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
T•••••••• F•••••••• A••••••• L••
Latest filing Mar 6, 2026
First filing on the tape Mar 20, 2012 · 19 filings
SEC status approved since May 1, 1996
RAUM
$2.0B
reported, Item 5.F
Discretionary
17%
of RAUM
Private clients
100%
$2.0B individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$331M
derived; firm RAUM over IAPD count
Employees
11
8 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$2.0B as of Mar 6, 2026
Mar 20, 2012$676M then
HNW client RAUM$1.9B as of Mar 6, 2026
Mar 5, 2018$1.2B then
State-registered IARs (5.B.3)6 as of Mar 6, 2026
Mar 20, 20120 then
Employees (5.A)11 as of Mar 6, 2026
Mar 25, 20139 then
Private funds: no history
RAUM +8.4% over the last fiscal year+10% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 6, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $331MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $12.2MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 17%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.9B98%
- Individuals$34.1M1.7%
- Charitable organizations$3.8M0.2%
- Individual clients
- 87reported
- HNW clients
- 159reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 964reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| V••••••• M••••• T••••••••Certified Financial Planner | Bethesda, Md | Jul 3, 1996 | 31 y | 0 |
| C•••••••• L••• B••••••Chartered Financial Analyst | Bethesda, Md | Jan 11, 2006 | 21 y | 0 |
| B••• C••••••••• N••••••Chartered Financial Analyst | Bethesda, Md | Nov 21, 2011 | 22 y | 1 |
| H•••• A•••• B•••••Certified Financial Planner | Bethesda, Md | Sep 23, 2013 | 22 y | 0 |
| M•••••• R•••••• P•••••Certified Financial Planner | Bethesda, Md | Nov 21, 2019 | 20 y | 2 |
| R••••• J••••••• S•••••Certified Financial Planner | Bethesda, Md | Nov 21, 2019 | 12 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
- D••••• J•• T•••••••• to H•••••• F••••••••• I•••Sep 27, 2019 · RIA to RIA
Joined, latest
- M•••••• R•••••• P••••• from M••• S••••• A•••••••• L••Nov 21, 2019 · Other
- B••• C••••••••• N•••••• from A•••••• A••••••• S•••••••Nov 21, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••••••• V•••••••• M••••• · Managing Membercontrolsince 04/1996 · owns 75% or more
- B••••••• C••••••••• L••• · Chief Compliance Officersince 09/2019 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Bethesda, Md · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 951 to 964Mar 13, 2025 to Mar 6, 2026
- HNW clients · 158 to 159Mar 13, 2025 to Mar 6, 2026
- Individual clients · 83 to 87Mar 13, 2025 to Mar 6, 2026
- Discretionary RAUM · $240M to $330MMar 13, 2025 to Mar 6, 2026
- HNW RAUM · $1.8B to $1.9BMar 13, 2025 to Mar 6, 2026
- Individual RAUM · $31.0M to $34.1MMar 13, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $1.6B to $1.7BMar 13, 2025 to Mar 6, 2026
- RAUM · $1.8B to $2.0BMar 13, 2025 to Mar 6, 2026
- Accounts · 906 to 951Mar 6, 2024 to Mar 13, 2025
- HNW clients · 99 to 158Mar 6, 2024 to Mar 13, 2025
- Individual clients · 139 to 83Mar 6, 2024 to Mar 13, 2025
- Financial planning clients · 101-250 to 101-250Mar 6, 2024 to Mar 13, 2025
- Discretionary RAUM · $145M to $240MMar 6, 2024 to Mar 13, 2025
- HNW RAUM · $1.5B to $1.8BMar 6, 2024 to Mar 13, 2025
- Individual RAUM · $156M to $31.0MMar 6, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $1.5B to $1.6BMar 6, 2024 to Mar 13, 2025
- RAUM · $1.7B to $1.8BMar 6, 2024 to Mar 13, 2025
- Accounts · 904 to 906Jun 29, 2023 to Mar 6, 2024
- HNW clients · 94 to 99Jun 29, 2023 to Mar 6, 2024
- Individual clients · 156 to 139Jun 29, 2023 to Mar 6, 2024
- Discretionary RAUM · $121M to $145MJun 29, 2023 to Mar 6, 2024
- HNW RAUM · $1.3B to $1.5BJun 29, 2023 to Mar 6, 2024
- Individual RAUM · $165M to $156MJun 29, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $1.4B to $1.5BJun 29, 2023 to Mar 6, 2024
- RAUM · $1.5B to $1.7BJun 29, 2023 to Mar 6, 2024
- Advisory activities · 5 to 2Mar 1, 2023 to Jun 29, 2023
- Accounts · 862 to 904Mar 9, 2022 to Mar 1, 2023
- HNW clients · 101 to 94Mar 9, 2022 to Mar 1, 2023
- Individual clients · 136 to 156Mar 9, 2022 to Mar 1, 2023
- Discretionary RAUM · $118M to $121MMar 9, 2022 to Mar 1, 2023
- HNW RAUM · $1.5B to $1.3BMar 9, 2022 to Mar 1, 2023
- Individual RAUM · $162M to $165MMar 9, 2022 to Mar 1, 2023
- Non-discretionary RAUM · $1.5B to $1.4BMar 9, 2022 to Mar 1, 2023
- RAUM · $1.6B to $1.5BMar 9, 2022 to Mar 1, 2023
- Accounts · 804 to 862Mar 10, 2021 to Mar 9, 2022
- HNW clients · 98 to 101Mar 10, 2021 to Mar 9, 2022
- Individual clients · 119 to 136Mar 10, 2021 to Mar 9, 2022
- State-registered IARs · 7 to 6Mar 10, 2021 to Mar 9, 2022
- Discretionary RAUM · $158M to $118MMar 10, 2021 to Mar 9, 2022
- HNW RAUM · $1.2B to $1.5BMar 10, 2021 to Mar 9, 2022
Signals
No event on the tape.
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
- Business email
- clb@trufinancial.comreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 301-215-8340reportedpublic record, Form ADV, Mar 6, 2026
- Team page
- trufinancial.com/professionalsreportedpublished by the firm, firm site, Sep 17, 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
- $331Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026