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

C••••••• • C• I••

Former SEC-registered adviserMclean, VirginiaCRD 106566SEC 801-45493IAPD
Latest filing Mar 30, 2021
First filing on the tape Mar 20, 2012 · 22 filings
RAUM
$3.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$3.6B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
66
19 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$3.7B as of Mar 30, 2021
Mar 20, 2012$806M then
HNW client RAUM$3.4B as of Mar 30, 2021
Mar 28, 2018$2.1B then
State-registered IARs (5.B.3)14 as of Mar 30, 2021
Mar 19, 20138 then
Employees (5.A)66 as of Mar 30, 2021
Mar 19, 201326 then
Private funds: no history
RAUM +21% over the last fiscal year+16% a year over threeIARs 12 to 14
Practice profile
derived from the filing of Mar 30, 2021; every figure names its basis
RAUM per advisor
$263MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
197derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.7derivedItem 5.A over advisors
Advisors per office
14.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
+17%derivedItem 5.B.3 between annual amendments
Client growth, one year
+34%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Financial planning clients
2,500reportedItem 5.H
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)
  • 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
  • High-net-worth individuals$3.4B92%
  • Individuals$242M6.6%
  • Charitable organizations$29.9M0.8%
  • Pension and profit-sharing plans$26.6M0.7%
  • Corporations and businesses$2.1M0.1%
Individual clients
1,434reported
HNW clients
1,330reported
Pension plan clients
36reported
Charitable clients
11reported
Accounts
2,816reported
Financial planning clients
2,500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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
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
    • C•••••••• S••••••• Q•••• · Presidentcontrol
      since 09/1993 · owns 75% or more
    • H•••••• K••••••• J••••• · Principalcontrol
      since 06/2011 · owns less than 5%
    • K••••• C••••••••• A•••••• · Principalcontrol
      since 06/2011 · owns less than 5%
    • Y••••• C••••••••• M•••••• · Principalcontrol
      since 06/2011 · owns less than 5%
    • S••••••• L••••• A•• · Chief Compliance Officer
      since 09/2004 · owns less than 5%
    Related persons
    Schedule D 7.A
    • J•••••• M••••••••• P••••••
      n
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 6,128 to 2,816
      Jun 16, 2020 to Mar 30, 2021
    • Advisory employees · 18 to 19
      Jun 16, 2020 to Mar 30, 2021
    • BD registered reps · 2 to 15
      Jun 16, 2020 to Mar 30, 2021
    • Charity clients · unset to 11.0
      Jun 16, 2020 to Mar 30, 2021
    • HNW clients · 1,193 to 1,330
      Jun 16, 2020 to Mar 30, 2021
    • Individual clients · 869 to 1,434
      Jun 16, 2020 to Mar 30, 2021
    • Pension plan clients · 32 to 36
      Jun 16, 2020 to Mar 30, 2021
    • Employees · 63 to 66
      Jun 16, 2020 to Mar 30, 2021
    • State-registered IARs · 12 to 14
      Jun 16, 2020 to Mar 30, 2021
    • Discretionary RAUM · $3.0B to $3.7B
      Jun 16, 2020 to Mar 30, 2021
    • HNW RAUM · $2.8B to $3.4B
      Jun 16, 2020 to Mar 30, 2021
    • Individual RAUM · $241M to $242M
      Jun 16, 2020 to Mar 30, 2021
    • Pension RAUM · $23.1M to $26.6M
      Jun 16, 2020 to Mar 30, 2021
    • RAUM · $3.0B to $3.7B
      Jun 16, 2020 to Mar 30, 2021
    • Accounts · 5,658 to 6,128
      Aug 5, 2019 to Apr 7, 2020
    • BD registered reps · 20 to 2
      Aug 5, 2019 to Apr 7, 2020
    • HNW clients · 1,022 to 1,193
      Aug 5, 2019 to Apr 7, 2020
    • Individual clients · 888 to 869
      Aug 5, 2019 to Apr 7, 2020
    • Pension plan clients · 28 to 32
      Aug 5, 2019 to Apr 7, 2020
    • Employees · 48 to 63
      Aug 5, 2019 to Apr 7, 2020
    • State-registered IARs · 11 to 12
      Aug 5, 2019 to Apr 7, 2020
    • Discretionary RAUM · $2.4B to $3.0B
      Aug 5, 2019 to Apr 7, 2020
    • HNW RAUM · $2.1B to $2.8B
      Aug 5, 2019 to Apr 7, 2020
    • Individual RAUM · $260M to $241M
      Aug 5, 2019 to Apr 7, 2020
    • Pension RAUM · $17.0M to $23.1M
      Aug 5, 2019 to Apr 7, 2020
    • RAUM · $2.4B to $3.0B
      Aug 5, 2019 to Apr 7, 2020
    • Accounts · 5,117 to 5,658
      Mar 28, 2018 to Mar 28, 2019
    • BD registered reps · 22 to 20
      Mar 28, 2018 to Mar 28, 2019
    • Corporate clients · unset to 5.0
      Mar 28, 2018 to Mar 28, 2019
    • HNW clients · 1,036 to 1,022
      Mar 28, 2018 to Mar 28, 2019
    • Individual clients · 716 to 888
      Mar 28, 2018 to Mar 28, 2019
    • Pension plan clients · unset to 28.0
      Mar 28, 2018 to Mar 28, 2019
    • Employees · 44 to 48
      Mar 28, 2018 to Mar 28, 2019
    • Discretionary RAUM · $2.4B to $2.4B
      Mar 28, 2018 to Mar 28, 2019
    • HNW RAUM · $2.1B to $2.1B
      Mar 28, 2018 to Mar 28, 2019
    • Individual RAUM · $244M to $260M
      Mar 28, 2018 to Mar 28, 2019
    • Pension RAUM · $918,012 to $17.0M
      Mar 28, 2018 to Mar 28, 2019
    • RAUM · $2.4B to $2.4B
      Mar 28, 2018 to Mar 28, 2019
    • Accounts · 4,486 to 5,117
      Jun 14, 2017 to Mar 28, 2018
    • HNW clients · unset to 1036.0
      Jun 14, 2017 to Mar 28, 2018
    Signals
    3 dated events
    • C••••••• • C• I••'s advisors moved to C••••••• • C••••••• I••• (Mclean, VA): 14 of 14 registered, on the same day
      Jan 4, 2022 · Firm absorbed (people side) · derived
    • C••••••• • C• I•• reported RAUM $3.0B, up 27% from $2.4B (2019-08-05 to 2020-04-07)
      Apr 7, 2020 · RAUM change · derived
    • C••••••• • C• I•• reported RAUM $2.4B, up 30% from $1.8B (2017-06-14 to 2018-03-28)
      Mar 28, 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