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
O•• D••••••• C•••••• M••••••••• I•••
Latest filing Apr 26, 2021
First filing on the tape Feb 29, 2012 · 35 filings
RAUM
$893M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
88%
$790M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$893M as of Mar 31, 2021
Feb 29, 2012$256M then
HNW client RAUM$702M as of Mar 31, 2021
Mar 22, 2018$254M then
State-registered IARs (5.B.3)8 as of Mar 31, 2021
Feb 21, 20137 then
Employees (5.A)11 as of Mar 31, 2021
Feb 21, 20138 then
Private funds: no history
RAUM +33% over the last fiscal year+37% a year over threeIARs 10 to 9offices 2 to 1
Practice profile
derived from the filing of Apr 26, 2021; every figure names its basis
- RAUM per advisor
- $99.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $698,908derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +33%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $174M, 62 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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$702M86%
- Individuals$88.1M11%
- Pension and profit-sharing plans$12.5M1.5%
- Charitable organizations$10.4M1.3%
- Corporations and businesses$4.1M0.5%
- Individual clients
- 222reported
- HNW clients
- 223reported
- Pension plan clients
- 7reported
- Charitable clients
- 6reported
- Accounts
- 1,277reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $174M for 62 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- J•••• P• T••••••• to P•••• S••••••••• L••Nov 9, 2020 · RIA to affiliated broker-dealer or bank
- T•••••• U•• S••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 13, 2017 · Other
- B•••• M•••••• C••••• to B••• I••••••••• S•••••••• I•••May 3, 2010 · Other
- J••••••• D•••• W••••• to B••••••• C•••••• A•••••••• L••Oct 22, 2009 · Other
- J•••••• D••• H•••••••• to S••••••• I••••••••• S•••••••• I•••Jul 18, 2006 · Other
Joined, latest
- B•••• M••••• from E•• F•••••••• A•••••••Apr 21, 2021 · Affiliated broker-dealer or bank to independent RIA
- J•••• P• T••••••• from C••••••••• F•••••••• N••••••Nov 19, 2018 · Affiliated broker-dealer or bank to independent RIA
- B••••••• J••••• P••••• from O•••••••• A•••••••• L•••Jul 9, 2018 · RIA to RIA
- J••• S•••• M•••• from L•• F•••••••• L••Jul 3, 2018 · RIA to RIA
- J•••••• D••• H•••••••• from T••••• A••••••• S•••••••• I•••Mar 21, 2018 · Other
- T•••••• U•• S••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Dec 1, 2016 · Other
- B•••• M•••••• C••••• from U••••• B•••••••• S••••••• I••Dec 17, 2009 · Other
- M•••••• J••• G•••• from C••••••••• F•••••••• N••••••Jun 22, 2007 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 9 left for D••••• H•••••• F•••••• • B••••• I•••Oct 4, 2021 · Charlottesville, Va · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• M•••••• L•••••• · Chief Compliance Officercontrolsince 01/2008 · owns less than 5%
- B••••• D••••• G• · Member Board Of Directorscontrolsince 05/2016 · owns less than 5%
- E••••••••• J••••• T••••••• · Member Board Of Directorscontrolsince 05/2016 · owns less than 5%
- H••••••••• J••••••• D••• · Managing Director/ Member Board Of Directorscontrolsince 03/2018 · owns less than 5%
- M••••••• P••••••• E• · Member Board Of Directorscontrolsince 05/2020 · owns less than 5%
- P•••••• B•••••••• J••••• · Regional Managing Director / Chief Investment Officercontrolsince 07/2018 · owns less than 5%
Entity owners
- A••••••• U•••• B••• · Corporationdirect · owns 75% or more
- A••••••• U•••• B••••••••• C••••••••• · Corporationindirect · owns 75% or more of A••••••• U•••• B••• · public reporting company
Related persons
Schedule D 7.A
- A••••• I•••••••• G••••• L••real estaten
- A••••••• U•••• B••••••••• C•••••••••y
- A••••••• U•••• F•••••••• C••••••••• L••investment advisern
- D••••• H•••••• F•••••• • B••••• I•••investment advisernRAUM $1.6B
- J•••••• B••••••insurancen
- U•••• I•••••••• G•••• L••real estaten
Offices
Schedule D 1.F, the 25 largest
- Arlington, VA3 employees
What changed
consecutive filings, newest first
- Advisory employees · 8 to 9Mar 31, 2021 to Apr 26, 2021
- Employees · 11 to 12Mar 31, 2021 to Apr 26, 2021
- State-registered IARs · 8 to 9Mar 31, 2021 to Apr 26, 2021
- Accounts · 1,247 to 1,277Jan 14, 2021 to Mar 31, 2021
- Advisory employees · 10 to 8Jan 14, 2021 to Mar 31, 2021
- Charity clients · 5 to 6Jan 14, 2021 to Mar 31, 2021
- Corporate clients · 2 to 5Jan 14, 2021 to Mar 31, 2021
- HNW clients · 175 to 223Jan 14, 2021 to Mar 31, 2021
- Individual clients · 291 to 222Jan 14, 2021 to Mar 31, 2021
- Pension plan clients · 10 to 7Jan 14, 2021 to Mar 31, 2021
- Assets in custody · $158M to $174MJan 14, 2021 to Mar 31, 2021
- Employees · 13 to 11Jan 14, 2021 to Mar 31, 2021
- State-registered IARs · 10 to 8Jan 14, 2021 to Mar 31, 2021
- Other offices · 2 to 1Jan 14, 2021 to Mar 31, 2021
- Discretionary RAUM · $767M to $879MJan 14, 2021 to Mar 31, 2021
- HNW RAUM · $565M to $702MJan 14, 2021 to Mar 31, 2021
- Individual RAUM · $132M to $88.1MJan 14, 2021 to Mar 31, 2021
- Non-discretionary RAUM · $11.0M to $13.1MJan 14, 2021 to Mar 31, 2021
- Pension RAUM · $15.0M to $12.5MJan 14, 2021 to Mar 31, 2021
- RAUM · $778M to $893MJan 14, 2021 to Mar 31, 2021
- Accounts · 1,248 to 1,247Mar 31, 2020 to Jun 25, 2020
- HNW clients · 167 to 175Mar 31, 2020 to Jun 25, 2020
- Individual clients · 280 to 291Mar 31, 2020 to Jun 25, 2020
- Assets in custody · $138M to $158MMar 31, 2020 to Jun 25, 2020
- Discretionary RAUM · $664M to $767MMar 31, 2020 to Jun 25, 2020
- HNW RAUM · $481M to $565MMar 31, 2020 to Jun 25, 2020
- Individual RAUM · $113M to $132MMar 31, 2020 to Jun 25, 2020
- Non-discretionary RAUM · $9.3M to $11.0MMar 31, 2020 to Jun 25, 2020
- RAUM · $674M to $778MMar 31, 2020 to Jun 25, 2020
- Accounts · 1,165 to 1,248Oct 25, 2019 to Mar 31, 2020
- Advisory employees · 9 to 10Oct 25, 2019 to Mar 31, 2020
- Charity clients · 7 to 5Oct 25, 2019 to Mar 31, 2020
- Corporate clients · 3 to 2Oct 25, 2019 to Mar 31, 2020
- HNW clients · 181 to 167Oct 25, 2019 to Mar 31, 2020
- Individual clients · 243 to 280Oct 25, 2019 to Mar 31, 2020
- Pension plan clients · 12 to 10Oct 25, 2019 to Mar 31, 2020
- Assets in custody · $179M to $138MOct 25, 2019 to Mar 31, 2020
- Employees · 12 to 13Oct 25, 2019 to Mar 31, 2020
- State-registered IARs · 9 to 10Oct 25, 2019 to Mar 31, 2020
- Discretionary RAUM · $745M to $664MOct 25, 2019 to Mar 31, 2020
Signals
3 dated events
- Preston Robert Martin (Member Board Of Directors) no longer on Schedule A of O•• D••••••• C•••••• M••••••••• I••• (listed 2019-10-25, absent 2020-03-31)Mar 31, 2020 · Control person left · inference
- M•••••• James Childress (Managing Director / Member Board Of Directors) no longer on Schedule A of O•• D••••••• C•••••• M••••••••• I••• (listed 2019-05-20, absent 2019-05-21)May 21, 2019 · Control person left · inference
- O•• D••••••• C•••••• M••••••••• I••• reported RAUM $737.7M, up 115% from $343.7M (2018-03-22 to 2018-07-17)Jul 17, 2018 · 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.
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