DFX Intelligence

D••••••• W••••• A•••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 1b 10b

D••••••• W••••• A•••••••

D••••••• & ASSOCIATES, INC., CRD 131976

VIENNA, VA

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Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 5
On other graphs: 0
Observed: Feb 23, 2012 to Mar 31, 2026
31 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.4B••• Locked
Discretionary RAUM: $1.4B
Private client RAUM: $1.4Bderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 9
RAUM per advisor: $160Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••••• A•••••• D••••••	Certified Financial Planner	FALLS CHURCH, VA \| VIENNA, VA	21	35	1	no
J••••••• D••••••• V•••••••••	Certified Financial Planner	FALLS CHURCH, VA \| VIENNA, VA	21	24

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E•••••••• A•••••• T•••	SHAREHOLDER, TREASURER, SECRETARY	C	yes	02/2023	Mar 31, 2026	Mar 31, 2026
M•••• J•••••• L•••	SHAREHOLDER; VICE PRESIDENT	C	yes	01/2018	Mar 31, 2026	Mar 31, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
J••••• A• D•••••••	n/a	n/a	n/a	Y	yes	n/a

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	$1.4B	$1.3B	9.1%	$1.0B	12.4%	11	10	0	0

Relationships

Registered with (12)

← L••• W•••••• G••••••Advisorregistration: current employment
May 15, 2026 to presentfactForm ADV
← B••••• M•••• S••••••Advisorregistration: current employment
Jan 5, 2026 to presentfactForm ADV
← S•••••••• A••••• F••••••Advisorregistration: current employment
Aug 2, 2024 to presentfactForm ADV
← B••••••• R•••••• C•••••

Dated events

Order

Occurred
31 Mar 2026
Ria ownership band change
••• Locked
Form ADV
Occurred
31 Mar 2026
Ria indirect owner change
••• Locked
Form ADV
Occurred
24 Feb 2025
Ria hq relocated
••• Locked
Form ADV
Occurred
2 Mar 2023
Control person joined
••• Locked
Form ADV
Occurred
2 Mar 2023
Control person left
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 23, 2012
Last observed: Mar 31, 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	Mar 8, 2016	$783M	$783M	6	4	n/a	n/a	n/a
2014	Feb 4, 2015	$792M	$792M	7	5	n/a	n/a	n/a
2013	Mar 21, 2014	$697M	$697M	7	5	n/a	n/a	n/a
2012	Feb 1, 2013	$602M	$602M	7	4	n/a	n/a	n/a
2011	Feb 23, 2012	$517M	$517M	n/a	n/a	n/a	n/a	n/a