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
H••••• M•••••• I••••••••• A••••••• I••
Latest filing Mar 30, 2026
First filing on the tape Mar 29, 2012 · 25 filings
SEC status approved since Jan 30, 1998
RAUM
$81.2M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
92%
$75.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$81.2M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$81.2M as of Mar 30, 2026
Mar 29, 2012$697M then
HNW client RAUM$61.5M as of Mar 30, 2026
Mar 25, 2018$18.8M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 28, 20131 then
Employees (5.A)1 as of Mar 30, 2026
Mar 28, 20131 then
Private funds: no history
RAUM -92% over the last fiscal year-57% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $81.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -92%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$61.5M76%
- Individuals$13.5M17%
- Corporations and businesses$6.2M7.7%
- Individual clients
- 18reported
- HNW clients
- 13reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 35reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•• H••••• S•••••••• | Midlothian, Va | Mar 25, 1998 | 36 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
- J•••• C••••• V•••••• to R••••••••• F•••••• A•••••••• L••Oct 7, 2008 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• D••• H••••• · President/Chief Compliance Officercontrolsince 01/1998 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
7 against comparable advisers; where to look, not conclusions
- institutional to wealth shiftCombination · filing Mar 30, 2026institutional share fell 15 points or more while private-client share rose 15 points or more. RAUM $969,562,042 to $81,236,514, advisors 1 to 1, private clients 32 to 31, offices 0 to 0 (2025-03-28 to 2026-03-30)peers: independent wealth managers, under $100M (707)
- low discretionary shareStatic outlier · filing Mar 30, 2026discretionary share of RAUM of 0% against a peer median of 100% (311 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, under $100M (311) · 0.0% percentile
- client mix shiftChange between filings · filing Mar 30, 2026private-client share of RAUM moved from 7.0% to 92.0% between the annual amendments of 2025-03-28 and 2026-03-30peers: independent wealth managers, under $100M (707)
- RAUM down 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $969,562,042 to $81,236,514 (-92.0%) between the annual amendments of 2025-03-28 and 2026-03-30; the peer median change was +8.0% (220 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, under $100M (220) · 1.8% percentile
- business activity changedChange between filings · filing Mar 30, 2026selection of other advisers (Item 5.G.7): yes on the filing of 2025-03-28, no on the filing of 2026-03-30peers: independent wealth managers, under $100M (707)
- institutional asset share shiftChange between filings · filing Mar 30, 2026institutional share of RAUM moved from 92.0% to 8.0% between the annual amendments of 2025-03-28 and 2026-03-30peers: independent wealth managers, under $100M (707)
- HNW share shiftChange between filings · filing Mar 30, 2026HNW share of RAUM moved from 6.0% to 76.0% between the annual amendments of 2025-03-28 and 2026-03-30peers: independent wealth managers, under $100M (707)
What changed
consecutive filings, newest first
- Accounts · 42 to 35Mar 28, 2025 to Mar 30, 2026
- Advisory activities · 4 to 3Mar 28, 2025 to Mar 30, 2026
- Individual clients · 19 to 18Mar 28, 2025 to Mar 30, 2026
- HNW RAUM · $60.5M to $61.5MMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $11.8M to $13.5MMar 28, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $970M to $81.2MMar 28, 2025 to Mar 30, 2026
- Pension RAUM · 888545058.0 to unsetMar 28, 2025 to Mar 30, 2026
- RAUM · $970M to $81.2MMar 28, 2025 to Mar 30, 2026
- Accounts · 40 to 42Mar 27, 2024 to Mar 28, 2025
- Individual clients · 17 to 19Mar 27, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 28, 2025
- HNW RAUM · $49.1M to $60.5MMar 27, 2024 to Mar 28, 2025
- Individual RAUM · $11.0M to $11.8MMar 27, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $866M to $970MMar 27, 2024 to Mar 28, 2025
- Pension RAUM · $798M to $889MMar 27, 2024 to Mar 28, 2025
- RAUM · $866M to $970MMar 27, 2024 to Mar 28, 2025
- HNW clients · 12 to 13Mar 28, 2023 to Mar 27, 2024
- Pension plan clients · 6 to 5Mar 28, 2023 to Mar 27, 2024
- HQ city · MIDLOTHIAN to RICHMONDMar 28, 2023 to Mar 27, 2024
- HNW RAUM · $32.0M to $49.1MMar 28, 2023 to Mar 27, 2024
- Individual RAUM · $9.5M to $11.0MMar 28, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $1.0B to $866MMar 28, 2023 to Mar 27, 2024
- Pension RAUM · $958M to $798MMar 28, 2023 to Mar 27, 2024
- RAUM · $1.0B to $866MMar 28, 2023 to Mar 27, 2024
- HNW clients · 11 to 12Mar 22, 2022 to Mar 28, 2023
- Individual clients · 18 to 17Mar 22, 2022 to Mar 28, 2023
- HNW RAUM · $35.3M to $32.0MMar 22, 2022 to Mar 28, 2023
- Individual RAUM · $12.7M to $9.5MMar 22, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $1.3B to $1.0BMar 22, 2022 to Mar 28, 2023
- Pension RAUM · $1.3B to $958MMar 22, 2022 to Mar 28, 2023
- RAUM · $1.3B to $1.0BMar 22, 2022 to Mar 28, 2023
- Accounts · 37 to 40Mar 30, 2021 to Mar 22, 2022
- HNW clients · 9 to 11Mar 30, 2021 to Mar 22, 2022
- Individual clients · 16 to 18Mar 30, 2021 to Mar 22, 2022
- Pension plan clients · 7 to 6Mar 30, 2021 to Mar 22, 2022
- HNW RAUM · $26.5M to $35.3MMar 30, 2021 to Mar 22, 2022
- Individual RAUM · $12.8M to $12.7MMar 30, 2021 to Mar 22, 2022
- Non-discretionary RAUM · $1.3B to $1.3BMar 30, 2021 to Mar 22, 2022
- Pension RAUM · $1.2B to $1.3BMar 30, 2021 to Mar 22, 2022
- RAUM · $1.3B to $1.3BMar 30, 2021 to Mar 22, 2022
Signals
1 dated events
- H••••• M•••••• I••••••••• A••••••• I•• reported RAUM $81.2M, down 92% from $969.6M (2025-03-28 to 2026-03-30)Mar 30, 2026 · 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.
How to reach
public business contact points only, each with its source
- Website
- H•••••M••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 804-378-7640reportedpublic record, Form ADV, Mar 30, 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
- $81.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026