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
R••••• F•••••••• G••••• L••
Latest filing Apr 28, 2026
First filing on the tape Apr 2, 2025 · 7 filings
SEC status approved since Apr 7, 2025
RAUM
$109M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$109M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$54.3M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$109M as of Apr 28, 2026
Apr 2, 2025$0 then
HNW client RAUM$36.0M as of Apr 28, 2026
Jun 6, 2025$32.0M then
State-registered IARs (5.B.3)2 as of Apr 28, 2026
Apr 2, 20251 then
Employees (5.A)3 as of Apr 28, 2026
Apr 2, 20252 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 2offices 0 to 1
Practice profile
derived from the filing of Apr 28, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $54.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 127derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $163,922derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 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
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $46.1M, 113 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$72.6M67%
- High-net-worth individuals$36.0M33%
- Charitable organizations$42,3040.0%
- Individual clients
- 234reported
- HNW clients
- 20reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 663reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $46.1M for 113 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• A• W••••• | Tigard, Or | Apr 7, 2025 | 12 y | 6 |
| M•••• A••••• C••••••• | Tigard, Or | Oct 20, 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
- T••••• A• W••••• from D•• A•••••• G••••• I•••Apr 7, 2025 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• A•••••••• C••••• · Chief Compliance Officercontrolsince 05/2026 · owns less than 5%
- W•••••• T•••••• A• · Managing Membercontrolsince 03/2025 · owns less than 5%
Entity owners
- R••••• F•••••••• G••••• L•• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Tigard, Or · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 565 to 663Feb 6, 2026 to Mar 6, 2026
- Advisory employees · 1 to 2Feb 6, 2026 to Mar 6, 2026
- HNW clients · 19 to 20Feb 6, 2026 to Mar 6, 2026
- Individual clients · 238 to 234Feb 6, 2026 to Mar 6, 2026
- Assets in custody · unset to 46062462.0Feb 6, 2026 to Mar 6, 2026
- Custody of client assets · false to trueFeb 6, 2026 to Mar 6, 2026
- Employees · 2 to 3Feb 6, 2026 to Mar 6, 2026
- Insurance-licensed employees · 1 to 0Feb 6, 2026 to Mar 6, 2026
- State-registered IARs · 1 to 2Feb 6, 2026 to Mar 6, 2026
- Other offices · 0 to 1Feb 6, 2026 to Mar 6, 2026
- Discretionary RAUM · $100M to $109MFeb 6, 2026 to Mar 6, 2026
- HNW RAUM · $32.0M to $36.0MFeb 6, 2026 to Mar 6, 2026
- Individual RAUM · $68.3M to $72.6MFeb 6, 2026 to Mar 6, 2026
- RAUM · $100M to $109MFeb 6, 2026 to Mar 6, 2026
- Financial planning clients · 0 to 0Jun 6, 2025 to Oct 2, 2025
- Accounts · 0 to 565May 8, 2025 to Jun 6, 2025
- HNW clients · unset to 19.0May 8, 2025 to Jun 6, 2025
- Individual clients · unset to 238.0May 8, 2025 to Jun 6, 2025
- Financial planning clients · unset to 0May 8, 2025 to Jun 6, 2025
- Discretionary RAUM · $0 to $100MMay 8, 2025 to Jun 6, 2025
- HNW RAUM · unset to 32020079.0May 8, 2025 to Jun 6, 2025
- Individual RAUM · unset to 68335751.0May 8, 2025 to Jun 6, 2025
- RAUM · $0 to $100MMay 8, 2025 to Jun 6, 2025
Signals
No event on the tape.
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
- rootedfinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 503-207-2067reportedpublic record, Form ADV, Apr 28, 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
- $54.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026