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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 1b 10b

R••••••• C•••••• M••••••••• I••

CRD 104636

R•••••••, VA

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Search this name across graphsid dfx:ria:4410dfc7-17ef-ab07-f596-7852f7c1d2ce

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 2
On other graphs: 2
Observed: Mar 28, 2012 to Mar 26, 2026
22 observations

Across DFX

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

Independent Sponsorsidentity

R••••••• C•••••• M••••••••• I••

Capital provider to sponsors · shared crd

Private Creditidentity

R••••••• C•••••• M••••••••• I••

Private credit manager · shared crd

Facts

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

Firm class: other adviserderivedprivate_client_share=0.02 fund_share=0.32 institutional_share=0.53 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $5.9BItem 5.F on the latest filing (2026-03-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $5.9B
Private client RAUM: $114MderivedItem 5.D individuals plus high net worth individuals
Private client share: 2%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 9
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
E•••••••• M•••••••• H•••••	n/a	R•••••••, VA	27	42	n/a	no
H••••• K•••• B••	Chartered Financial Analyst	R•••••••, VA	26	41

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P•••••• B••• F•••• L••	Other Private Fund	$1.0B	Mar 19, 2024	52	Mar 28, 2012	reported	021-445933
R•• C••••••••• M•• O••••••••• F•••• L•••	Other Private Fund	$137M

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• B•••• L•••	MANAGING DIRECTOR	A	yes	02/2007	Mar 28, 2012	Mar 19, 2024
B••• H•••••• K••••	President	B	yes	12/2012	Mar 28, 2012

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$5.9B	$6.1B	-3.3%	$5.4B	3.3%	20	20	0	0

Relationships

Registered with (9)

← L••• C••••••••Advisorregistration: current employment
Sep 3, 2025 to presentfactForm ADV
← S•••••• M••• R•••Advisorregistration: current employment
Aug 20, 2021 to presentfactForm ADV
← N••••••• T••• S••••••Advisorregistration: current employment
Jun 25, 2021 to presentfactForm ADV
← J••• R••••••• S••••

Dated events

Occurred
Jun 27, 2022
Control person left
Harold William Schultz (Managing Director) no longer on Schedule A of R••••••• C•••••• M••••••••• I•• (listed 2022-03-31, absent 2022-06-27)
Form ADVobserved 7 days ago
Occurred
Mar 20, 2019
Control person left
Jackson M••• Walker (Managing Director) no longer on Schedule A of R••••••• C•••••• M••••••••• I•• (listed 2018-01-29, absent 2019-03-20)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4410dfc7-17ef-ab07-f596-7852f7c1d2ce
First observed: Mar 28, 2012
Last observed: Mar 26, 2026 6 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.

2025	Mar 26, 2026	$5.9B	$5.9B	20	10	0	2	n/a
2024	Mar 24, 2025	$6.1B	$6.1B	20	10	0	2	n/a
2023	Mar 19, 2024	$5.6B	$5.5B	21	10	0	2	$1.1B
2022	Mar 24, 2023	$5.4B	$5.4B	21	10	0	2	$573M
2021	Mar 31, 2022	$6.6B	$6.6B	21	10	0	n/a	n/a
2020	Mar 30, 2021	$6.5B	$6.5B	19	11	0	n/a	n/a
2019	Apr 27, 2020	$6.2B	$6.2B	17	9	0	n/a	n/a
2018	Mar 20, 2019	$5.5B	$5.5B	17	9	0	n/a	n/a
2017	Jan 29, 2018	$6.3B	$6.2B	16	9	0	n/a	n/a
2016	Mar 17, 2017	$5.7B	$5.7B	15	8	n/a	n/a	n/a
2015	May 4, 2016	$5.8B	$5.7B	15	8	n/a	n/a	n/a
2014	Mar 23, 2015	$5.8B	$5.8B	16	8	n/a	n/a	n/a
2013	Mar 25, 2014	$5.8B	$5.8B	16	8	n/a	n/a	n/a
2012	Feb 5, 2013	$6.1B	$6.1B	16	8	n/a	n/a	n/a
2011	Mar 28, 2012	$5.5B	$5.5B	n/a	n/a	n/a	n/a	n/a