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
L•• • A••••••••• I••
Latest filing Apr 16, 2026
First filing on the tape Mar 30, 2012 · 29 filings
SEC status approved since Mar 22, 1982
RAUM
$327M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
97%
$318M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$109M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$327M as of Apr 16, 2026
Mar 30, 2012$141M then
HNW client RAUM$200M as of Apr 16, 2026
Mar 29, 2018$124M then
State-registered IARs (5.B.3)3 as of Apr 16, 2026
Mar 30, 20120 then
Employees (5.A)6 as of Apr 16, 2026
Mar 28, 20136 then
Private funds: no history
RAUM +7.2% over the last fiscal year+13% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 16, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $109MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 99derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $196,970derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publications, educational seminars, otherreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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$200M62%
- Individuals$117M36%
- Banks and thrifts$2.7M0.8%
- Charitable organizations$2.3M0.7%
- Corporations and businesses$1.1M0.3%
- Individual clients
- 243reported
- HNW clients
- 54reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 1,658reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• C•••••• A•••••••••Certified Financial Planner | Glen Echo, Md | Nov 14, 2019 | 37 y | 3 |
| J••••• L•••• H••••••••Certified Financial Planner | Glen Echo, Md | Apr 15, 2020 | 31 y | 1 |
| R•••• B••••••••• B•••••••Certified Financial Planner | Glen Echo, Md | Jul 6, 2022 | 13 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
- J••••• L•••• H•••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Apr 15, 2020 · Affiliated broker-dealer or bank to independent RIA
- D••••• C•••••• A••••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Nov 14, 2019 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• J•••••• L•••• · Ceo/Chief Compliance Officer/Treasurercontrolsince 01/2016 · 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 |
|---|---|---|---|---|---|
| Glen Echo, Md · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Apr 16, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
- HNW share shiftChange between filings · filing Apr 16, 2026HNW share of RAUM moved from 83.0% to 61.0% between the annual amendments of 2025-03-20 and 2026-04-16peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Insurance-licensed employees · 3 to 0Mar 31, 2026 to Apr 16, 2026
- Accounts · 1,623 to 1,658Mar 20, 2025 to Mar 31, 2026
- Charity clients · 2 to 1Mar 20, 2025 to Mar 31, 2026
- Corporate clients · 0 to 6Mar 20, 2025 to Mar 31, 2026
- HNW clients · 119 to 54Mar 20, 2025 to Mar 31, 2026
- Individual clients · 140 to 243Mar 20, 2025 to Mar 31, 2026
- HNW RAUM · $252M to $200MMar 20, 2025 to Mar 31, 2026
- Individual RAUM · $50.5M to $117MMar 20, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $305M to $327MMar 20, 2025 to Mar 31, 2026
- RAUM · $305M to $327MMar 20, 2025 to Mar 31, 2026
- Accounts · 1,018 to 1,623Nov 26, 2024 to Mar 20, 2025
- Financial planning clients · 101-250 to 101-250Nov 26, 2024 to Mar 20, 2025
- HNW RAUM · $162M to $252MNov 26, 2024 to Mar 20, 2025
- Individual RAUM · $50.3M to $50.5MNov 26, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $214M to $305MNov 26, 2024 to Mar 20, 2025
- RAUM · $214M to $305MNov 26, 2024 to Mar 20, 2025
- Accounts · 1,025 to 1,018Oct 26, 2023 to Mar 29, 2024
- HNW clients · 106 to 119Oct 26, 2023 to Mar 29, 2024
- Individual clients · 179 to 140Oct 26, 2023 to Mar 29, 2024
- HNW RAUM · $159M to $162MOct 26, 2023 to Mar 29, 2024
- Individual RAUM · $67.5M to $50.3MOct 26, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $228M to $214MOct 26, 2023 to Mar 29, 2024
- RAUM · $228M to $214MOct 26, 2023 to Mar 29, 2024
- Accounts · 1,047 to 1,025Sep 27, 2022 to Mar 23, 2023
- HNW clients · 118 to 106Sep 27, 2022 to Mar 23, 2023
- Individual clients · 145 to 179Sep 27, 2022 to Mar 23, 2023
- HNW RAUM · $167M to $159MSep 27, 2022 to Mar 23, 2023
- Individual RAUM · $47.2M to $67.5MSep 27, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $217M to $228MSep 27, 2022 to Mar 23, 2023
- RAUM · $217M to $228MSep 27, 2022 to Mar 23, 2023
- Accounts · 1,011 to 1,047May 20, 2021 to Mar 28, 2022
- BD registered reps · 4 to 3May 20, 2021 to Mar 28, 2022
- HNW clients · 90 to 118May 20, 2021 to Mar 28, 2022
- Individual clients · 163 to 145May 20, 2021 to Mar 28, 2022
- Employees · 5 to 6May 20, 2021 to Mar 28, 2022
- HNW RAUM · $144M to $167MMay 20, 2021 to Mar 28, 2022
- Individual RAUM · $49.6M to $47.2MMay 20, 2021 to Mar 28, 2022
- Non-discretionary RAUM · $196M to $217MMay 20, 2021 to Mar 28, 2022
- RAUM · $196M to $217MMay 20, 2021 to Mar 28, 2022
- Insurance-licensed employees · 0 to 3Mar 25, 2021 to May 20, 2021
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
- Firm profile
- linkedin.com/company/1276181/adminreportedpublic record, Form ADV, Sep 18, 2026
- Website
- w••.l•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- [301]229-8500reportedpublic record, Form ADV, Apr 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
- $109Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026