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.
SEC-registered adviser
Investment Management Corporation
Latest filing Feb 26, 2026
First filing on the tape Mar 15, 2012 · 25 filings
SEC status approved since Mar 25, 2016
RAUM
$191M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$182M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$63.7M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$191M as of Feb 26, 2026
Mar 15, 2012$72.5M then
HNW client RAUM$148M as of Feb 26, 2026
Mar 27, 2018$80.1M then
State-registered IARs (5.B.3)3 as of Feb 26, 2026
Mar 29, 20172 then
Employees (5.A)6 as of Feb 26, 2026
Mar 29, 20175 then
Private funds: no history
RAUM +13% over the last fiscal year+10% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 26, 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
- RAUM per advisor
- $63.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $287,057derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$148M77%
- Individuals$34.8M18%
- Pension and profit-sharing plans$8.7M4.5%
- Corporations and businesses$45,4670.0%
- Individual clients
- 135reported
- HNW clients
- 49reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 666reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Gregory Tinaglia | Roanoke, Va | Mar 9, 1988 | 42 y | 0 |
| Kevin William Warman | Roanoke, Va | Apr 2, 2014 | 15 y | 1 |
| Denise L HeimelCertified Financial Planner | Roanoke, Va | Jun 8, 2023 | 21 y | 6 |
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
- Denise L Heimel from Morgan StanleyJun 8, 2023 · Wirehouse to independent RIA
- Kevin William Warman from Esi Financial AdvisorsApr 2, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Gregory John Tinaglia · President/Chief Compliance Officercontrolsince 01/1986 · 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 |
|---|---|---|---|---|---|
| Roanoke, Va · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Mt Pleasant, SC1 employees
What changed
consecutive filings, newest first
- Accounts · 616 to 666Mar 27, 2025 to Feb 26, 2026
- Corporate clients · 2 to 3Mar 27, 2025 to Feb 26, 2026
- HNW clients · 47 to 49Mar 27, 2025 to Feb 26, 2026
- Individual clients · 127 to 135Mar 27, 2025 to Feb 26, 2026
- Discretionary RAUM · $170M to $191MMar 27, 2025 to Feb 26, 2026
- HNW RAUM · $132M to $148MMar 27, 2025 to Feb 26, 2026
- Individual RAUM · $30.1M to $34.8MMar 27, 2025 to Feb 26, 2026
- Pension RAUM · $7.5M to $8.7MMar 27, 2025 to Feb 26, 2026
- RAUM · $170M to $191MMar 27, 2025 to Feb 26, 2026
- Accounts · 565 to 616Mar 22, 2024 to Mar 27, 2025
- Corporate clients · unset to 2.0Mar 22, 2024 to Mar 27, 2025
- HNW clients · 43 to 47Mar 22, 2024 to Mar 27, 2025
- Individual clients · 122 to 127Mar 22, 2024 to Mar 27, 2025
- Employees · 7 to 6Mar 22, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 22, 2024 to Mar 27, 2025
- Discretionary RAUM · $149M to $170MMar 22, 2024 to Mar 27, 2025
- HNW RAUM · $111M to $132MMar 22, 2024 to Mar 27, 2025
- Individual RAUM · $30.7M to $30.1MMar 22, 2024 to Mar 27, 2025
- Pension RAUM · $6.6M to $7.5MMar 22, 2024 to Mar 27, 2025
- RAUM · $149M to $170MMar 22, 2024 to Mar 27, 2025
- Accounts · 541 to 565Aug 21, 2023 to Mar 22, 2024
- Advisory employees · 2 to 3Aug 21, 2023 to Mar 22, 2024
- Individual clients · 123 to 122Aug 21, 2023 to Mar 22, 2024
- Pension plan clients · unset to 6.0Aug 21, 2023 to Mar 22, 2024
- Employees · 6 to 7Aug 21, 2023 to Mar 22, 2024
- State-registered IARs · 2 to 3Aug 21, 2023 to Mar 22, 2024
- Discretionary RAUM · $143M to $149MAug 21, 2023 to Mar 22, 2024
- HNW RAUM · $108M to $111MAug 21, 2023 to Mar 22, 2024
- Individual RAUM · $27.4M to $30.7MAug 21, 2023 to Mar 22, 2024
- Pension RAUM · $6.0M to $6.6MAug 21, 2023 to Mar 22, 2024
- RAUM · $143M to $149MAug 21, 2023 to Mar 22, 2024
- Accounts · 542 to 541Mar 24, 2022 to Mar 7, 2023
- HNW clients · 44 to 43Mar 24, 2022 to Mar 7, 2023
- Individual clients · 116 to 123Mar 24, 2022 to Mar 7, 2023
- Discretionary RAUM · $132M to $143MMar 24, 2022 to Mar 7, 2023
- HNW RAUM · $91.3M to $108MMar 24, 2022 to Mar 7, 2023
- Individual RAUM · $32.7M to $27.4MMar 24, 2022 to Mar 7, 2023
- Pension RAUM · $7.0M to $6.0MMar 24, 2022 to Mar 7, 2023
- RAUM · $132M to $143MMar 24, 2022 to Mar 7, 2023
- Accounts · 512 to 542Mar 31, 2021 to Mar 24, 2022
Signals
1 dated events
- Investment Management Corporation filed its initial SEC registration (Form ADV)Mar 15, 2016 · First SEC registration · 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
- INVESTMENTMANAGEMENTCORPORATION.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 540-774-8899reportedpublic record, Form ADV, Feb 26, 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
- $63.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026