DFX Intelligence

P••••• L•••• • F••• A•••• M••••••••• 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

P••••• L•••• • F••• A•••• M••••••••• I•••

CRD 105914

RICHMOND, VA

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Search this name across graphsid dfx:ria:e1bb208c-bf95-302c-d4ed-82e23196fa6f

Data as of Feb 23, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Mar 26, 2012 to Feb 23, 2021
19 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: $371M••• Locked
Discretionary RAUM: $360M
Private client RAUM: $343Mderived••• Locked
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••• J••••••• D••••	CHIEF COMPLIANCE OFFICER	D	yes	09/1994	Mar 26, 2012	Feb 23, 2021
P•••••• F••••••• A••••••	Principal	D	yes	09/1994	Mar 26, 2012	Feb 23, 2021

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$371M	$364M	2.0%	$343M	2.6%	7	5	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
D••••• W•••••• L••	2	Feb 16, 2022	Feb 15, 2022	RICHMOND, VA	Team lift out	RIA to RIA	100.0%

Relationships

Controls (2)

← L••••• J••••••• D••••OwnerCHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 26, 2012 to presentfactForm ADV
← P•••••• F••••••• A••••••OwnerPRINCIPAL, ownership code D, individual
Mar 26, 2012 to presentfactForm ADV

Registered with (2)

← J•••••• D•••• L••••Advisorregistration: previous registration
Nov 1, 1996 to Feb 24, 2022factForm ADV
← F•••••• A•••••• P•••••

Dated events

Occurred
Feb 24, 2022
Advisor changed firm
Jeffrey David Levin left P••••• L•••• • F••• A•••• M••••••••• I••• for D••••• W•••••• L•• (registered 2022-02-15)
Form ADVobserved 7 days ago
Occurred
Feb 16, 2022
Team lift-out
2 advisors left P••••• L•••• • F••• A•••• M••••••••• I••• (Richmond, VA) for D••••• W•••••• L•• within 8 days
Form ADVobserved 7 days ago
2 advisors
Occurred
Feb 16, 2022
Advisor changed firm
Francis Anthony Pineno left P••••• L•••• • F••• A•••• M••••••••• I••• for D••••• W•••••• L•• (registered 2022-02-15)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e1bb208c-bf95-302c-d4ed-82e23196fa6f
First observed: Mar 26, 2012
Last observed: Feb 23, 2021 67 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.