DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

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

B••• F•••••••• I••••••••• A••••••• C••••

CRD 118673

LEESBURG, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ca13d414-adf8-d04b-b4bb-36b95c10e1dc

Data as of Jan 3, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Dec 8, 2011 to Jan 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: $34.1M••• Locked
Discretionary RAUM: $34.0M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $11.4Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R•••• L••••• F••••••••	n/a	LEESBURG, VA	21	46	n/a	no
A•••• K••••• F••••••••	n/a	LEESBURG, VA	12	16

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••••••• O••••• L•••••	Owner	D	yes	01/2006	Dec 8, 2011	Jan 3, 2012
F••••••••• R••••• L•••••	CHIEF COMPLIANCE OFFICER, PRESIDENT, FINANCIAL OPERATIONS PRINCIPAL, SECURITIES PRINCIPAL,CCL	D	yes	01/2002	Dec 8, 2011	Jan 3, 2012

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

Relationships

Registered with (4)

← D••••• F••••••••Advisorregistration: current employment
Mar 27, 2025 to presentfactForm ADV
← A•••• K••••• F••••••••Advisorregistration: current employment
Oct 15, 2013 to presentfactForm ADV
← R•••• L••••• F••••••••Advisorregistration: current employment
Mar 25, 2005 to presentfactForm ADV
← Sandra Sue Presgraves

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ca13d414-adf8-d04b-b4bb-36b95c10e1dc
First observed: Dec 8, 2011
Last observed: Jan 3, 2012 179 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.