DFX Intelligence

C••••••••• F••••••••• 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

C••••••••• F••••••••• I•••

CRD 133114

RESTON, VA

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Search this name across graphsid dfx:ria:bac7db4f-4c03-1d1d-4484-61e59432a1c9

Data as of Feb 5, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 8
On other graphs: 0
Observed: Mar 30, 2012 to Feb 5, 2024
32 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: $425M••• Locked
Discretionary RAUM: $383M
Private client RAUM: $425Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• S•••••• M•••	President	E	yes	10/2004	Mar 30, 2012	Feb 5, 2024
M•••••• S••••••••• S•••••	FINANCIAL PLANNER, DIRECTOR OF OPERATIONS & CHIEF COMPLIANCE OFFICER	Na	yes	07/2021	Aug 25, 2021	Feb 5, 2024

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	$425M	$372M	14.2%	$377M	4.1%	8	8	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A••••• W•••••	6	May 3, 2024	Apr 22, 2024	RESTON, VA	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (2)

← A•••••••• S•••••• M•••OwnerPRESIDENT, ownership code E, individual
Mar 30, 2012 to presentfactForm ADV
← M•••••• S••••••••• S•••••OwnerFINANCIAL PLANNER, DIRECTOR OF OPERATIONS & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 25, 2021 to presentfactForm ADV

Registered with (7)

← B•••••• L••••• R••••••Advisorregistration: previous registration
Jun 21, 2023 to May 3, 2024factForm ADV
← S••••• M••• A•••••••

Dated events

Occurred
May 3, 2024
Firm absorbed
••• Locked
Form ADVobserved 8 days ago
6 advisors
Occurred
May 3, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 3, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 3, 2024
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bac7db4f-4c03-1d1d-4484-61e59432a1c9
First observed: Mar 30, 2012
Last observed: Feb 5, 2024 32 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.