DFX Intelligence
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SEC-registered adviser
I•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 20 filings
SEC status approved since Feb 10, 1986
RAUM
$247M
reported, Item 5.F
Discretionary
53%
of RAUM
Private clients
100%
$246M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$123M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$247M as of Mar 31, 2026
Mar 30, 2012$124M then
HNW client RAUM$227M as of Mar 31, 2026
Mar 30, 2018$111M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)5 as of Mar 31, 2026
Mar 26, 20135 then
Private funds: no history
RAUM +18% over the last fiscal year+19% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $123MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 88derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $728,467derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 53%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$227M92%
- Individuals$19.0M7.7%
- Charitable organizations$572,1080.2%
- Individual clients
- 70reported
- HNW clients
- 105reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 339reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• H••••••• S•••••••••Certified Financial Planner | Chevy Chase, Md | Nov 20, 1990 | 41 y | 1 |
| J••• L•••• B•••••Certified Financial Planner | Chevy Chase, Md | Jan 24, 2007 | 29 y | 0 |
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
- S••••••••• H•••••• J••••• · Directorcontrolsince 01/1999 · owns less than 5%
- S••••••••• R••••••• H••••••• · President, Chief Compliance Officercontrolsince 03/1991 · 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 | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 306 to 339Mar 31, 2025 to Mar 31, 2026
- HNW clients · 90 to 105Mar 31, 2025 to Mar 31, 2026
- Individual clients · 84 to 70Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $126M to $131MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $191M to $227MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $18.1M to $19.0MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $83.1M to $115MMar 31, 2025 to Mar 31, 2026
- RAUM · $209M to $247MMar 31, 2025 to Mar 31, 2026
- Accounts · 314 to 306Mar 29, 2024 to Mar 31, 2025
- HNW clients · 65 to 90Mar 29, 2024 to Mar 31, 2025
- Individual clients · 101 to 84Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 101-250 to 101-250Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $83.5M to $126MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $175M to $191MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $12.7M to $18.1MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $105M to $83.1MMar 29, 2024 to Mar 31, 2025
- RAUM · $188M to $209MMar 29, 2024 to Mar 31, 2025
- Accounts · 318 to 314Mar 31, 2023 to Mar 29, 2024
- HNW clients · 94 to 65Mar 31, 2023 to Mar 29, 2024
- Individual clients · 51 to 101Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $92.0M to $83.5MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $138M to $175MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $9.4M to $12.7MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $55.8M to $105MMar 31, 2023 to Mar 29, 2024
- RAUM · $148M to $188MMar 31, 2023 to Mar 29, 2024
- Accounts · 320 to 318Apr 14, 2022 to Mar 31, 2023
- Individual clients · 63 to 51Apr 14, 2022 to Mar 31, 2023
- Discretionary RAUM · $109M to $92.0MApr 14, 2022 to Mar 31, 2023
- HNW RAUM · $153M to $138MApr 14, 2022 to Mar 31, 2023
- Individual RAUM · $12.2M to $9.4MApr 14, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $57.4M to $55.8MApr 14, 2022 to Mar 31, 2023
- RAUM · $166M to $148MApr 14, 2022 to Mar 31, 2023
- Accounts · 323 to 320Mar 31, 2021 to Mar 31, 2022
- HNW clients · 92 to 94Mar 31, 2021 to Mar 31, 2022
- Individual clients · 58 to 63Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $107M to $109MMar 31, 2021 to Mar 31, 2022
- HNW RAUM · $150M to $153MMar 31, 2021 to Mar 31, 2022
- Individual RAUM · $13.7M to $12.2MMar 31, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $57.4M to $57.4MMar 31, 2021 to Mar 31, 2022
- RAUM · $165M to $166MMar 31, 2021 to Mar 31, 2022
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
- Business phone
- 301-951-4455reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 301-652-2516reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- i•••••••••.netreportedpublic record, Form ADV, Mar 31, 2026
- Principal office phone
- 301-951-4455reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- intervestltd.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $123Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026