DFX Intelligence

I•• L••••• F•••••••• A••••••• L••: 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 adviserIndependent wealth managerSEC registeredRAUM 100m 1b

I•• L••••• F•••••••• A••••••• L••

CRD 119145

ROCKVILLE, MD

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 graphs

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 14, 2012 to Mar 24, 2026
26 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: independent wealth managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $189M••• Locked
Discretionary RAUM: $189M
Private client RAUM: $184Mderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $62.9Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C••••••••• N••• B••••	Certified Financial Planner	ROCKVILLE, MD	23	29	n/a	no
M•••••• S••••••	Certified Financial Planner	ROCKVILLE, MD	5	12

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• C••••••••• N•••	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	E	yes	01/1999	Feb 14, 2012	Mar 7, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

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
2025	$189M	$151M	24.9%	$115M	17.9%	4	4	0	0

Relationships

Registered with (3)

← L••• A••• C•••••••Advisorregistration: current employment
Nov 17, 2023 to presentfactForm ADV
← M•••••• S••••••Advisorregistration: current employment
Jan 18, 2021 to presentfactForm ADV
← C••••••••• N••• B••••Advisorregistration: current employment
Jan 7, 2003 to presentfactForm ADV

Controls (1)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 14, 2012
Last observed: Mar 24, 2026 6 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.

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 28, 2016	$109M	$109M	3	2	n/a	n/a	n/a
2014	Mar 26, 2015	$128M	$128M	3	2	n/a	n/a	n/a
2013	Mar 27, 2014	$118M	$118M	3	2	n/a	n/a	n/a
2012	Feb 25, 2013	$98.2M	$98.2M	3	2	n/a	n/a	n/a
2011	Feb 14, 2012	$92.6M	$92.6M	n/a	n/a	n/a	n/a	n/a