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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Former SEC-registered adviser
C••••••••• W••••• M•••••••••
Legal name C••••••••• F•••••••• G•••• I••
Latest filing Sep 29, 2017
First filing on the tape Mar 30, 2012 · 18 filings
RAUM
$84.1M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$156M as of Mar 21, 2017
Mar 30, 2012$150M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 21, 2017
Mar 25, 20133 then
Employees (5.A)4 as of Mar 21, 2017
Mar 25, 20133 then
Private funds: no history
RAUM -42% over the last fiscal year-6.7% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Sep 29, 2017; every figure names its basis
- RAUM per advisor
- $21.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $464,754derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%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
- 0.6derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 181reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- G•••• F•••••••• V••••• to M••••••••• S••••••••• I•••Mar 28, 2018 · Other
- R•••••• L•• W••• to A••••• A•• P••••••• S•••••••Mar 28, 2018 · Other
- G••••••• M••••••• Q••••• to M•••• C••••••• A••••••• S••••••Jul 31, 2017 · Other
- B•••• S•••• M•••••••• to M•••• C••••••• A••••••• S••••••Jan 16, 2015 · Other
- D••••• J••••• J••••••• to S•••••••• W••••• P•••••••• L•••Dec 3, 2013 · Other
- J••• M••• M••••• to M••••• C•••••• P•••••••• L••May 14, 2013 · Other
- D•••• W•••• H••••• to M•••• C••••••• A••••••• S••••••Oct 26, 2012 · Other
- N•••••• G•••••• S•••• to O•••• I••••••••• I•••Aug 21, 2012 · Other
- J••• M••• M••••• to B• I••••••••• L••Sep 21, 2006 · Other
Joined, latest
- G••••••• M••••••• Q••••• from O•••• I••••••••• I•••Jul 21, 2014 · Other
- D••••• J••••• J••••••• from E••••• J••••Aug 15, 2013 · Other
- B•••• S•••• M•••••••• from O•••• I••••••••• I•••Apr 30, 2013 · Other
- N•••••• G•••••• S•••• from U•••• F•••••••• S••••••• G••••• I•••Feb 21, 2008 · Other
- D•••• W•••• H••••• from B• I••••••••• L••Feb 8, 2007 · Other
- J••• M••• M••••• from B• I••••••••• L••Sep 29, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••••••• J•••• K••• · Directorcontrolsince 12/2003 · owns less than 5%
- S•••••• J•••• M• · Director / Chief Compliance Officercontrolsince 07/2013 · owns less than 5%
- S••••••••• J••••••• M•••••• · Directorcontrolsince 09/1998 · owns 5% to 10%
- W•••••• M•••••••• N••••• · Directorcontrolsince 09/1998 · owns less than 5%
- M•••••• D••••••• D•••••• · Ownercontrolsince 01/1975 · owns 25% to 50% of C••••••••• F•••••••• S•••••• I•••
Entity owners
- C••••••••• I••••••••• G••••• I••• · Holding Companydirect · owns 75% or more
- C••••••••• F•••••••• S•••••• I••• · Holding Companyindirect · owns F of C••••••••• F•••••••• S•••••• I••• · public reporting company
Related persons
Schedule D 7.A
- C••••••••• B•••y
- C••••••••• I••••••••• S•••••••• I•••real estatey
- C••••••••• W••••• M••••••••• I•••y
Offices
Schedule D 1.F, the 25 largest
- Irvington, VA
- Kilmarnock, VA
- Richmond, VA
- Williamsburg, VA
- Williamsburg, VA
- Williamsburg, VA
What changed
consecutive filings, newest first
- Accounts · 184 to 181Sep 29, 2017 to Sep 29, 2017
- Discretionary RAUM · $145M to $76.3MSep 29, 2017 to Sep 29, 2017
- Non-discretionary RAUM · $10.5M to $7.8MSep 29, 2017 to Sep 29, 2017
- RAUM · $156M to $84.1MSep 29, 2017 to Sep 29, 2017
- Business name · C••••••••• I••••••••• G•••• to C••••••••• W••••• M•••••••••Mar 21, 2017 to Jul 31, 2017
- Accounts · 363 to 184Mar 24, 2016 to Mar 21, 2017
- fin p••••••• clients · 51-100 to 1-10Mar 24, 2016 to Mar 21, 2017
- State-registered IARs · 3 to 4Mar 24, 2016 to Mar 21, 2017
- Discretionary RAUM · $138M to $145MMar 24, 2016 to Mar 21, 2017
- Non-discretionary RAUM · $6.3M to $10.5MMar 24, 2016 to Mar 21, 2017
- RAUM · $144M to $156MMar 24, 2016 to Mar 21, 2017
- Accounts · 236 to 363Oct 27, 2015 to Mar 24, 2016
- State-registered IARs · 4 to 3Oct 27, 2015 to Mar 24, 2016
- Discretionary RAUM · $121M to $138MOct 27, 2015 to Mar 24, 2016
- Non-discretionary RAUM · $0 to $6.3MOct 27, 2015 to Mar 24, 2016
- RAUM · $121M to $144MOct 27, 2015 to Mar 24, 2016
- Accounts · 217 to 236Aug 11, 2014 to Mar 10, 2015
- Advisory employees · 5 to 4Aug 11, 2014 to Mar 10, 2015
- Employees · 5 to 4Aug 11, 2014 to Mar 10, 2015
- State-registered IARs · 5 to 4Aug 11, 2014 to Mar 10, 2015
- Discretionary RAUM · $115M to $121MAug 11, 2014 to Mar 10, 2015
- RAUM · $115M to $121MAug 11, 2014 to Mar 10, 2015
- Accounts · 253 to 217Mar 28, 2014 to Aug 11, 2014
- Advisory employees · 4 to 5Mar 28, 2014 to Aug 11, 2014
- Advisory activities · 6 to 4Mar 28, 2014 to Aug 11, 2014
- BD registered reps · 0 to 1Mar 28, 2014 to Aug 11, 2014
- Employees · 4 to 5Mar 28, 2014 to Aug 11, 2014
- fin p••••••• clients · 1-10 to 51-100Mar 28, 2014 to Aug 11, 2014
- State-registered IARs · 4 to 5Mar 28, 2014 to Aug 11, 2014
- Discretionary RAUM · $104M to $115MMar 28, 2014 to Aug 11, 2014
- RAUM · $104M to $115MMar 28, 2014 to Aug 11, 2014
- Accounts · 212 to 253Dec 2, 2013 to Mar 28, 2014
- Advisory employees · 2 to 4Dec 2, 2013 to Mar 28, 2014
- Employees · 2 to 4Dec 2, 2013 to Mar 28, 2014
- State-registered IARs · 2 to 4Dec 2, 2013 to Mar 28, 2014
- Discretionary RAUM · $105M to $104MDec 2, 2013 to Mar 28, 2014
- RAUM · $105M to $104MDec 2, 2013 to Mar 28, 2014
- Advisory employees · 4 to 2Aug 16, 2013 to Dec 2, 2013
- Employees · 4 to 2Aug 16, 2013 to Dec 2, 2013
- State-registered IARs · 4 to 2Aug 16, 2013 to Dec 2, 2013
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.
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