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.
SEC-registered adviser
D.F. Dent And Company, Inc.
Latest filing Jun 18, 2026
First filing on the tape Mar 27, 2012 · 27 filings
SEC status approved since Jan 15, 1980
RAUM
$7.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
58%
$4.5B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$1.1B
derived; firm RAUM over IAPD count
Employees
31
16 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$7.9B as of Jun 18, 2026
Mar 27, 2012$3.3B then
HNW client RAUM$4.5B as of Jun 18, 2026
Mar 30, 2018$2.6B then
State-registered IARs (5.B.3)7 as of Jun 18, 2026
Mar 27, 20120 then
Employees (5.A)31 as of Jun 18, 2026
Mar 20, 201313 then
Private funds: no history
RAUM -8.4% over the last fiscal year+6.9% a year over threeIARs 8 to 7
Practice profile
derived from the filing of Jun 18, 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
- $1.1BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 144derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $6.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.4derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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$4.5B57%
- Pension and profit-sharing plans$1.1B14%
- Corporations and businesses$762M9.7%
- Investment companies$744M9.4%
- Charitable organizations$465M5.9%
- Pooled investment vehicles$167M2.1%
- State and municipal entities$85.7M1.1%
- Individuals$53.4M0.7%
- Other investment advisers$34.3M0.4%
- Individual clients
- 108reported
- HNW clients
- 903reported
- Pension plan clients
- 25reported
- Charitable clients
- 64reported
- Accounts
- 1,171reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.58 fund_share=0.12 institutional_share=0.21 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Thomas Francis O'NeilChartered Financial Analyst | Baltimore, Md | Oct 8, 1990 | 41 y | 0 |
| Linda Watson Mccleary | Baltimore, Md | Nov 19, 1999 | 27 y | 0 |
| Noelle Evans SavageChartered Financial Analyst | Baltimore, Md | Apr 14, 2022 | 11 y | 0 |
| Michael Norris Morrill | Baltimore, Md | Apr 28, 2022 | 28 y | 0 |
| Christina Lee WaltersCertified Financial Planner | Baltimore, Md | Feb 15, 2023 | 13 y | 0 |
| Daniel Forbes DentChartered Financial Analyst | Baltimore, Md | Jan 1, 2025 | 50 y | 0 |
| Matthew Forbes DentChartered Financial Analyst | Baltimore, Md | Jan 5, 2026 | 25 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 headcount1 left over 36 months
Left, latest
- Gary David Mitchell to Sage Financial Group Inc.Aug 5, 2025 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Forbes Daniel Dent · Chairmancontrolsince 01/1976 · owns 25% to 50%
- Decker Mary Dent · Trusteecontrolsince 12/2003 · owns 25% to 50%
- Forbes Matthew Dent · Presidentcontrolsince 01/2014 · owns 25% to 50%
- Elizabeth Carolyn Gaynor · Chief Compliance Officercontrolsince 01/2019 · owns less than 5%
- Elizabeth Brooke Hrimnak · Chief Operating Officercontrolsince 08/2021 · owns less than 5%
- Norris Michael Morrill · Head Of Client Relations And Marketingcontrolsince 08/2021 · owns 5% to 10%
- Francis Thomas O'Neil · Portfolio Manager, Trusteecontrolsince 06/1985 · owns less than 5%
- Melissa Curry · Shareholdersince 02/2025 · owns 10% to 25%
- Timothy Dent · Shareholdersince 02/2025 · owns 10% to 25%
- Ashley Eklund · Shareholdersince 02/2025 · owns 10% to 25%
- David Gary Mitchell · Portfolio Manager & Analystsince 09/2007 · owns 5% to 10%
- Guangyu Gary Wu · Chief Risk Officersince 09/2013 · owns less than 5%
Entity owners
- Daniel F. Dent 2003 Non Exempt Trust · Trustdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Baltimore, Md · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 18, 2026DENT, MARY, DECKER (TRUSTEE) left Schedule A between the filings of 2022-04-01 and 2026-06-18peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 1,294 to 1,171Aug 6, 2025 to Mar 30, 2026
- Advisory employees · 15 to 16Aug 6, 2025 to Mar 30, 2026
- Charity clients · 87 to 64Aug 6, 2025 to Mar 30, 2026
- Corporate clients · 83 to 62Aug 6, 2025 to Mar 30, 2026
- HNW clients · 936 to 903Aug 6, 2025 to Mar 30, 2026
- Individual clients · 148 to 108Aug 6, 2025 to Mar 30, 2026
- Pension plan clients · 29 to 25Aug 6, 2025 to Mar 30, 2026
- Pooled vehicle clients · 2 to 3Aug 6, 2025 to Mar 30, 2026
- Employees · 33 to 31Aug 6, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 1-10Aug 6, 2025 to Mar 30, 2026
- Discretionary RAUM · $8.6B to $7.9BAug 6, 2025 to Mar 30, 2026
- HNW RAUM · $4.8B to $4.5BAug 6, 2025 to Mar 30, 2026
- Individual RAUM · $70.4M to $53.4MAug 6, 2025 to Mar 30, 2026
- Pension RAUM · $984M to $1.1BAug 6, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $151M to $167MAug 6, 2025 to Mar 30, 2026
- RAUM · $8.6B to $7.9BAug 6, 2025 to Mar 30, 2026
- Related adviser · false to trueAug 6, 2025 to Mar 30, 2026
- Advisory employees · 16 to 15Mar 31, 2025 to Aug 6, 2025
- Financial planning clients · 0 to 0Mar 31, 2025 to Aug 6, 2025
- State-registered IARs · 8 to 7Mar 31, 2025 to Aug 6, 2025
- Accounts · 1,339 to 1,294Mar 26, 2024 to Mar 31, 2025
- Advisory activities · 4 to 5Mar 26, 2024 to Mar 31, 2025
- BD registered reps · 5 to 2Mar 26, 2024 to Mar 31, 2025
- Charity clients · 93 to 87Mar 26, 2024 to Mar 31, 2025
- Corporate clients · 84 to 83Mar 26, 2024 to Mar 31, 2025
- HNW clients · 975 to 936Mar 26, 2024 to Mar 31, 2025
- Individual clients · 144 to 148Mar 26, 2024 to Mar 31, 2025
- Pension plan clients · 30 to 29Mar 26, 2024 to Mar 31, 2025
- Pooled vehicle clients · 3 to 2Mar 26, 2024 to Mar 31, 2025
- Employees · 31 to 33Mar 26, 2024 to Mar 31, 2025
- Financial planning clients · unset to 0Mar 26, 2024 to Mar 31, 2025
- Discretionary RAUM · $8.1B to $8.6BMar 26, 2024 to Mar 31, 2025
- HNW RAUM · $4.5B to $4.8BMar 26, 2024 to Mar 31, 2025
- Individual RAUM · $65.5M to $70.4MMar 26, 2024 to Mar 31, 2025
- Pension RAUM · $737M to $984MMar 26, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $149M to $151MMar 26, 2024 to Mar 31, 2025
- RAUM · $8.1B to $8.6BMar 26, 2024 to Mar 31, 2025
- Accounts · 1,413 to 1,339Mar 31, 2023 to Mar 26, 2024
- Charity clients · 106 to 93Mar 31, 2023 to Mar 26, 2024
- Corporate clients · 91 to 84Mar 31, 2023 to Mar 26, 2024
Signals
6 dated events
- Gary David Mitchell left D.F. Dent And Company, Inc. for Sage Financial Group Inc. (registered 2025-11-20)Aug 5, 2025 · Advisor changed firm · fact
- D.F. Dent And Company, Inc. reported RAUM $8.1B, up 26% from $6.5B (2023-03-31 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- D.F. Dent And Company, Inc. reported RAUM $6.5B, down 31% from $9.4B (2022-04-01 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Norris Michael Morrill (Head Of Client Relations And Marketing) appeared on Schedule A of D.F. Dent And Company, Inc.Mar 31, 2023 · Control person joined · fact
- D.F. Dent And Company, Inc. reported RAUM $8.1B, up 35% from $6.0B (2020-06-15 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- D.F. Dent And Company, Inc. reported RAUM $6.0B, up 44% from $4.2B (2019-03-28 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
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 email
- brooke@dfdent.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- tmcgurkin@dfdent.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- klm@dfdent.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- john@dfdent.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-233-3368reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 410-837-2544reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/df-dent-&-companyreportedpublic record, Form ADV, Sep 17, 2026
- Website
- DFDENT.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 410-837-2544reportedpublic record, Form ADV, Jun 18, 2026
- Team page
- dfdent.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $1.1Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026