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F••••• N•••• F•••••• D•••••• C•••••• M••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

F••••• N•••• F•••••• D•••••• C•••••• M••••••••• I•••

CRD 140444

WASHINGTON, DC

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Search this name across graphsid dfx:ria:01659ff5-e487-3b47-0906-f5706cbe59c0

Data as of Apr 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 0
On other graphs: 0
Observed: Nov 15, 2011 to Apr 2, 2026
29 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=7.0
Regulatory AUM: $1.2B••• Locked
Discretionary RAUM: $1.2B
Private client RAUM: $1.2Bderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $404Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••• M•••••• B••••	n/a	WASHINGTON, DC	20	34	n/a	yes
N••• C••••••• F•••••	n/a	WASHINGTON, DC	20	29

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••• N•••• C•••••••	DIRECTOR, BOARD CHAIR PRESIDENT AND DIRECTOR	Na	yes	10/2020	Apr 2, 2026	Apr 2, 2026
F•••••• R••••••• S•••••	PRESIDENT, CHIEF EXECUTIVE OFFICER, CHIEF OPERATING OFFICER	Na	yes	01/2006	Apr 2, 2026	Apr 2, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F••••• N•••• F•••••• D•••••• I•••••••••	n/a	Independent wealth	$797M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.2B	$1.2B	1.1%	$1.1B	4.1%	9	7	0	0

Relationships

Affiliated with (2)

→ F••••• N•••• F•••••• D•••••• I•••••••••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← F••••• N•••• F•••••• D•••••• I•••••••••Registered adviserother investment adviser, common control
factForm ADV

Registered with (3)

← C••••••••• G•••• H•••Advisorregistration: current employment
Jun 13, 2025 to presentfactForm ADV
←

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:01659ff5-e487-3b47-0906-f5706cbe59c0
First observed: Nov 15, 2011
Last observed: Apr 2, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.