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•••• P•••• A••••••• L••
Latest filing Feb 13, 2025
First filing on the tape Mar 29, 2012 · 30 filings
SEC status approved since Mar 6, 2000
RAUM
$376M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$352M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$376M as of Feb 13, 2025
Mar 29, 2012$137M then
HNW client RAUM$296M as of Feb 13, 2025
Mar 22, 2018$207M then
State-registered IARs (5.B.3)4 as of Feb 13, 2025
Mar 29, 20120 then
Employees (5.A)7 as of Feb 13, 2025
Mar 15, 20136 then
Private funds: no history
RAUM -0.5% over the last fiscal year-5.7% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 13, 2025; every figure names its basis
- RAUM per advisor
- $94.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -10%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Custody
- $20.9M, 11 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$296M79%
- Individuals$55.9M15%
- Charitable organizations$21.7M5.8%
- Corporations and businesses$1.9M0.5%
- Individual clients
- 164reported
- HNW clients
- 109reported
- Pension plan clients
- 0reported
- Charitable clients
- 9reported
- Accounts
- 284reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $20.9M for 11 clientsreported
- Compensation
- % of AUM, fixed, 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
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 days5 left over 36 months
Left, latest
- W•••••• P••• C•••• to M•• C•••••• M••••••••• L••Dec 1, 2025 · RIA to RIA
- J•••• G•••••• S•••• to M•• C•••••• M••••••••• L••Dec 1, 2025 · RIA to RIA
- J••• F•••••• S••••• to M•• C•••••• M••••••••• L••Dec 1, 2025 · RIA to RIA
- M•••••• R••• G••••• to M•• C•••••• M••••••••• L••Dec 1, 2025 · RIA to RIA
- G•••••• J••••• A•••• to S•••••• N••••••• • C••••••• I•••••••••Feb 6, 2024 · RIA to affiliated broker-dealer or bank
- G••• E••••• F•••• to B••••••• W••••• A•••••••• L••Feb 19, 2019 · RIA to RIA
- J••••• T••••• H••• to B••••••• W••••• A•••••••• L••Feb 19, 2019 · RIA to RIA
- B••••••• H•••• D••••• to I••••••• W••••• P•••••••• L••Jun 4, 2018 · Other
- T•••••• M•••••• S•••• to S••••••• W••••• M•••••••••May 25, 2018 · Other
- M•••••• R••••• C•••• to S••••••• W••••• M•••••••••May 25, 2018 · Other
- A••••• C•••••• D•••• to S••••• W••••• A•••••••• L••Dec 31, 2011 · Other
- J••••• T• T•••••• to Z••••••••• I••••••••• M••••••••• • P••••••• L••Dec 31, 2011 · Other
- H••••• C••••••• B••• to M•• I•••••••• S•••••••• L••Dec 31, 2008 · Other
- M•••• M••••• M••••••• to W••••• A•••• M••••••••• I•••Dec 31, 2004 · Other
Joined, latest
- M•••••• R••• G••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 23, 2024 · Wirehouse to independent RIA
- J•••• G•••••• S•••• from T• A••••••••• I••••••••• M••••••••• L••Oct 25, 2019 · RIA to RIA
- B••••••• H•••• D••••• from B••••••••• F•••••••• A•••••••Nov 30, 2015 · Other
- J••••• T• T•••••• from A••••••••• F•••••••• S•••••••• L••Mar 4, 2010 · Other
- A••••• C•••••• D•••• from A••••• A•• P••••••• S•••••••Feb 2, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for M•• C•••••• M••••••••• L••Dec 1, 2025 · Ellicott City, Md · Firm absorbed
- 2 left for B••••••• W••••• A•••••••• L••Feb 19, 2019 · Annapolis, Md
- 2 left for S••••••• W••••• M•••••••••May 25, 2018 · Ellicott City, Md
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• J•••• F•••••• · Principal, Cco, Iarcontrolsince 01/2021 · owns 75% or more
Related persons
Schedule D 7.A
- R••••• J• W•••••insurancen
- W•••••• P• C••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Ellicott City, Md · principal | 0 | 0 | 2 | ||
| Naples, Fl | 0 | 0 | 1 | ||
| Towson, Md | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Towson, MD1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 315 to 284Sep 17, 2024 to Feb 13, 2025
- Advisory activities · 2 to 3Sep 17, 2024 to Feb 13, 2025
- Charity clients · 10 to 9Sep 17, 2024 to Feb 13, 2025
- Corporate clients · 1 to 2Sep 17, 2024 to Feb 13, 2025
- HNW clients · 111 to 109Sep 17, 2024 to Feb 13, 2025
- Individual clients · 193 to 164Sep 17, 2024 to Feb 13, 2025
- Assets in custody · $25.2M to $20.9MSep 17, 2024 to Feb 13, 2025
- Financial planning clients · 11-25 to 11-25Sep 17, 2024 to Feb 13, 2025
- Discretionary RAUM · $376M to $374MSep 17, 2024 to Feb 13, 2025
- HNW RAUM · $290M to $296MSep 17, 2024 to Feb 13, 2025
- Individual RAUM · $65.3M to $55.9MSep 17, 2024 to Feb 13, 2025
- Non-discretionary RAUM · $1.9M to $1.5MSep 17, 2024 to Feb 13, 2025
- RAUM · $378M to $376MSep 17, 2024 to Feb 13, 2025
- Employees · 6 to 7Jun 27, 2024 to Sep 17, 2024
- Employees · 7 to 6Mar 20, 2024 to Jun 27, 2024
- State-registered IARs · 5 to 4Mar 27, 2023 to Mar 20, 2024
- Accounts · 331 to 315Mar 27, 2023 to Mar 20, 2024
- Advisory employees · 5 to 4Mar 27, 2023 to Mar 20, 2024
- Charity clients · 9 to 10Mar 27, 2023 to Mar 20, 2024
- Corporate clients · 2 to 1Mar 27, 2023 to Mar 20, 2024
- HNW clients · 89 to 111Mar 27, 2023 to Mar 20, 2024
- Individual clients · 231 to 193Mar 27, 2023 to Mar 20, 2024
- Assets in custody · $20.5M to $25.2MMar 27, 2023 to Mar 20, 2024
- Employees · 8 to 7Mar 27, 2023 to Mar 20, 2024
- Financial planning clients · 0 to 11-25Mar 27, 2023 to Mar 20, 2024
- Discretionary RAUM · $347M to $376MMar 27, 2023 to Mar 20, 2024
- HNW RAUM · $221M to $290MMar 27, 2023 to Mar 20, 2024
- Individual RAUM · $100M to $65.3MMar 27, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $296,975 to $1.9MMar 27, 2023 to Mar 20, 2024
- RAUM · $347M to $378MMar 27, 2023 to Mar 20, 2024
- Accounts · 707 to 331Jan 12, 2023 to Mar 27, 2023
- Advisory employees · 6 to 5Jan 12, 2023 to Mar 27, 2023
- Charity clients · 11 to 9Jan 12, 2023 to Mar 27, 2023
- Corporate clients · 9 to 2Jan 12, 2023 to Mar 27, 2023
- HNW clients · 116 to 89Jan 12, 2023 to Mar 27, 2023
- Individual clients · 193 to 231Jan 12, 2023 to Mar 27, 2023
- Assets in custody · $40.2M to $20.5MJan 12, 2023 to Mar 27, 2023
- Employees · 9 to 8Jan 12, 2023 to Mar 27, 2023
- Financial planning clients · 11-25 to 0Jan 12, 2023 to Mar 27, 2023
- State-registered IARs · 6 to 5Jan 12, 2023 to Mar 27, 2023
Signals
9 dated events
- C•••• P•••• A••••••• L•• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $375.9M)Jan 2, 2026 · Left the SEC roster · derived
- M•••••• R••• G••••• left C•••• P•••• A••••••• L•• for M•• C•••••• M••••••••• L•• (registered 2025-11-25)Dec 1, 2025 · Advisor changed firm · fact
- J•••• G•••••• S•••• left C•••• P•••• A••••••• L•• for M•• C•••••• M••••••••• L•• (registered 2025-12-16)Dec 1, 2025 · Advisor changed firm · fact
- J••• F•••••• S••••• left C•••• P•••• A••••••• L•• for M•• C•••••• M••••••••• L•• (registered 2026-01-02)Dec 1, 2025 · Advisor changed firm · fact
- W•••••• P••• C•••• left C•••• P•••• A••••••• L•• for M•• C•••••• M••••••••• L•• (registered 2025-11-25)Dec 1, 2025 · Advisor changed firm · fact
- C•••• P•••• A••••••• L••'s advisors moved to M•• C•••••• M••••••••• L•• (Ellicott City, MD): 3 of 4 registered, on the same dayDec 1, 2025 · Firm absorbed (people side) · derived
- G•••••• J••••• A•••• left C•••• P•••• A••••••• L•• for S•••••• N••••••• • C••••••• I••••••••• (registered 2024-04-02)Feb 6, 2024 · Advisor changed firm · fact
- James R••••• Wieder (Member) no longer on Schedule A of C•••• P•••• A••••••• L•• (listed 2020-06-25, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Mary Bernadette Zabel (Chief Compliance Officer) no longer on Schedule A of C•••• P•••• A••••••• L•• (listed 2020-06-25, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
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