DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

C••••••••• A•••• M•••••••••

Former SEC-registered adviserWinchester, VirginiaCRD 104539SEC 801-63659IAPD
Legal name C••••••••• A•••• M••••••••• I•••
Latest filing Mar 31, 2015
First filing on the tape Mar 29, 2012 · 5 filings
RAUM
$26.3M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$13.2M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$20.0M as of Mar 25, 2014
Mar 29, 2012$21.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 25, 2014
Mar 29, 20120 then
Employees (5.A)3 as of Mar 25, 2014
Apr 1, 20133 then
Private funds: no history
RAUM +9.6% over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Mar 31, 2015; every figure names its basis
RAUM per advisor
$13.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$276,842derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
95reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
E••• B•••••• W••••Winchester, VaJul 13, 199333 y0
D••••• M•••••• C•••••Winchester, VaAug 30, 199341 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• P•••• F•••••••• · Presidentcontrol
        since 08/1986 · owns 25% to 50%
      • C•••••• D•••••• M•••••• · Vice Presidentcontrol
        since 12/1986 · owns 25% to 50%
      • W••••• E•••• B•••••• · Vice President
        since 04/1999 · owns 25% to 50%
      Entity owners
      • C•••• I••••••••• G•••• L•• · Corporation Owner Of Stock
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Winchester, Va · principal200
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 98 to 95
        Mar 25, 2014 to Mar 25, 2015
      • Advisory employees · 3 to 4
        Mar 25, 2014 to Mar 25, 2015
      • Advisory activities · 2 to 4
        Mar 25, 2014 to Mar 25, 2015
      • Employees · 3 to 4
        Mar 25, 2014 to Mar 25, 2015
      • State-registered IARs · 3 to 4
        Mar 25, 2014 to Mar 25, 2015
      • Non-discretionary RAUM · $20.0M to $26.3M
        Mar 25, 2014 to Mar 25, 2015
      • RAUM · $20.0M to $26.3M
        Mar 25, 2014 to Mar 25, 2015
      • Related adviser · false to true
        Mar 25, 2014 to Mar 25, 2015
      • Related broker-dealer · false to true
        Mar 25, 2014 to Mar 25, 2015
      • Accounts · 86 to 98
        Apr 1, 2013 to Mar 25, 2014
      • Advisory activities · 3 to 2
        Apr 1, 2013 to Mar 25, 2014
      • Discretionary RAUM · $10.0M to $0
        Apr 1, 2013 to Mar 25, 2014
      • Non-discretionary RAUM · $14.0M to $20.0M
        Apr 1, 2013 to Mar 25, 2014
      • RAUM · $24.0M to $20.0M
        Apr 1, 2013 to Mar 25, 2014
      • Related broker-dealer · true to false
        Apr 1, 2013 to Mar 25, 2014
      • Accounts · 88 to 86
        Mar 29, 2012 to Apr 1, 2013
      • Advisory employees · unset to 3.0
        Mar 29, 2012 to Apr 1, 2013
      • BD registered reps · unset to 3.0
        Mar 29, 2012 to Apr 1, 2013
      • Employees · unset to 3.0
        Mar 29, 2012 to Apr 1, 2013
      • State-registered IARs · 0 to 3
        Mar 29, 2012 to Apr 1, 2013
      • Discretionary RAUM · $9.3M to $10.0M
        Mar 29, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · $12.6M to $14.0M
        Mar 29, 2012 to Apr 1, 2013
      • RAUM · $21.9M to $24.0M
        Mar 29, 2012 to Apr 1, 2013
      • Related broker-dealer · false to true
        Mar 29, 2012 to Apr 1, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Website
      C••••ADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $13.2Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026