DFX Intelligence

T••••• C•••••• M••••••••• 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••••• C•••••• M••••••••• L••

CRD 113543

HUNT VALLEY, MD

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Data as of Apr 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 5
On other graphs: 0
Observed: Mar 14, 2012 to Apr 13, 2026
28 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=0.93 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $464M••• Locked
Discretionary RAUM: $464M
Private client RAUM: $432Mderived••• Locked
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $92.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
E••• P••• S•••••	n/a	Hunt Valley, MD \| DENVER, CO \| HUNT VALLEY, MD	3	34	1	no
C•••••• A•••• M••••	Chartered Financial Analyst	Hunt Valley, MD \| HUNT VALLEY, MD \| DENVER, CO	3	27

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••• C••••••• A••••	PRESIDENT / CHIEF COMPLIANCE OFFICER	D	yes	11/2013	Feb 24, 2014	Mar 21, 2024
M•••••• J•••• S••••	Partner	B	yes	02/2004	Mar 14, 2012	Mar 21, 2024

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	$464M	$810M	-42.7%	$730M	-14.0%	9	9	0	0

Relationships

Registered with (8)

← E••• P••• S•••••Advisorregistration: previous registration
Jun 12, 2001 to Dec 31, 2022factForm ADV
← C•••••• A•••• M••••Advisorregistration: previous registration
Jan 15, 2014 to Dec 31, 2022factForm ADV
← R•••• S•••• R••••Advisorregistration: previous registration
Jun 2, 2015 to Dec 31, 2022factForm ADV
← J••• S•••• M•••••

Dated events

Order

Occurred
13 Apr 2026
Ria majority owner change
••• Locked
Form ADV
Occurred
13 Apr 2026
Ria ownership band change3 events
T••••• C•••••• M••••••••• L••: ria ownership band change, 3 events, on 13 Apr 2026
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
27 Mar 2026
Regulatory AUM changed
••• Locked
Form ADV
$-346M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 14, 2012
Last observed: Apr 13, 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.

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Feb 23, 2016	$845M	$757M	13	8	n/a	n/a	n/a
2014	Mar 25, 2015	$961M	$926M	13	8	n/a	n/a	n/a
2013	Feb 24, 2014	$835M	$835M	13	8	n/a	n/a	n/a
2012	Mar 26, 2013	$746M	$746M	11	7	n/a	n/a	n/a
2011	Mar 14, 2012	$723M	$723M	n/a	n/a	n/a	n/a	n/a