DFX Intelligence

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

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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 1b 10b

C••••• I••••••••• M••••••••• I••

CRD 104716

LUTHERVILLE, MD

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Search this name across graphsid dfx:ria:ecb35e71-f367-516d-8555-f1ed45ae768e

Data as of Jun 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 1
On other graphs: 0
Observed: Mar 20, 2012 to Jun 29, 2026
44 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: mixed wealth managerderivedprivate_client_share=0.36 fund_share=0.51 institutional_share=0.06 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $1.0B••• Locked
Discretionary RAUM: $1.0B
Private client RAUM: $366Mderived••• Locked
Private client share: 36%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor: $144Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C•••••• V•• K•••• C••••••	Chartered Financial Analyst	LUTHERVILLE, MD	27	43	n/a	no
M•••••• J••••• F••••••	Chartered Financial Analyst	LUTHERVILLE, MD	27	36

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P••••••••• M••••••• J•••••	PORTFOLIO MANAGER, PRESIDENT, DIRECTOR	C	yes	01/2021	Jun 29, 2026	Jun 29, 2026
T•••••• G•••••• A•	PORTFOLIO MANAGER, SENIOR VICE PRESIDENT, DIRECTOR	C	yes	08/2023	Jun 29, 2026	Jun 29, 2026

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	$1.0B	$976M	3.0%	$1.0B	-0.8%	10	11	0	0

Relationships

Controls (2)

← T•••••• G•••••• A•OwnerPORTFOLIO MANAGER, SENIOR VICE PRESIDENT, DIRECTOR, ownership code C, individual
Jun 29, 2026 to presentfactForm ADV
← P••••••••• M••••••• J•••••OwnerPORTFOLIO MANAGER, PRESIDENT, DIRECTOR, ownership code C, individual
Jun 29, 2026 to presentfactForm ADV

Owns (6)

← G••••••• M••••••• A•••••OwnerPORTFOLIO MANAGER, SENIOR VICE PRESIDENT, SECRETARY, DIRECTOR, ownership code B, individual
Jun 29, 2026 to presentfactForm ADV
← G••••• T•••••• E•OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual

Dated events

Occurred
Jan 10, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ecb35e71-f367-516d-8555-f1ed45ae768e
First observed: Mar 20, 2012
Last observed: Jun 29, 2026 2 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.