DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

W••••••••• F•••••••• S•••••••• L••

CRD 116749

NORFOLK, VA

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Search this name across graphsid dfx:ria:283abbd8-203e-0e25-515f-44f3fa4f84b9

Data as of Feb 27, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Feb 24, 2012 to Feb 27, 2018
13 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $537M••• Locked
Discretionary RAUM: $537M
Private client RAUM: $526Mderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• J••••••• S•••••	Manager	C	yes	01/2001	Feb 24, 2012	Feb 27, 2018
D••••••• P•••• G•••••	Owner	B	yes	01/2001	Feb 24, 2012	Feb 27, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W•••• E•••••• • C••••••••• P•••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$537M	$467M	15.0%	$417M	8.8%	8	8	0	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
B••••••••• S•••••••• W•••••• L••	3	Apr 19, 2018	Apr 19, 2018	NORFOLK, VA	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (5)

← C••••••••• J••••••• S•••••OwnerMANAGER, ownership code C, individual
Feb 24, 2012 to presentfactForm ADV
← E••••••• M•••••• A•••OwnerSECRETARY, TREASURER, ownership code B, individual
Feb 24, 2012 to presentfactForm ADV
← F••••••• C•••••• A••OwnerVICE PRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code B, individual
Feb 24, 2012 to presentfactForm ADV
← W•••• A••••• A•OwnerVICE PRESIDENT, ownership code B, individual
Feb 24, 2012 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:283abbd8-203e-0e25-515f-44f3fa4f84b9
First observed: Feb 24, 2012
Last observed: Feb 27, 2018 104 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.