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
A•••••••• R••••••• A••••••• I••
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2012 · 18 filings
SEC status approved since Jun 26, 1991
RAUM
$404M
reported, Item 5.F
Discretionary
68%
of RAUM
Private clients
100%
$404M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$202M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$404M as of Mar 31, 2026
Mar 29, 2012$253M then
HNW client RAUM$383M as of Mar 31, 2026
Mar 27, 2018$287M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 29, 20120 then
Employees (5.A)5 as of Mar 31, 2026
Mar 19, 20137 then
Private funds: no history
RAUM +11% over the last fiscal year+8.5% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $202MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $852,130derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 68%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 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
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $121M, 68 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$383M95%
- Individuals$21.0M5.2%
- Charitable organizations$125,6820.0%
- Individual clients
- 37reported
- HNW clients
- 101reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 474reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $121M for 68 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••• W•••••• S•••••••• | Reston, Va | Dec 8, 1994 | 39 y | 0 |
| M•••••• D•••• S••••••Certified Financial Planner, Chartered Financial Analyst | Reston, Va | Feb 9, 2004 | 32 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- R••••• A••••• K•••••• to A••••• S•••• F•••••••• A•••••••Mar 3, 2026 · RIA to a state-registered adviser
Joined, latest
- M•••••• D•••• S•••••• from S••••••••• G••••• • K••• • W••••• A•••••••Feb 9, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••• R•••••• A••••• · Principalcontrolsince 01/2002 · owns 10% to 25%
- S••••••••• G•••• W•••••• · Chairman & Chief Compliance Officercontrolsince 01/2002 · owns 75% or more
- S••••••• M••••••• D•••• · Directorcontrolsince 12/2009 · owns less than 5%
Related persons
Schedule D 7.A
- A•••••••• R•••••••• I•••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Reston, Va | 2 | 0 | 0 | ||
| Mclean, Va · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 31, 2026insurance affiliate (Item 7.A.10): yes on the filing of 2025-03-28, no on the filing of 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 488 to 474Mar 28, 2025 to Mar 31, 2026
- HNW clients · 99 to 101Mar 28, 2025 to Mar 31, 2026
- Individual clients · 44 to 37Mar 28, 2025 to Mar 31, 2026
- Assets in custody · $106M to $121MMar 28, 2025 to Mar 31, 2026
- Employees · 7 to 5Mar 28, 2025 to Mar 31, 2026
- State-registered IARs · 3 to 2Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $246M to $273MMar 28, 2025 to Mar 31, 2026
- HNW RAUM · $340M to $383MMar 28, 2025 to Mar 31, 2026
- Individual RAUM · $23.7M to $21.0MMar 28, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $118M to $131MMar 28, 2025 to Mar 31, 2026
- RAUM · $364M to $404MMar 28, 2025 to Mar 31, 2026
- Related insurance company · true to falseMar 28, 2025 to Mar 31, 2026
- Accounts · 499 to 488Mar 29, 2024 to Mar 28, 2025
- HNW clients · 100 to 99Mar 29, 2024 to Mar 28, 2025
- Individual clients · 48 to 44Mar 29, 2024 to Mar 28, 2025
- Assets in custody · $114M to $106MMar 29, 2024 to Mar 28, 2025
- Financial planning clients · 51-100 to 51-100Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $248M to $246MMar 29, 2024 to Mar 28, 2025
- HNW RAUM · $338M to $340MMar 29, 2024 to Mar 28, 2025
- Individual RAUM · $22.7M to $23.7MMar 29, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $113M to $118MMar 29, 2024 to Mar 28, 2025
- RAUM · $361M to $364MMar 29, 2024 to Mar 28, 2025
- Accounts · 483 to 499Mar 31, 2023 to Mar 29, 2024
- HNW clients · 93 to 100Mar 31, 2023 to Mar 29, 2024
- Individual clients · 52 to 48Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $91.2M to $114MMar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $215M to $248MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $290M to $338MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $25.9M to $22.7MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $101M to $113MMar 31, 2023 to Mar 29, 2024
- RAUM · $316M to $361MMar 31, 2023 to Mar 29, 2024
- Accounts · 477 to 483May 31, 2022 to Mar 31, 2023
- Advisory activities · 4 to 3May 31, 2022 to Mar 31, 2023
- HNW clients · 95 to 93May 31, 2022 to Mar 31, 2023
- Individual clients · 48 to 52May 31, 2022 to Mar 31, 2023
- Assets in custody · $95.4M to $91.2MMay 31, 2022 to Mar 31, 2023
- Employees · 6 to 7May 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $217M to $215MMay 31, 2022 to Mar 31, 2023
- HNW RAUM · $329M to $290MMay 31, 2022 to Mar 31, 2023
- Individual RAUM · $25.0M to $25.9MMay 31, 2022 to Mar 31, 2023
Signals
1 dated events
- R••••• A••••• K•••••• left A•••••••• R••••••• A••••••• I•• for A••••• S•••• F•••••••• A••••••• (registered 2026-03-19)Mar 3, 2026 · Advisor changed firm · fact
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
- A••••••••R•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 703-734-1507reportedpublic record, Form ADV, Mar 31, 2026
- Team page
- a•••••••••.comreportedpublished by the firm, firm site, Sep 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
- $202Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026