DFX Intelligence

C••• S••••• P•••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserbroker-dealer affiliated wealth managerSEC registeredRAUM 10b 100b

C••• S••••• P•••••••

C••• S••••• P••••••• INVESTMENT ADVISORY LLC, CRD 128545

RICHMOND, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6c370071-1536-676a-91fd-7ab655d7f0b6

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 192
Dated events: 40
On other graphs: 0
Observed: Mar 30, 2012 to Mar 30, 2026
62 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: broker-dealer affiliated wealth managerderivedprivate_client_share=0.87 fund_share=0.0 institutional_share=0.11 related_bd=true related_bank=false bd_reps=81.0
Regulatory AUM: $10B••• Locked
Discretionary RAUM: $6.9B
Private client RAUM: $8.9Bderived••• Locked
Private client share: 87%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 121
RAUM per advisor: $84.7M

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••••• G•• S••••••	n/a	FREDE•••KSBURG, VA	19	40	1	yes
T••••••• J•••• B••••	n/a	RICHMOND, VA \| FREDE•••KSBURG, VA	19	24

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
J•••••••• G••••• G••••• F•••• L•••	Hedge Fund	$40.0M	Mar 31, 2014	22	Mar 30, 2012	dropped	021-163025
J•••••••• G••••• G••••• F•••• L•••	Hedge Fund	$7.8M	Mar 31, 2014

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• W•••••• D•••••	PRESIDENT, MANAGING DIRECTOR	Na	yes	08/2017	Mar 30, 2026	Mar 30, 2026
C••• S••••• P•••••••	Member	E	yes	01/2004	Mar 30, 2026	Mar 30, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••• S••••• P••••••• A•••• M••••••••• L••	n/a	Independent wealth	$1.4B	N	yes	n/a
C••• S••••• P••••••• L••	n/a	n/a	n/a	N	yes

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Austin	TX	United States	10	yes
M•••••TOWN	Nj	United States	8	yes
FREDE•••KSBURG	Va	United States	8	yes
GLEN ALLEN	Va	United States	7	yes
Charlottesville	Va	United States

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
18	3	15	2.5%	7	0	0	41	9

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	$10B	$8.3B	24.1%	$5.5B	23.0%	182	160	24	23

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
H••••• R••••	2	Aug 22, 2019	Aug 16, 2019	BRENTWOOD, TN	Team lift out	Ibd to RIA	4.5%
R••••• I••••••••• A•••••••• I••	2	Mar 1, 2018	Feb 1, 2018

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S••••• H•••• A•••••••	3	Jul 20, 2026	Jul 20, 2026	RICHMOND, VA	Firm absorbed	RIA to ibd	100.0%
P•••••• W••••• M•••••••• L••	4	Mar 31, 2026	Mar 30, 2026

Relationships

showing 80 of 192

Registered with (77)

← K••••••• M•••• K••••••••Advisorregistration: current employment
Sep 11, 2026 to presentfactForm ADV
← C••• M•••••• H•••••Advisorregistration: current employment
Aug 11, 2026 to presentfactForm ADV
← P•••••• J• M••••••Advisorregistration: current employment
Jul 31, 2026 to presentfactForm ADV
← K••••• T••••

Dated events

6 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jul 20, 2026
Firm absorbed
••• Locked
Form ADVobserved 7 days ago
3 advisors
Occurred
Jun 3, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
May 1, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6c370071-1536-676a-91fd-7ab655d7f0b6
First observed: Mar 30, 2012
Last observed: Mar 30, 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.