DFX Intelligence

J•••• R•••• A•••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

J•••• R•••• A•••• M••••••••• L••

CRD 117917

MIDLOTHIAN, VA

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Search this name across graphsid dfx:ria:f317b77d-ab3f-d57a-30b9-f183e9096c75

Data as of Aug 5, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 15
On other graphs: 0
Observed: Feb 16, 2012 to Aug 5, 2026
28 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=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $274M••• Locked
Discretionary RAUM: $254M
Private client RAUM: $269Mderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $54.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A•••• H••••• M•••••	n/a	MIDLOTHIAN, VA	30	43	n/a	no
C•••••• E••••• C••••••	n/a	MIDLOTHIAN, VA	5	12

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• C••••••• E•••••	PRESIDENT AND CHIEF OPERATING OFFICER	Na	yes	07/2019	Sep 17, 2019	Nov 19, 2024
M•••••• A••••• H•••••	CHIEF OPERATING OFFICER	Na	yes	10/1995	Feb 16, 2012	Nov 19, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	1	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	$274M	$236M	16.0%	$163M	18.8%	9	9	0	0

Relationships

Registered with (12)

← G•••• A••• T••••••Advisorregistration: current employment
Mar 16, 2026 to presentfactForm ADV
← L•••• L•• S••••••Advisorregistration: previous registration
May 14, 2021 to Apr 1, 2022factForm ADV
← K•••• G•••••Advisorregistration: current employment
Jan 12, 2023 to presentfactForm ADV
← C•••••• E••••• C••••••

Dated events

3 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Aug 5, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Aug 5, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Apr 2, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f317b77d-ab3f-d57a-30b9-f183e9096c75
First observed: Feb 16, 2012
Last observed: Aug 5, 2026 49 days 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.