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
S••••••• F•••••••• I••
Latest filing Mar 19, 2026
First filing on the tape Mar 28, 2012 · 33 filings
SEC status approved since Dec 30, 1988
RAUM
$236M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
15%
$34.4M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$118M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$236M as of Mar 19, 2026
Mar 28, 2012$217M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 19, 2026
Mar 26, 20131 then
Employees (5.A)9 as of Mar 19, 2026
Mar 26, 20135 then
Private funds: no history
RAUM -11% over the last fiscal year-14% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
- RAUM per advisor
- $118MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $520,890derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for investment companies, otherreportedItem 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
- 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
- Investment companies$193M81%
- Individuals$34.4M15%
- Corporations and businesses$4.9M2.1%
- Charitable organizations$2.7M1.1%
- Pension and profit-sharing plans$1.9M0.8%
- Individual clients
- 213reported
- HNW clients
- n/areported
- Pension plan clients
- 2reported
- Charitable clients
- 9reported
- Accounts
- 454reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.15 fund_share=0.81 institutional_share=0.02 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• J••• D•••••• | Virginia Beach, Va | Jan 5, 1989 | 49 y | 0 |
| E•••• M••••••• F•••••• | Virginia Beach, Va | Aug 4, 2017 | 14 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
- R•••• E••••• S•••• to Q•• F•••••••• L••Nov 11, 2009 · Other
- K••• P•••••• to N•• A•••••• S•••••••• L••Dec 31, 2005 · Other
- D•••• W•••• B••••••• to M• H••••••• S••••••••• I•••Dec 31, 2005 · Other
- D••••• B•••• P•••••• to M• F•••••••• S•••••••• I•••Dec 31, 2005 · Other
Joined, latest
- R•••• E••••• S•••• from L•••••• C•••••• M•••••••••Oct 10, 2007 · Other
- K••• P•••••• from O•••• W•••••• I•••Feb 1, 2002 · Other
- D•••• W•••• B••••••• from O•••• W•••••• I•••Feb 1, 2002 · Other
- D••••• B•••• P•••••• from O•••• W•••••• I•••Apr 11, 1998 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• M•••• K• · Chief Compliance Officercontrolsince 08/2004 · owns less than 5%
- D••••••• R••••• J••• · Ceocontrolsince 03/2003 · owns 75% or more
Related persons
Schedule D 7.A
- H••••••••• A•••••••• L••investment advisernRAUM $148M
Advisers that list S••••••• F•••••••• I•• as a related person
- 131854 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Virginia Beach, Va · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 19, 2026accounts (Item 5.F.2.f) moved from 245.0 to 454.0 (+85.0%) between the annual amendments of 2025-03-26 and 2026-03-19; the peer median change was +11.0% (14 comparable advisers, 100.0th percentile of changes)peers: other advisers, $100M to $500M (14) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 245 to 454Mar 26, 2025 to Mar 19, 2026
- Individual clients · 223 to 213Mar 26, 2025 to Mar 19, 2026
- Discretionary RAUM · $266M to $236MMar 26, 2025 to Mar 19, 2026
- Individual RAUM · $34.3M to $34.4MMar 26, 2025 to Mar 19, 2026
- Pension RAUM · $1.9M to $1.9MMar 26, 2025 to Mar 19, 2026
- RAUM · $266M to $236MMar 26, 2025 to Mar 19, 2026
- Accounts · 243 to 245Mar 19, 2024 to Mar 26, 2025
- Individual clients · 218 to 223Mar 19, 2024 to Mar 26, 2025
- Employees · 6 to 9Mar 19, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Mar 19, 2024 to Mar 26, 2025
- Discretionary RAUM · $292M to $266MMar 19, 2024 to Mar 26, 2025
- Individual RAUM · $38.3M to $34.3MMar 19, 2024 to Mar 26, 2025
- Pension RAUM · $2.0M to $1.9MMar 19, 2024 to Mar 26, 2025
- RAUM · $292M to $266MMar 19, 2024 to Mar 26, 2025
- Accounts · 253 to 243Oct 11, 2023 to Mar 15, 2024
- Advisory employees · 4 to 5Oct 11, 2023 to Mar 15, 2024
- Corporate clients · 5 to 4Oct 11, 2023 to Mar 15, 2024
- Individual clients · 227 to 218Oct 11, 2023 to Mar 15, 2024
- Discretionary RAUM · $370M to $292MOct 11, 2023 to Mar 15, 2024
- Individual RAUM · $40.0M to $38.3MOct 11, 2023 to Mar 15, 2024
- Pension RAUM · $2.4M to $2.0MOct 11, 2023 to Mar 15, 2024
- RAUM · $370M to $292MOct 11, 2023 to Mar 15, 2024
- Accounts · 257 to 253Apr 14, 2022 to Mar 15, 2023
- Corporate clients · 6 to 5Apr 14, 2022 to Mar 15, 2023
- Individual clients · 228 to 227Apr 14, 2022 to Mar 15, 2023
- Discretionary RAUM · $403M to $370MApr 14, 2022 to Mar 15, 2023
- Individual RAUM · $39.6M to $40.0MApr 14, 2022 to Mar 15, 2023
- Pension RAUM · $2.7M to $2.4MApr 14, 2022 to Mar 15, 2023
- RAUM · $403M to $370MApr 14, 2022 to Mar 15, 2023
- Accounts · 429 to 257Nov 11, 2021 to Mar 16, 2022
- Advisory employees · 3 to 4Nov 11, 2021 to Mar 16, 2022
- Charity clients · 10 to 9Nov 11, 2021 to Mar 16, 2022
- Individual clients · 211 to 228Nov 11, 2021 to Mar 16, 2022
- Employees · 5 to 6Nov 11, 2021 to Mar 16, 2022
- Discretionary RAUM · $416M to $403MNov 11, 2021 to Mar 16, 2022
- Individual RAUM · $42.4M to $39.6MNov 11, 2021 to Mar 16, 2022
- Pension RAUM · $2.4M to $2.7MNov 11, 2021 to Mar 16, 2022
- RAUM · $416M to $403MNov 11, 2021 to Mar 16, 2022
- Accounts · 425 to 429May 14, 2020 to Mar 26, 2021
- Charity clients · 8 to 10May 14, 2020 to Mar 26, 2021
Signals
1 dated events
- S••••••• F•••••••• I•• reported RAUM $415.8M, up 185% from $146.0M (2020-05-14 to 2021-03-26)Mar 26, 2021 · 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 757-463-7600reportedpublic record, Form ADV, Mar 19, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $118Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026