DFX Intelligence

N••• F•••••• A•••• M••••••••• 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

N••• F•••••• A•••• M••••••••• L••

CRD 144244

VIENNA, VA

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Search this name across graphsid dfx:ria:5015fb8b-8c11-95a2-9eca-3b251ba040da

Data as of Jun 30, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 67
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Jun 30, 2016
16 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: $159M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 152
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••• M•••• F•••••	CHIEF COMPLIANCE OFFICER / AVP COMPLIANCE	Na	yes	06/2016	Jun 29, 2016	Jun 30, 2016
G•••• X•••••••• H••	Finop	Na	yes	06/2016	Jun 30, 2016	Jun 30, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N••• F•••••• B•••••••• S•••••••• L••	n/a	Bd affiliated wealth	$2.1B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Carlsbad	CA	United States	n/a	no
Pensacola	FL	United States	n/a	no
Pensacola	FL	United States	n/a	no
Vienna	Va	United States	n/a	no
VIRGINIA BEACH	Va	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 29, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$159M	$154M	3.0%	$107M	13.9%	152	129	n/a	n/a

Relationships

Affiliated with (1)

→ N••• F•••••• I••••••••• S•••••••• L••Registered adviserbroker-dealer, common control
factForm ADV

Controls (4)

← W•••• P•••••••• P••••••••OwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Jan 5, 2015 to presentfactForm ADV
← D••••••• M•••• F•••••OwnerCHIEF COMPLIANCE OFFICER / AVP COMPLIANCE, ownership code NA, individual
Jun 29, 2016 to presentfactForm ADV
← G•••• X•••••••• H••OwnerFINOP, ownership code NA, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5015fb8b-8c11-95a2-9eca-3b251ba040da
First observed: Mar 29, 2012
Last observed: Jun 30, 2016 124 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.