DFX Intelligence

C••••••• W••••• M••••••••• L•• D•• C••••••• W••••• A•••••••: 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••••••• W••••• M••••••••• L•• D•• C••••••• W••••• A•••••••

CRD 122587

WILLIAMSBURG, VA

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Search this name across graphsid dfx:ria:df1974fd-6ca6-8a78-f79d-ec61e8845005

Data as of Mar 20, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jan 25, 2012 to Mar 20, 2018
12 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: $163M••• Locked
Discretionary RAUM: $163M
Private client RAUM: $163Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
T••••••• R•••••• G•••	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	08/2002	Jan 25, 2012	Mar 20, 2018

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Mclean	Va	United States	2	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$163M	$148M	9.7%	$187M	-4.4%	3	4	1	n/a

Relationships

Controls (1)

← T••••••• R•••••• G•••OwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Jan 25, 2012 to presentfactForm ADV

Registered with (1)

← D••••• D••••• J•••Advisorregistration: previous registration
Jul 25, 2014 to Jul 1, 2015factForm ADV

Dated events

Occurred
Jan 25, 2012
Succession filed (Item 4)
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:df1974fd-6ca6-8a78-f79d-ec61e8845005
First observed: Jan 25, 2012
Last observed: Mar 20, 2018 103 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.