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

P••••• L•••• • F••• A•••• M••••••••• I•••

Former SEC-registered adviserRichmond, VirginiaCRD 105914SEC 801-47333IAPD
Latest filing Feb 23, 2021
First filing on the tape Mar 26, 2012 · 19 filings
RAUM
$371M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
92%
$343M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$371M as of Feb 22, 2021
Mar 26, 2012$176M then
HNW client RAUM$318M as of Feb 22, 2021
Feb 17, 2018$295M then
State-registered IARs (5.B.3)5 as of Feb 22, 2021
Mar 26, 20120 then
Employees (5.A)7 as of Feb 22, 2021
Mar 25, 20136 then
Private funds: no history
RAUM +2.0% over the last fiscal year+2.6% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Feb 23, 2021; every figure names its basis
RAUM per advisor
$74.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
27derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.3MderivedHNW RAUM over HNW clients
Average account
$909,351derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
7.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+2.0%derivedbetween the last two annual amendments
Advisor growth, one year
+25%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.4%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$50.1M, 35 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$318M86%
  • Individuals$24.8M6.7%
  • Pension and profit-sharing plans$16.8M4.5%
  • Charitable organizations$11.6M3.1%
Individual clients
42reported
HNW clients
95reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
408reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$50.1M for 35 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L••••• J••••••• D•••• · Chief Compliance Officercontrol
        since 09/1994 · owns 50% to 75%
      • P•••••• F••••••• A•••••• · Principalcontrol
        since 09/1994 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 422 to 408
        Jun 10, 2020 to Feb 22, 2021
      • Advisory employees · 4 to 5
        Jun 10, 2020 to Feb 22, 2021
      • HNW clients · 89 to 95
        Jun 10, 2020 to Feb 22, 2021
      • Individual clients · 41 to 42
        Jun 10, 2020 to Feb 22, 2021
      • Assets in custody · $67.1M to $50.1M
        Jun 10, 2020 to Feb 22, 2021
      • Employees · 5 to 7
        Jun 10, 2020 to Feb 22, 2021
      • State-registered IARs · 4 to 5
        Jun 10, 2020 to Feb 22, 2021
      • Discretionary RAUM · $354M to $360M
        Jun 10, 2020 to Feb 22, 2021
      • HNW RAUM · $313M to $318M
        Jun 10, 2020 to Feb 22, 2021
      • Individual RAUM · $24.7M to $24.8M
        Jun 10, 2020 to Feb 22, 2021
      • Non-discretionary RAUM · $9.6M to $10.7M
        Jun 10, 2020 to Feb 22, 2021
      • Pension RAUM · $15.7M to $16.8M
        Jun 10, 2020 to Feb 22, 2021
      • RAUM · $364M to $371M
        Jun 10, 2020 to Feb 22, 2021
      • Accounts · 432 to 422
        Aug 8, 2019 to Feb 14, 2020
      • Advisory employees · 5 to 4
        Aug 8, 2019 to Feb 14, 2020
      • Charity clients · 2.0 to unset
        Aug 8, 2019 to Feb 14, 2020
      • HNW clients · 86 to 89
        Aug 8, 2019 to Feb 14, 2020
      • Individual clients · 45 to 41
        Aug 8, 2019 to Feb 14, 2020
      • Pension plan clients · 4.0 to unset
        Aug 8, 2019 to Feb 14, 2020
      • Assets in custody · unset to 67077165.0
        Aug 8, 2019 to Feb 14, 2020
      • Custody of client assets · false to true
        Aug 8, 2019 to Feb 14, 2020
      • Employees · 6 to 5
        Aug 8, 2019 to Feb 14, 2020
      • State-registered IARs · 5 to 4
        Aug 8, 2019 to Feb 14, 2020
      • Discretionary RAUM · $309M to $354M
        Aug 8, 2019 to Feb 14, 2020
      • HNW RAUM · $268M to $313M
        Aug 8, 2019 to Feb 14, 2020
      • Individual RAUM · $24.8M to $24.7M
        Aug 8, 2019 to Feb 14, 2020
      • Non-discretionary RAUM · $8.1M to $9.6M
        Aug 8, 2019 to Feb 14, 2020
      • Pension RAUM · $15.9M to $15.7M
        Aug 8, 2019 to Feb 14, 2020
      • RAUM · $317M to $364M
        Aug 8, 2019 to Feb 14, 2020
      • Accounts · 429 to 432
        Feb 17, 2018 to Feb 5, 2019
      • Charity clients · 3 to 2
        Feb 17, 2018 to Feb 5, 2019
      • HNW clients · 105 to 86
        Feb 17, 2018 to Feb 5, 2019
      • Individual clients · 30 to 45
        Feb 17, 2018 to Feb 5, 2019
      • Pension plan clients · 6 to 4
        Feb 17, 2018 to Feb 5, 2019
      • Discretionary RAUM · $334M to $309M
        Feb 17, 2018 to Feb 5, 2019
      • HNW RAUM · $295M to $268M
        Feb 17, 2018 to Feb 5, 2019
      • Individual RAUM · $12.9M to $24.8M
        Feb 17, 2018 to Feb 5, 2019
      • Non-discretionary RAUM · $9.7M to $8.1M
        Feb 17, 2018 to Feb 5, 2019
      • Pension RAUM · $25.2M to $15.9M
        Feb 17, 2018 to Feb 5, 2019
      • RAUM · $343M to $317M
        Feb 17, 2018 to Feb 5, 2019
      Signals
      3 dated events
      • J•••••• D•••• L•••• left P••••• L•••• • F••• A•••• M••••••••• I••• for D••••• W•••••• L•• (registered 2022-02-15)
        Feb 24, 2022 · Advisor changed firm · fact
      • F•••••• A•••••• P••••• left P••••• L•••• • F••• A•••• M••••••••• I••• for D••••• W•••••• L•• (registered 2022-02-15)
        Feb 16, 2022 · Advisor changed firm · fact
      • 2 advisors left P••••• L•••• • F••• A•••• M••••••••• I••• (Richmond, VA) for D••••• W•••••• L•• within 8 days
        Feb 16, 2022 · Team lift-out · 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