DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

P••• F•••••••• A•••••••• I•••

CRD 115013

FREDERICKSBURG, VA

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Search this name across graphsid dfx:ria:a7f822fa-f960-9364-3f34-1cbbbc6be8e5

Data as of Feb 17, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 0
On other graphs: 0
Observed: Dec 20, 2011 to Feb 17, 2012
2 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: $135M••• Locked
Discretionary RAUM: $105M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 610
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• D•••••• J•••••	PRESIDENT & SHAREHOLDER	A	yes	01/2004	Dec 20, 2011	Feb 17, 2012
O••••••••• S•••• R••••	Shareholder	A	yes	12/1998	Dec 20, 2011	Feb 17, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Fairfax	Va	United States	n/a	no
Harrisonburg	Va	United States	n/a	no
Warrenton	Va	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Feb 17, 2012	$135M	$105M	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$135M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Owns (10)

← K••••••••• R••••••• E•••OwnerCHIEF COMPLIANCE OFFICER, DIRECTOR OF INVESTMENT STRATEGY, ownership code NA, individual
Dec 20, 2011 to presentfactForm ADV
← H•••• H•••••• W•••••OwnerSHAREHOLDER, ownership code A, individual
Dec 20, 2011 to presentfactForm ADV
← M•••••• D•••••• B•••••OwnerSHAREHOLDER, ownership code A, individual
Dec 20, 2011 to presentfactForm ADV
← H••••••••• K••••• D•••OwnerSHAREHOLDER, ownership code A, individual
Dec 20, 2011 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a7f822fa-f960-9364-3f34-1cbbbc6be8e5
First observed: Dec 20, 2011
Last observed: Feb 17, 2012 177 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.