DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 1b 10b

P••••••••• P•••••••• L••

CRD 282298

RESTON, VA

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Data as of Mar 27, 2020 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 3
On other graphs: 0
Observed: Dec 3, 2015 to Mar 27, 2020
19 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: $2.2B••• Locked
Discretionary RAUM: $2.2B
Private client RAUM: $2.2Bderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 27

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••• K••• 2••• T••••	Member	C	yes	12/2015	Jan 21, 2016	Mar 27, 2020
K•••• D••••• W••••••	Trustee	F	yes	12/2015	Dec 3, 2015	Mar 27, 2020

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 27, 2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$2.2B	$1.8B	22.4%	$1.5B	13.4%	27	28	0	7

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C•••••• A•••• M••••••••• L••	7	Jun 16, 2020	Jun 16, 2020	RESTON, VA	Firm absorbed	RIA to RIA	77.8%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••••••• W••••• A•••••••• L••	3	Aug 29, 2016	Sep 6, 2016	POTOMAC, MD	Team lift out	Other	10.7%
H•••••••• A•••••••• L••	4	Mar 10, 2016	May 18, 2018

Relationships

Controls (7)

← P••••••• P•••• A•••••• J••OwnerTRUSTEE, ownership code F, individual
Dec 3, 2015 to presentfactForm ADV
← K•••• D••••• W••••••OwnerTRUSTEE, ownership code F, individual
Dec 3, 2015 to presentfactForm ADV
← S••••• R••••• D•••••OwnerCHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 3, 2015 to presentfactForm ADV
← O•••••• L•••• G•••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Sep 8, 2016 to presentfact

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Order

Occurred
4 Sep 2019
Control person left
••• Locked
Form ADV
Occurred
3 Dec 2015
First Form ADV filing
••• Locked
Form ADV

Show 1 bookkeeping event

Occurred
Sep 4, 2019
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 3, 2015
Last observed: Mar 27, 2020 79 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.