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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Former SEC-registered adviser
C••••••••• H••• • A••••••••• I••
Latest filing Mar 28, 2024
First filing on the tape Mar 30, 2012 · 25 filings
RAUM
$343M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$316M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$343M as of Mar 28, 2024
Mar 30, 2012$127M then
HNW client RAUM$270M as of Mar 28, 2024
Mar 16, 2018$115M then
State-registered IARs (5.B.3)4 as of Mar 28, 2024
Mar 30, 20120 then
Employees (5.A)5 as of Mar 28, 2024
Mar 26, 20135 then
Private funds: no history
RAUM +24% over the last fiscal year+11% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 28, 2024; every figure names its basis
- RAUM per advisor
- $85.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $384,001derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$270M79%
- Individuals$46.3M14%
- Pension and profit-sharing plans$14.3M4.2%
- Charitable organizations$12.8M3.7%
- Individual clients
- 89reported
- HNW clients
- 109reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 893reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- M•••••• L•• B•••• to M•• C•••••• M••••••••• L••Dec 12, 2024 · RIA to RIA
- J•••• H••••• S•••••• to M•• C•••••• M••••••••• L••Dec 12, 2024 · RIA to RIA
- M••••• P••• T••••• to M•• C•••••• M••••••••• L••Dec 12, 2024 · RIA to RIA
- P•••••• G•••••• to M•• C•••••• M••••••••• L••Dec 12, 2024 · RIA to RIA
- J•••••• C•••• G•••••• to A•••••• A••••••• S•••••••Jun 30, 2020 · RIA to affiliated broker-dealer or bank
Joined, latest
- P•••••• G•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jul 14, 2021 · Affiliated broker-dealer or bank to independent RIA
- M•••••• L•• B•••• from C••• F•••••••• S•••••••• L•••Jun 3, 2019 · Affiliated broker-dealer or bank to independent RIA
- J•••••• C•••• G•••••• from A•• G••••Aug 21, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for M•• C•••••• M••••••••• L••Dec 12, 2024 · Gaithersburg, Md · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• J••••• H••••• · Chief Compliance Officer, Presidentcontrolsince 01/2000 · 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 |
|---|---|---|---|---|---|
| Gaithersburg, Md · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 917 to 893Mar 28, 2023 to Mar 28, 2024
- HNW clients · 89 to 109Mar 28, 2023 to Mar 28, 2024
- Individual clients · 100 to 89Mar 28, 2023 to Mar 28, 2024
- Pension plan clients · 9 to 5Mar 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $277M to $343MMar 28, 2023 to Mar 28, 2024
- HNW RAUM · $210M to $270MMar 28, 2023 to Mar 28, 2024
- Individual RAUM · $34.8M to $46.3MMar 28, 2023 to Mar 28, 2024
- Pension RAUM · $19.5M to $14.3MMar 28, 2023 to Mar 28, 2024
- RAUM · $277M to $343MMar 28, 2023 to Mar 28, 2024
- Accounts · 774 to 917Aug 26, 2022 to Mar 28, 2023
- Advisory employees · 6 to 5Aug 26, 2022 to Mar 28, 2023
- HNW clients · 84 to 89Aug 26, 2022 to Mar 28, 2023
- Individual clients · 106 to 100Aug 26, 2022 to Mar 28, 2023
- Pension plan clients · 8 to 9Aug 26, 2022 to Mar 28, 2023
- Employees · 6 to 5Aug 26, 2022 to Mar 28, 2023
- Discretionary RAUM · $303M to $277MAug 26, 2022 to Mar 28, 2023
- HNW RAUM · $221M to $210MAug 26, 2022 to Mar 28, 2023
- Individual RAUM · $48.2M to $34.8MAug 26, 2022 to Mar 28, 2023
- Pension RAUM · $18.5M to $19.5MAug 26, 2022 to Mar 28, 2023
- RAUM · $303M to $277MAug 26, 2022 to Mar 28, 2023
- Accounts · 799 to 774Aug 23, 2021 to Mar 23, 2022
- HNW clients · 76 to 84Aug 23, 2021 to Mar 23, 2022
- Individual clients · 101 to 106Aug 23, 2021 to Mar 23, 2022
- Discretionary RAUM · $254M to $303MAug 23, 2021 to Mar 23, 2022
- HNW RAUM · $184M to $221MAug 23, 2021 to Mar 23, 2022
- Individual RAUM · $55.1M to $48.2MAug 23, 2021 to Mar 23, 2022
- Pension RAUM · $12.8M to $18.5MAug 23, 2021 to Mar 23, 2022
- RAUM · $254M to $303MAug 23, 2021 to Mar 23, 2022
- Advisory employees · 5 to 6Mar 15, 2021 to Aug 23, 2021
- Employees · 5 to 6Mar 15, 2021 to Aug 23, 2021
- State-registered IARs · 3 to 4Mar 15, 2021 to Aug 23, 2021
- Accounts · 777 to 799Jun 22, 2020 to Mar 15, 2021
- Charity clients · 2.0 to unsetJun 22, 2020 to Mar 15, 2021
- HNW clients · 75 to 76Jun 22, 2020 to Mar 15, 2021
- Individual clients · 103 to 101Jun 22, 2020 to Mar 15, 2021
- Discretionary RAUM · $225M to $254MJun 22, 2020 to Mar 15, 2021
- HNW RAUM · $159M to $184MJun 22, 2020 to Mar 15, 2021
- Individual RAUM · $49.1M to $55.1MJun 22, 2020 to Mar 15, 2021
- Pension RAUM · $13.0M to $12.8MJun 22, 2020 to Mar 15, 2021
- RAUM · $225M to $254MJun 22, 2020 to Mar 15, 2021
Signals
5 dated events
- M•••••• L•• B•••• left C••••••••• H••• • A••••••••• I•• for M•• C•••••• M••••••••• L•• (registered 2024-12-16)Dec 12, 2024 · Advisor changed firm · fact
- J•••• H••••• S•••••• left C••••••••• H••• • A••••••••• I•• for M•• C•••••• M••••••••• L•• (registered 2025-01-06)Dec 12, 2024 · Advisor changed firm · fact
- M••••• P••• T••••• left C••••••••• H••• • A••••••••• I•• for M•• C•••••• M••••••••• L•• (registered 2025-01-13)Dec 12, 2024 · Advisor changed firm · fact
- P•••••• G•••••• left C••••••••• H••• • A••••••••• I•• for M•• C•••••• M••••••••• L•• (registered 2025-01-01)Dec 12, 2024 · Advisor changed firm · fact
- C••••••••• H••• • A••••••••• I••'s advisors moved to M•• C•••••• M••••••••• L•• (Gaithersburg, MD): 4 of 4 registered, on the same dayDec 12, 2024 · Firm absorbed (people side) · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026