DFX Intelligence

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

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

F•••• A•••• M••••••••• C••••••

CRD 113750

VIRGINIA BEACH, VA

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Search this name across graphsid dfx:ria:b363e134-af5c-5c7a-6bf0-387369356514

Data as of Apr 3, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 20, 2012 to Apr 3, 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: $35.1M••• Locked
Discretionary RAUM: $33.7M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $17.6Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
E••••• F•••••• M•••••	n/a	Virginia Beach, VA	27	48	n/a	no
L••••• H•••• B••••	n/a	Portsmouth, VA	27	48

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• L•••••• H••••	VICE-PRESIDENT	D	yes	10/1998	Mar 20, 2012	Apr 3, 2012
M•••••• E•••••• F••••••	PRESIDENT & CHIEF COMPLIANCE OFFICER	D	yes	10/1998	Mar 20, 2012	Apr 3, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B•••• • M•••••• P•••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 20, 2012	$35.1M	$33.7M	n/a	n/a	n/a	n/a	n/a

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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	$35.1M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (2)

← M•••••• E•••••• F••••••OwnerPRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 20, 2012 to presentfactForm ADV
← B••••• L•••••• H••••OwnerVICE-PRESIDENT, ownership code D, individual
Mar 20, 2012 to presentfactForm ADV

Registered with (2)

← E••••• F•••••• M•••••Advisorregistration: current employment
Jan 22, 1999 to presentfactForm ADV
← L••••• H•••• B••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b363e134-af5c-5c7a-6bf0-387369356514
First observed: Mar 20, 2012
Last observed: Apr 3, 2012 176 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.