DFX Intelligence

B••••••••• W••••• • F•••••••• 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

B••••••••• W••••• • F•••••••• M••••••••• L••

CRD 152965

BETHESDA, MD

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Search this name across graphsid dfx:ria:5d33491d-36d9-401a-575d-a1418ed0fc17

Data as of Dec 14, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Dec 14, 2017
20 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: $894M••• Locked
Discretionary RAUM: $862M
Private client RAUM: $938Mderived••• Locked
Private client share: 105%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 36

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••• F•••••••• P•••••••• L••	Member	E	yes	01/2007	Mar 30, 2012	Dec 14, 2017
F•••• O••••••••• L••	MEMBER (MANAGER)	E	yes	01/2010	Mar 30, 2012	Dec 14, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L•• A•••••••• L••	n/a	Independent wealth	$2.5B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Easton	Md	United States	2	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
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
2016	$894M	$829M	7.8%	$470M	23.9%	36	30	1	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
F•••• P••••••• W•••••• L••	9	Mar 5, 2018	Oct 10, 2024	BETHESDA, MD	Firm absorbed	Other	100.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
T••••• W••••• M•••••••••	2	Dec 31, 2015	Jan 11, 2016	EASTON, MD	Team lift out	Other	100.0%

Relationships

Affiliated with (4)

→ L•• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← C••••••• A•••••••Registered adviserother investment adviser, common control
factForm ADV
← H•••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← F••••••• F•••••••• N••••••• L••Registered adviserother investment adviser, common control

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5d33491d-36d9-401a-575d-a1418ed0fc17
First observed: Mar 30, 2012
Last observed: Dec 14, 2017 106 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.