DFX Intelligence

T••• A••• F••••• W•••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

T••• A••• F••••• W•••••• L••

CRD 174115

EASTON, MD

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Search this name across graphsid dfx:ria:0702f1ad-3185-199e-ce2f-f03904fe8f37

Data as of Aug 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 1
Observed: Nov 12, 2015 to Aug 25, 2026
20 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Family Officesidentity

T••• A••• F••••• W•••••• L••

Family office · shared crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.91 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $432M••• Locked
Discretionary RAUM: $124M
Private client RAUM: $395Mderived••• Locked
Private client share: 91%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $216Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
G••••••• P• S•••••••••	n/a	EASTON, MD	1	10	1	no
F•••••• E•••••••• S•••••	Certified Financial Planner	EASTON, MD	1	28

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•••••• F••••••• E••••••••	MANAGING MEMBER/OWNER/CHIEF COMPLIANCE OFFICER	E	yes	11/2014	Nov 12, 2015	Mar 27, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	1	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	$432M	$474M	-8.8%	$288M	14.4%	3	4	0	0

Relationships

Registered with (2)

← F•••••• E•••••••• S•••••Advisorregistration: previous registration
Mar 28, 2024 to Dec 31, 2024factForm ADV
← G••••••• P• S•••••••••Advisorregistration: current employment
Apr 11, 2025 to presentfactForm ADV

Controls (1)

← S•••••• F••••••• E••••••••OwnerMANAGING MEMBER/OWNER/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Nov 12, 2015 to Mar 27, 2024factForm ADV

Dated events

Occurred
Apr 11, 2025
Regulatory AUM changed
T••• A••• F••••• W•••••• L•• reported RAUM $473.8M, up 62% from $292.8M (2024-03-27 to 2025-04-11)
Form ADVobserved 7 days ago
$181M
Occurred
Apr 8, 2020
Regulatory AUM changed
T••• A••• F••••• W•••••• L•• reported RAUM $335.2M, up 49% from $225.4M (2019-03-29 to 2020-04-08)
Form ADVobserved 7 days ago
$110M
Occurred
Nov 12, 2015
First Form ADV filing
T••• A••• F••••• W•••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0702f1ad-3185-199e-ce2f-f03904fe8f37
First observed: Nov 12, 2015
Last observed: Aug 25, 2026 28 days 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.