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

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

D•••••• F•••••••• M••••••••• I••

CRD 112133

NORTH CHESTERFIELD, VA

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Search this name across graphsid dfx:ria:cf10bbd6-4a2f-93d8-b266-74c9f998dad5

Data as of Sep 4, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Sep 4, 2012
7 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: $57.9MItem 5.F on the latest filing (2012-09-04); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $52.7M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••• K••••• P••••••	CHIEF COMPLIANCE OFFICER, PRESIDENT	D	yes	12/1994	Mar 29, 2012	Sep 4, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

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

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 29, 2012	$57.9M	$52.7M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$57.9M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (1)

← D••••••• K••••• P••••••OwnerCHIEF COMPLIANCE OFFICER, PRESIDENT, ownership code D, individual
Mar 29, 2012 to presentfactForm ADV

Registered with (2)

← ALEXANDER CASASAdvisorregistration: previous registration
Jul 1, 2013 to Jun 9, 2015factForm ADV
← JOHN BENJAMIN CLAIRAdvisorregistration: previous registration
May 30, 2008 to Feb 2, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cf10bbd6-4a2f-93d8-b266-74c9f998dad5
First observed: Mar 29, 2012
Last observed: Sep 4, 2012 171 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.