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.
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SEC-registered adviser
C•••••••• C•••••• M••••••••• I•••
Latest filing Feb 3, 2026
First filing on the tape Nov 14, 2011 · 34 filings
SEC status approved since Feb 20, 1987
RAUM
$677M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$634M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$169M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$677M as of Feb 3, 2026
Mar 20, 2012$310M then
HNW client RAUM$604M as of Feb 3, 2026
Mar 9, 2018$340M then
State-registered IARs (5.B.3)4 as of Feb 3, 2026
Mar 15, 20132 then
Employees (5.A)4 as of Feb 3, 2026
Mar 15, 20134 then
Private funds: no history
RAUM +1.7% over the last fiscal year+7.1% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $169MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.3%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$604M89%
- Charitable organizations$34.1M5.0%
- Individuals$30.1M4.5%
- Pension and profit-sharing plans$9.1M1.4%
- Individual clients
- 55reported
- HNW clients
- 156reported
- Pension plan clients
- 5reported
- Charitable clients
- 5reported
- Accounts
- 476reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• A••• K•••Chartered Financial Analyst | Chevy Chase, Md | Jan 7, 2025 | 25 y | 1 |
| J••••• C• G•••••••Chartered Financial Analyst | Chevy Chase, Md | Jan 7, 2025 | 14 y | 1 |
| S•••••• F•••••••• K••••Chartered Financial Analyst | Chevy Chase, Md | Jan 7, 2025 | 14 y | 1 |
| J•••• W••••••• M••••••••Chartered Financial Analyst | Chevy Chase, Md | Jan 7, 2025 | 39 y | 1 |
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••• D•••••• A••• · President, Secretary And Chief Compliance Officercontrolsince 11/2006 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chevy Chase, Md · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HNW clients · 153 to 156Feb 10, 2025 to Feb 3, 2026
- Individual clients · 63 to 55Feb 10, 2025 to Feb 3, 2026
- Pension plan clients · unset to 5.0Feb 10, 2025 to Feb 3, 2026
- Discretionary RAUM · $666M to $677MFeb 10, 2025 to Feb 3, 2026
- HNW RAUM · $593M to $604MFeb 10, 2025 to Feb 3, 2026
- Individual RAUM · $31.8M to $30.1MFeb 10, 2025 to Feb 3, 2026
- Pension RAUM · $8.3M to $9.1MFeb 10, 2025 to Feb 3, 2026
- RAUM · $666M to $677MFeb 10, 2025 to Feb 3, 2026
- Accounts · 481 to 476Jan 6, 2025 to Feb 10, 2025
- Advisory employees · 3 to 4Jan 6, 2025 to Feb 10, 2025
- HNW clients · 150 to 153Jan 6, 2025 to Feb 10, 2025
- Individual clients · 67 to 63Jan 6, 2025 to Feb 10, 2025
- Employees · 3 to 4Jan 6, 2025 to Feb 10, 2025
- Financial planning clients · unset to Jan 6, 2025 to Feb 10, 2025
- State-registered IARs · 3 to 4Jan 6, 2025 to Feb 10, 2025
- Discretionary RAUM · $594M to $666MJan 6, 2025 to Feb 10, 2025
- HNW RAUM · $523M to $593MJan 6, 2025 to Feb 10, 2025
- Individual RAUM · $32.4M to $31.8MJan 6, 2025 to Feb 10, 2025
- Pension RAUM · $7.4M to $8.3MJan 6, 2025 to Feb 10, 2025
- RAUM · $594M to $666MJan 6, 2025 to Feb 10, 2025
- Accounts · 476 to 481Mar 6, 2023 to Feb 21, 2024
- Charity clients · 6 to 5Mar 6, 2023 to Feb 21, 2024
- HNW clients · 337 to 150Mar 6, 2023 to Feb 21, 2024
- Individual clients · 129 to 67Mar 6, 2023 to Feb 21, 2024
- Discretionary RAUM · $551M to $594MMar 6, 2023 to Feb 21, 2024
- HNW RAUM · $477M to $523MMar 6, 2023 to Feb 21, 2024
- Individual RAUM · $39.5M to $32.4MMar 6, 2023 to Feb 21, 2024
- Pension RAUM · $6.7M to $7.4MMar 6, 2023 to Feb 21, 2024
- RAUM · $551M to $594MMar 6, 2023 to Feb 21, 2024
- Accounts · 481 to 476Dec 2, 2022 to Mar 6, 2023
- Charity clients · 7 to 6Dec 2, 2022 to Mar 6, 2023
- HNW clients · 361 to 337Dec 2, 2022 to Mar 6, 2023
- Individual clients · 108 to 129Dec 2, 2022 to Mar 6, 2023
- Pension plan clients · 5.0 to unsetDec 2, 2022 to Mar 6, 2023
- Employees · 5 to 3Dec 2, 2022 to Mar 6, 2023
- Discretionary RAUM · $688M to $551MDec 2, 2022 to Mar 6, 2023
- HNW RAUM · $611M to $477MDec 2, 2022 to Mar 6, 2023
- Individual RAUM · $34.1M to $39.5MDec 2, 2022 to Mar 6, 2023
- Pension RAUM · $7.6M to $6.7MDec 2, 2022 to Mar 6, 2023
- RAUM · $688M to $551MDec 2, 2022 to Mar 6, 2023
Signals
1 dated events
- Williams James Mersereau (President) no longer on Schedule A of C•••••••• C•••••• M••••••••• I••• (listed 2022-03-02, absent 2022-06-22)Jun 22, 2022 · Control person left · inference
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
- Business phone
- 301-951-5288reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 301-951-0411reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/carderockcapitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- C••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (301)951-5288reportedpublic record, Form ADV, Feb 3, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $169Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026