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••••• M•••••••••

Independent wealth managerCRD 336780SEC 801-133871IAPD
Legal name H•••• W••••• M••••••••• I••
Latest filing Aug 28, 2026
First filing on the tape Aug 11, 2025 · 5 filings
SEC status 120-day approval since Aug 22, 2025
RAUM
$124M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$122M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$124M
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
5 filings and snapshots on the tape
RAUM$124M as of Aug 28, 2026
Aug 11, 2025$0 then
HNW client RAUM: $93.3M
State-registered IARs (5.B.3)1 as of Aug 28, 2026
Aug 11, 20251 then
Employees (5.A)1 as of Aug 28, 2026
Aug 11, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 28, 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$124MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
60derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.4MderivedHNW RAUM over HNW clients
Average account
$662,890derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
1.5%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
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, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$93.3M75%
  • Individuals$28.7M23%
  • Pension and profit-sharing plans$1.8M1.5%
  • Other investment advisers$201,0760.2%
Individual clients
39reported
HNW clients
21reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
187reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C•••••••• L••••••• W••••••Certified Financial PlannerEugene, OrAug 22, 202525 y4
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    No Schedule A on the extract for this adviser.
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 0 to 187
      Jul 29, 2026 to Aug 28, 2026
    • HNW clients · unset to 21.0
      Jul 29, 2026 to Aug 28, 2026
    • Individual clients · unset to 39.0
      Jul 29, 2026 to Aug 28, 2026
    • Discretionary RAUM · $0 to $123M
      Jul 29, 2026 to Aug 28, 2026
    • HNW RAUM · unset to 93271826.0
      Jul 29, 2026 to Aug 28, 2026
    • Individual RAUM · unset to 28669153.0
      Jul 29, 2026 to Aug 28, 2026
    • Non-discretionary RAUM · $0 to $782,117
      Jul 29, 2026 to Aug 28, 2026
    • Pension RAUM · unset to 1818428.0
      Jul 29, 2026 to Aug 28, 2026
    • RAUM · $0 to $124M
      Jul 29, 2026 to Aug 28, 2026
    • Advisory activities · 2 to 3
      Dec 17, 2025 to Feb 18, 2026
    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
    Principal office phone
    (541) 200-0975reportedpublic record, Form ADV, Aug 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
    $124Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026