DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

M•• M••••••••• L••

CRD 338513

ANNAPOLIS, MD

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Search this name across graphsid dfx:ria:b8607560-3ef7-5e7a-7345-f7f033e9ff39

Data as of Apr 5, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 2, 2025 to Apr 5, 2026
3 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $458M••• Locked
Discretionary RAUM: $458M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•••••••• J•••••••• E•••••	Partner	Na	yes	08/2022	Apr 5, 2026	Apr 5, 2026
W•••••••• D••••• S••••	CHIEF EXECUTIVE OFFICER CHIEF COMPLIANCE OFFICER	Na	yes	01/2022	Apr 5, 2026	Apr 5, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 5, 2026	$458M	$458M	7	6	0	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
2025	$458M	n/a	n/a	n/a	n/a	7	n/a	0	n/a

Relationships

Owns (1)

← D•• H••••••• L••OwnerOWNER, ownership code NA, domestic entity
Apr 5, 2026 to presentfactForm ADV

Controls (2)

← W•••••••• D••••• S••••OwnerCHIEF EXECUTIVE OFFICER CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 5, 2026 to presentfactForm ADV
← S•••••••• J•••••••• E•••••OwnerPARTNER, ownership code NA, individual
Apr 5, 2026 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b8607560-3ef7-5e7a-7345-f7f033e9ff39
First observed: Dec 2, 2025
Last observed: Apr 5, 2026 5 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.