DFX Intelligence

H• B•••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

H• B•••• I•••

CRD 1763

ROCKVILLE, MD

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1bf008b5-f577-f2d1-c3d8-39440ebf6888

Data as of Mar 25, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 665
Dated events: 7
On other graphs: 1
Observed: Mar 5, 2012 to Mar 25, 2021
43 observations

Across DFX

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

Allocatorsidentity

H• B••• I••

Investment consultant · key crd, shared crd

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $2.0B••• Locked
Discretionary RAUM: $421M
Private client RAUM: $1.9Bderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 406

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• J•••• R•	EXECUTIVE VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	Na	yes	02/2018	Feb 28, 2018	Mar 25, 2021
B••••• M••••••• A•••	President	Na	yes	01/2018	Jan 5, 2018	Mar 25, 2021

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
K••••• A••••••• S•••••••• L••	n/a	Bd affiliated wealth	$80B	N	yes	n/a
K••••• P•••••• W••••• S•••••••• L••	n/a	Bd affiliated wealth	$13B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
ST. L•••• PARK	Mn	United States	9	yes
ELM G••••	Wi	United States	7	yes
Gaithersburg	Md	United States	5	yes
Rockville	Md	United States	5	yes
LONG BEACH	CA	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$2.0B	$1.6B	27.5%	$1.4B	12.8%	406	614	237	343

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A•••• W••••• M••••••••• L••	4	Apr 1, 2021	Dec 6, 2012	ELM G••••, WI	Team lift out	Ibd to RIA	1.4%
V••••• F•••••••• G••••	4	Mar 31, 2021	Apr 15, 2021

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
B••• F•••••••• S••••••••• I•••	2	Sep 19, 2024	Jun 17, 2016	GREENSBORO, NC	Team lift out	Other	100.0%
U•• F•••••••• S••••••••• L••	2	Dec 1, 2020	Dec 1, 2020

Relationships

showing 80 of 665

Affiliated with (24)

← L•• F•••••••• L••Registered adviserbroker-dealer, common control
factForm ADV
← G•••••••• A•••••••• L••Registered adviserbroker-dealer, common control
factForm ADV
← L•• E••••••••• L••Registered adviserbroker-dealer, common control
factForm ADV
← C•••••• P••••••• A••••••• L••Registered adviserbroker-dealer, common control

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 19, 2024
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Mar 25, 2021
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$427M
Occurred
Mar 31, 2020
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 31, 2020

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1bf008b5-f577-f2d1-c3d8-39440ebf6888
First observed: Mar 5, 2012
Last observed: Mar 25, 2021 66 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.

Owns (14)

← P•••• J•••• L•••OwnerOFFICER, ownership code NA, individual
Dec 5, 2017 to presentfactForm ADV
← B••••••• J••• V••OwnerASSISTANT VICE PRESIDENT, ownership code NA, individual
Oct 10, 2018 to presentfactForm ADV
← V••••••••• J••• P••••••OwnerOFFICER, ownership code NA, individual
Dec 5, 2017 to presentfactForm ADV
← W••••••• S••••• R••••OwnerVICE PRESIDENT, BROKER DEALER COMPLIANCE, ownership code NA, individual
Mar 31, 2020 to presentfactForm ADV
← N••••••• R••••• B••••OwnerOFFICER, ownership code NA, individual
Dec 5, 2017 to presentfactForm ADV
← E••••• R••••• J••••OwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Mar 25, 2021 to presentfactForm ADV
← J•••• C••••••• A••••••OwnerPRINCIPAL TRADER, ownership code NA, individual
Jun 21, 2013 to presentfactForm ADV
← Y••• Y••OwnerASSISTANT SECRETARY, ownership code NA, individual
Oct 10, 2018 to presentfactForm ADV
← R••••••• C••••••••• R•••OwnerSENIOR VICE PRESIDENT & SALES SUPPORT, ownership code NA, individual
Oct 10, 2018 to presentfactForm ADV
← S••••• B•••• W•••• J•OwnerVICE PRESIDENT, INVESTMENT A••••••Y, ownership code NA, individual
Mar 8, 2019 to presentfactForm ADV
← K••••• A•••••• S••••••• H•••••• A• I•••OwnerOWNER, ownership code E, domestic entity
Oct 10, 2018 to presentfactForm ADV
← K••••• A•••••• S••••••• H•••••• B• I•••OwnerOWNER, ownership code E, domestic entity
Oct 10, 2018 to presentfactForm ADV
← K••••• A•••••• S••••••• H•••••• C• I•••OwnerOWNER, ownership code E, domestic entity
Oct 10, 2018 to presentfactForm ADV
← K••••••••• H•••••• G•• L••OwnerGENERAL PARTNER, ownership code F, domestic entity
Jul 3, 2019 to presentfactForm ADV