DFX Intelligence

W•••••••• S•••• • T••••• A•••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

W•••••••• S•••• • T••••• A•••• M••••••••• L••

CRD 106060

NORFOLK, VA

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Search this name across graphsid dfx:ria:b0fc9a0f-176c-7c23-5758-f67e51e8b112

Data as of May 1, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 47
Dated events: 40
On other graphs: 1
Observed: Dec 12, 2011 to May 1, 2024
45 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Independent Sponsorsidentity

W•••••••• S•••• • T••••• A•••• M••••••••• L••

Capital provider to sponsors · key crd, shared crd

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: $191M••• Locked
Discretionary RAUM: $191M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
L••••• S•• S••• L••	Other Private Fund	$15.2M	May 1, 2024	56	Oct 22, 2021	dropped	n/a
W•• I••••• F••• I•• L••	Other Private Fund	$6.3M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• L•••••••• A•••••	V.PRESIDENT/PRINCIPAL/PORTFOLIO MANAGER	Na	yes	01/1998	Dec 12, 2011	May 1, 2024
B•••••• S••••••• J••••	PRINCIPAL/PORTFOLIO MANAGER	Na	yes	01/2020	Mar 30, 2020	May 1, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L•••••••• A••••••• L••	n/a	Former SEC adviser	$41.5M	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$191M	$4.8B	-96.0%	$4.0B	-63.8%	8	45	0	3

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••••••• C••••••••• A••••••• S••••••••	2	Apr 19, 2024	Apr 21, 2024	RALEIGH, NC	Team lift out	RIA to RIA	9.1%
C••••••••• C••••••••• A••••••• S••••••••	20	Apr 19, 2024

Relationships

Advises (3)

→ W•• I••••• F••• I•• L••Private fundOther Private Fund, ERA
Oct 22, 2021 to presentfactForm ADV
→ L••••• S•• S••• L••Private fundOther Private Fund, IA, no longer reported
Oct 22, 2021 to May 1, 2024factForm ADV
→ W•• I••••• F••• I• L••Private fundOther Private Fund, IA, no longer reported
Mar 30, 2020 to May 1, 2024factForm ADV

Affiliated with (2)

Dated events

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

Occurred
Mar 12, 2026
Ria registration change
••• Locked
Form ADVobserved today
Occurred
Mar 12, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Mar 12, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b0fc9a0f-176c-7c23-5758-f67e51e8b112
First observed: Dec 12, 2011
Last observed: May 1, 2024 29 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.