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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

I•••••••• S••••••• C••••••• I•••

CRD 2331

SUFFOLK, VA

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Search this name across graphsid dfx:ria:7f2391b7-ac17-d096-2812-0ad315dd20aa

Data as of Nov 27, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 36
Dated events: 0
On other graphs: 0
Observed: Nov 22, 2011 to Nov 27, 2012
6 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: $96.2MItem 5.F on the latest filing (2012-11-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $16.7M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• C••••• B•••••••	CHAIRMAN/CHIEF EXECUTIVE OFFICER	E	yes	08/1964	Nov 22, 2011	Nov 27, 2012
H•••••••• C••••••••• M••••••	PRESIDENT/CHIEF COMPLIANCE OFFICER	A	yes	07/2012	Nov 22, 2011

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$96.2M	$71.6M	34.2%	n/a	n/a	137	n/a	n/a	n/a

Relationships

Controls (2)

← B•••••••• C••••• B•••••••OwnerCHAIRMAN/CHIEF EXECUTIVE OFFICER, ownership code E, individual
Nov 22, 2011 to presentfactForm ADV
← H•••••••• C••••••••• M••••••OwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code A, individual
Nov 22, 2011 to presentfactForm ADV

Registered with (34)

← C••••••••• M•••••• H•••••••Advisorregistration: previous registration
Feb 8, 1999 to Dec 31, 2012factForm ADV
← ROBERT JOSEPH CLARK

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7f2391b7-ac17-d096-2812-0ad315dd20aa
First observed: Nov 22, 2011
Last observed: Nov 27, 2012 168 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.