DFX Intelligence

A•• F•••••••• G••••• 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 adviserformer SEC advisernot on rosterRAUM 100m 1b

A•• F•••••••• G••••• L••

CRD 306979

BETHESDA, 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 graphsid dfx:ria:e64cade5-d786-1d69-095c-f651d1826d47

Data as of Mar 28, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 8
On other graphs: 0
Observed: Jan 17, 2020 to Mar 28, 2024
17 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: $245M••• Locked
Discretionary RAUM: $245M
Private client RAUM: $236Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•• A• A•••••• L••	Owner	E	yes	01/2010	Apr 13, 2021	Mar 28, 2024
A•••••• A••• A•••••	MANAGING MEMBER	E	yes	01/2010	Jan 17, 2020	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•• 4••• R••••••••• S••••••• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 28, 2024

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$245M	$435M	-43.8%	$411M	-15.9%	8	8	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
H•• I••••••••• P•••••••• L••	4	Dec 31, 2024	Oct 6, 2023	BETHESDA, MD	Firm absorbed	RIA to RIA	100.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••••••• F•••••••• N••••••	3	May 8, 2020	Feb 17, 2020	BETHESDA, MD	Team lift out	Ibd to new firm	0.1%

Relationships

Controls (2)

← A•••••• A••• A•••••OwnerMANAGING MEMBER, ownership code E, individual
Jan 17, 2020 to presentfactForm ADV
← A•• A• A•••••• L••OwnerOWNER, ownership code E, domestic entity
Apr 13, 2021 to presentfactForm ADV

Owns (2)

← D•••• J••••• W••••••OwnerDIRECTOR OF FINANCIAL PLANNING, ownership code NA, individual
Mar 15, 2022 to presentfactForm ADV
← N••••••• O•••••OwnerDIRECTOR OF OPERATIONS, ownership code NA, individual

Dated events

Occurred
Dec 31, 2024
Firm absorbed
••• Locked
Form ADVobserved 8 days ago
4 advisors
Occurred
Dec 31, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 31, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 31, 2024
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e64cade5-d786-1d69-095c-f651d1826d47
First observed: Jan 17, 2020
Last observed: Mar 28, 2024 30 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.