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InvestorTrustHub · Oregon

Oregon Investment Adviser Intelligence

The Oregon Division of Financial Regulation (DFR) regulates securities registration and related actors. This page organizes separate research lenses from accepted IAPD compilations and official Oregon DFR paths. It does not rank advisers, score firms, or publish a Trust Score. An Oregon principal office is not Oregon state registration. Oregon registration is not SEC registration. Firm is not individual. Notice filing is not state IA. ERA is not an RIA.

We organize the evidence. You decide.

Research Oregon-headquartered SEC/IARD firmsVerify on IAPD

State of the record

Universe · Current · State ERA · Notice · As-of

167

Universe

SEC/IARD roster firms with an Oregon principal office. Not the state-RIA roster.

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Source. SEC IARD firm compilation / reconciled roster geography

Source date. 2026-08-27

Coverage. National roster overlay

Grain. SEC IARD roster firm with principal-office region = OR

Calculation. COUNT of roster firms with principal-office region OR = 167. Raw compilation MainAddr=@State=OR = 165 is a different extract.

Caveat. This is the national SEC/IARD roster overlay for firms that report an Oregon principal office on the reconciled 23,622-firm geography table (OR = 167). It is not the Oregon state-registered adviser universe, not a federal-covered notice-filing count, and not proof of current Oregon DFR authority. OREGON PRINCIPAL OFFICE != OREGON STATE REGISTRATION. These 167 firms already exist in the federal graph and are not net-new organizations. The raw 2026-09-10 compilation MainAddr=@State=OR count is a different extract (165) and is not this overlay.

335

Current

Oregon state-registered investment-adviser firms (IAPD state compilation, APPROVED).

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Source. https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_FIRM_STATE_Feed_09_10_2026.xml.gz

Source date. 2026-09-10

Coverage. ACQUIRED_IAPD_STATE_COMPILATION

Grain. state-registered investment adviser firm; registration jurisdiction = OR

Calculation. 340 Oregon StateRgstn rows; 340 distinct firm CRDs; 335 APPROVED; 5 TERMREQUEST. Filter is Rgltr/@Cd=OR, not address.

Caveat. IAPD state compilation firms with Oregon as the registration jurisdiction and status APPROVED. This is IARD-derived state registration evidence. The DFR current download uses Oregon license numbers (IA-xxxx), not firm CRDs, and mixes DFCS-jurisdiction and SEC-jurisdiction rows. IAPD approved state IA is not that DFR download, not an SEC RIA count, not a federal-covered notice-filing count, not an ERA count, and not the 167 principal-office overlay. Duplicate/multi-jurisdiction rows were collapsed to distinct firm CRD. State-only CRDs were not minted as public SEC firm profiles.

26

State ERA

Oregon state ERA reporting firms. ERA is not an RIA.

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Source. IA_FIRM_STATE_Feed_09_10_2026

Source date. 2026-09-10

Coverage. ACQUIRED_IAPD_STATE_COMPILATION

Grain. Oregon state ERA reporting firm; ERA/Rgltr/@Cd=OR; distinct firm CRD

Calculation. 26 registration rows; 26 distinct firm CRDs; 26 ACTIVE; overlap with Oregon state IA = 0.

Caveat. State ERA reporting is not an Oregon state RIA and is not an SEC RIA. Overlap with state IA is zero in this extract.

2,262

Notice

SEC/IARD firms with an Oregon notice filing. Not state-RIA licensure.

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Source. IA_FIRM_SEC_Feed_09_10_2026

Source date. 2026-09-10

Coverage. ACQUIRED_IAPD_SEC_COMPILATION

Grain. NoticeFiled/States/@RgltrCd=OR and status FILED

Calculation. 2262 notice rows; 2262 distinct CRDs with status FILED. Overlap with approved state IA = 3.

Caveat. Federal-covered / notice-filed is not Oregon state-RIA licensure. Notice-filed is not the 167 principal-office overlay. An Oregon principal office does not prove a current notice filing.

2026-08-27

As-of

IAPD compilations IA_FIRM_SEC_Feed_08_27_2026 (reconciled V1 roster geography). Retrieval time is not sourceAsOf.

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Source. Committed OR-INV-001 public snapshot

Source date. 2026-09-16

Coverage. Deterministic generator

Grain. snapshot

Calculation. Fingerprint c14319b60b458f87…

Caveat. Numbers on this page must match the generated snapshot. Retrieval time is not sourceAsOf.

Oregon DFR registration context

In general, investment advisers and firms operating in Oregon must be licensed, subject to federal/state thresholds, exemptions, and notice-filing rules. A firm managing less than $100 million with an Oregon location generally licenses with DFR; federally covered advisers notice-file. This page is research evidence, not legal advice about whether a specific firm was required to register. Verify the current official record.

Always verify current official records. This is not legal advice and does not determine whether any particular adviser must register.

Current verification paths

Current firm status comes from accepted IAPD/SEC data or official current IAPD, BrokerCheck, or Oregon DFR guidance. Interactive search was not enumerated. Search-only is not zero.

Oregon DFR enforcement research path

Acquired 431 DFR document rows / 394 distinct S- case numbers from the official AdminOrders list. S- is the source-native securities case prefix. Document rows are not unique matters. This is mixed Oregon securities administrative activity (issuers, sales, unlicensed activity, advisers, individuals) and is not an investment-adviser disciplinary census. All DFR insurance/mortgage/nondepository folders were excluded by the S- filter. No PDFs were downloaded. No exact CRD profile attachments. Name-only is unsafe. Eight document titles mention CRD text and remain REVIEW_REQUIRED. Complete Oregon IA-discipline count is UNKNOWN. Missing is not zero. No order found is not a clean history. Proposed is not final. Consent is not an admission unless the source says so.

Coverage: ACQUIRED_CURRENT_SNAPSHOT. Complete DFR regulatory-activity count is unknown — not zero. This ticket attached 0 exact CRD records and opened 0 PDFs; those are execution counts, not a DFR action census. Name-only is unsafe. No action found is not a clean record.

Oregon DFR Administrative Actions

What this page does not mean

  • 26 Oregon state ERA reporting firms are a separate source-defined class from the 335 approved Oregon state-registered IA firms. ERA is not an RIA.
  • It does not say Oregon has one investment-adviser total.
  • Portland and Multnomah County are not InvestorTrustHub routes.
  • RAUM is not performance. Complaint is not a violation. DFR action is not an IA disciplinary census.
  • Search-only is not zero. No Trust Score. No ranking.