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
F•••••••• C•••••• M••••••••• L••
Latest filing Sep 5, 2026
First filing on the tape Mar 31, 2026 · 7 filings
SEC status approved since Mar 12, 2026
RAUM
$150M
reported, Item 5.F
Discretionary
3.8%
of RAUM
Private clients
100%
$150M individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$11.5M
derived; firm RAUM over IAPD count
Employees
12
10 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$150M as of Aug 13, 2026
Mar 31, 2026$5,000 then
HNW client RAUM$144M as of Aug 13, 2026
Mar 31, 2026$0 then
State-registered IARs (5.B.3)0 as of Aug 13, 2026
Mar 31, 20260 then
Employees (5.A)12 as of Aug 13, 2026
Mar 31, 20261 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 5, 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $11.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 6derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $144MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 3.8%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 13.0derived1 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- is an insurance broker or agent (6.A.6)
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$144M96%
- Individuals$5.8M3.8%
- Individual clients
- 73reported
- HNW clients
- 1reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 74reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=2.0derived
Advisors registered through the firm
13 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• W•••••• B•••••••• | New York, Ny | Mar 31, 2026 | 14 y | 0 |
| T••••• B• S•••••• | Cheyenne, Wy | Apr 6, 2026 | 32 y | 4 |
| A•••••• L••• G••••••• | Gurabo, Pr | Apr 9, 2026 | 20 y | 0 |
| P••• J••••• M••••••• | Mcminnville, Or | Apr 9, 2026 | 37 y | 5 |
| C••• R••• N•••••••• | Englewood, Co | Jun 1, 2026 | 31 y | 2 |
| X••••• G•Chartered Financial Analyst | Chciago, Il | Jun 2, 2026 | 12 y | 2 |
| D•••••••• T• W••••••• | Capital Heights , Md | Jun 4, 2026 | 10 y | 0 |
| K•••• J••••• C•••••• | Cheyenne, Wy | Jun 12, 2026 | 25 y | 7 |
| M•••••• S•• C•••••• | Cheyenne, Wy | Jun 18, 2026 | 18 y | 0 |
| A••••• D••••••• | Cheyenne, Wy | Jun 29, 2026 | 45 y | 3 |
| P••••• T••• D•••• | Naples, Fl | Jul 31, 2026 | 16 y | 0 |
| D••••• M• O••••• | Concord, Nc | Sep 3, 2026 | 13 y | 0 |
| J••••• C•••••• | Cheyenne, Wy | Sep 5, 2026 | 15 y | 1 |
Advisor movement
1 left, 8 joined in 12 months
net +7 in 12 months1 left in 90 days2 joined in 90 daysdeparture rate 7.7% of current headcount1 left over 36 months
Left, latest
- M••••• L•••••• S•••• to K••••• L••Aug 1, 2026 · RIA to a state-registered adviser
Joined, latest
- J••••• C•••••• from E•••••••• A•••••••• L••Sep 5, 2026 · Affiliated broker-dealer or bank to independent RIA
- A••••• D••••••• from N•••••Jun 29, 2026 · RIA to RIA
- K•••• J••••• C•••••• from B•••• I••••••••• A•••••••Jun 12, 2026 · Other
- X••••• G• from L•••• P•••• L••Jun 2, 2026 · Other
- C••• R••• N•••••••• from B•••••• F••••••••• L••Jun 1, 2026 · RIA to RIA
- P••• J••••• M••••••• from F•••• O•••••• L••Apr 9, 2026 · Other
- T••••• B• S•••••• from N•••••Apr 6, 2026 · RIA to RIA
- M••••• L•••••• S•••• from M•••• W••••• M•••••••••Mar 16, 2026 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• P•••• J••••• · Manager And Ccocontrolsince 01/2026 · 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 |
|---|---|---|---|---|---|
| Cheyenne, Wy · principal | 11 | 11 | 0 | ||
| Overland P•••, Ks | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Aug 13, 2026 to Sep 5, 2026
- Related adviser · false to unsetAug 13, 2026 to Sep 5, 2026
- Related bank · false to unsetAug 13, 2026 to Sep 5, 2026
- Related broker-dealer · false to unsetAug 13, 2026 to Sep 5, 2026
- Related insurance company · false to unsetAug 13, 2026 to Sep 5, 2026
- Succession · false to unsetAug 13, 2026 to Sep 5, 2026
- Accounts · 63 to 74Jun 29, 2026 to Jul 9, 2026
- Individual clients · 62 to 73Jun 29, 2026 to Jul 9, 2026
- Discretionary RAUM · $5.1M to $5.8MJun 29, 2026 to Jul 9, 2026
- Individual RAUM · $5.1M to $5.8MJun 29, 2026 to Jul 9, 2026
- RAUM · $149M to $150MJun 29, 2026 to Jul 9, 2026
- Accounts · 40 to 63May 12, 2026 to Jun 29, 2026
- Advisory employees · 6 to 10May 12, 2026 to Jun 29, 2026
- HNW clients · 27 to 1May 12, 2026 to Jun 29, 2026
- Individual clients · 13 to 62May 12, 2026 to Jun 29, 2026
- Discretionary RAUM · $5.8M to $5.1MMay 12, 2026 to Jun 29, 2026
- HNW RAUM · $46.7M to $144MMay 12, 2026 to Jun 29, 2026
- Individual RAUM · $5.8M to $5.1MMay 12, 2026 to Jun 29, 2026
- Non-discretionary RAUM · $46.7M to $144MMay 12, 2026 to Jun 29, 2026
- RAUM · $52.5M to $149MMay 12, 2026 to Jun 29, 2026
- Related adviser · true to falseMay 12, 2026 to Jun 29, 2026
- Non-discretionary RAUM · $137M to $46.7MApr 24, 2026 to May 12, 2026
- RAUM · $142M to $52.5MApr 24, 2026 to May 12, 2026
- Accounts · 1 to 40Mar 31, 2026 to Apr 24, 2026
- Advisory employees · 1 to 6Mar 31, 2026 to Apr 24, 2026
- BD registered reps · 0 to 2Mar 31, 2026 to Apr 24, 2026
- HNW clients · 0 to 27Mar 31, 2026 to Apr 24, 2026
- Individual clients · 1 to 13Mar 31, 2026 to Apr 24, 2026
- Employees · 1 to 12Mar 31, 2026 to Apr 24, 2026
- Discretionary RAUM · $5,000 to $5.8MMar 31, 2026 to Apr 24, 2026
- HNW RAUM · $0 to $46.7MMar 31, 2026 to Apr 24, 2026
- Individual RAUM · $5,000 to $5.8MMar 31, 2026 to Apr 24, 2026
- Non-discretionary RAUM · $0 to $137MMar 31, 2026 to Apr 24, 2026
- RAUM · $5,000 to $142MMar 31, 2026 to Apr 24, 2026
Signals
1 dated events
- M••••• L•••••• S•••• left F•••••••• C•••••• M••••••••• L•• for K••••• L•• (registered 2026-09-02)Aug 1, 2026 · Advisor changed firm · 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 email
- s••••••@f•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- f•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 503 515 1313reportedpublic record, Form ADV, Sep 5, 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
- $11.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026