset
      Apr 27, 2026 to Sep 2, 2026
    • Related insurance company · false to unset
      Apr 27, 2026 to Sep 2, 2026
    • Succession · false to unset
      Apr 27, 2026 to Sep 2, 2026
    • Accounts · 411 to 384
      Nov 13, 2025 to Feb 13, 2026
    • HNW clients · 49 to 51
      Nov 13, 2025 to Feb 13, 2026
    • Individual clients · 71 to 67
      Nov 13, 2025 to Feb 13, 2026
    • Assets in custody · unset to 22739404.0
      Nov 13, 2025 to Feb 13, 2026
    • Custody of client assets · false to true
      Nov 13, 2025 to Feb 13, 2026
    • Discretionary RAUM · $100M to $104M
      Nov 13, 2025 to Feb 13, 2026
    • HNW RAUM · $79.3M to $85.8M
      Nov 13, 2025 to Feb 13, 2026
    • Individual RAUM · $21.0M to $18.7M
      Nov 13, 2025 to Feb 13, 2026
    • RAUM · $100M to $104M
      Nov 13, 2025 to Feb 13, 2026
    Signals
    2 dated events
    • J••••• C••••••• D••••••••• left X••• F•••••••• P•••••••• L•• for G••• F•••••••• P••••••• L•• (registered 2025-11-14)
      Aug 15, 2025 · Advisor changed firm · fact
    • 2 advisors left E••• F•••••••• (Portland, OR) for X••• F•••••••• P•••••••• L•• on the same day
      Jan 22, 2025 · Team lift-out · derived
    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/xena-financial-planningreportedpublic record, Form ADV, Sep 18, 2026
    Website
    x•••••.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    (503) 714-7357reportedpublic record, Form ADV, Sep 2, 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
    $52.2Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026