DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

W••••••••• C••••••••• S••••••• I••

CRD 105837

CHANTILLY, VA

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Search this name across graphsid dfx:ria:f3bca0de-f659-8c06-8064-d343a22a73a7

Data as of Jul 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 4
On other graphs: 0
Observed: Mar 5, 2012 to Jul 27, 2026
22 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.7B••• Locked
Discretionary RAUM: $1.3B
Private client RAUM: $1.7Bderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 9
RAUM per advisor: $188Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P•••• E••••••••• J••••	Certified Financial Planner	CHANTILLY, VA	33	45	n/a	no
S•••••• D•••••• D••	n/a	CHANTILLY, VA	26	36

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
J••••• P••••• E•••••••••	CHIEF COMPLIANCE OFFICER	D	yes	10/2004	Jul 27, 2026	Jul 27, 2026
L••••• S••••••• M••••••	President	D	yes	04/1992	Jul 27, 2026	Jul 27, 2026

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	2	no

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	$1.7B	$1.3B	29.4%	$970M	20.3%	13	13	1	1

Relationships

Owns (1)

← D••• S••••••• D••••••OwnerMANAGER, ownership code NA, individual
Jul 27, 2026 to presentfactForm ADV

Controls (2)

← J••••• P••••• E•••••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code D, individual
Jul 27, 2026 to presentfactForm ADV
← L••••• S••••••• M••••••OwnerPRESIDENT, ownership code D, individual
Jul 27, 2026 to presentfactForm ADV

Registered with (9)

← V••••••• M••••••••• Z•••••

Dated events

Occurred
Mar 27, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$384M
Occurred
May 2, 2024
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-508M
Occurred
Mar 30, 2024
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$718M
Occurred
Mar 31, 2020
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f3bca0de-f659-8c06-8064-d343a22a73a7
First observed: Mar 5, 2012
Last observed: Jul 27, 2026 58 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.