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
I••••••••• M••••••••• O• V•••••••• L••
Latest filing May 16, 2023
First filing on the tape Mar 19, 2012 · 41 filings
RAUM
$571M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
85%
$487M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$571M as of Mar 22, 2023
Mar 19, 2012$410M then
HNW client RAUM$386M as of Mar 22, 2023
Mar 31, 2018$297M then
State-registered IARs (5.B.3)8 as of Mar 22, 2023
Mar 13, 20139 then
Employees (5.A)10 as of Mar 22, 2023
Mar 13, 201314 then
Private funds: no history
RAUM -17% over the last fiscal year+3.9% a year over threeIARs 7 to 8
Practice profile
derived from the filing of May 16, 2023; every figure names its basis
- RAUM per advisor
- $71.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 5.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $166M, 86 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$386M72%
- Individuals$101M19%
- Charitable organizations$28.5M5.3%
- Corporations and businesses$18.3M3.4%
- Pension and profit-sharing plans$3.8M0.7%
- Individual clients
- 285reported
- HNW clients
- 147reported
- Pension plan clients
- 2reported
- Charitable clients
- 15reported
- Accounts
- 469reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $33.9M managedreported
- Custody of client assets
- $166M for 86 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- W•••••• E••••• S••••••• to P••••••• A••••••••• L•••Dec 11, 2023 · RIA to RIA
- R••••••• G••••• P•••••• to P••••••• A••••••••• L•••Dec 11, 2023 · RIA to RIA
- G••••• J••••••• M•••• to D•••••• A•••••••• L••Dec 11, 2023 · Other
- T••••• F••••••• N•••••• to P••••••• A••••••••• L•••Dec 11, 2023 · RIA to RIA
- J••• H••••• B••••• to D•••••• A•••••••• L••Dec 11, 2023 · Other
- J••••• C•••••••• G••••• to P••••••• A••••••••• L•••Dec 11, 2023 · RIA to RIA
- M••• A••••• L•••• to D•••••••• • C•••••• L••Feb 13, 2009 · Other
Joined, latest
- R••••••• G••••• P•••••• from S•••••••Jun 6, 2014 · Other
- M••• A••••• L•••• from D•••••• A•••••••• L••Aug 23, 2007 · Other
- W•••••• E••••• S••••••• from G••••• • G••• W••••• M•••••••••Feb 12, 2007 · Other
- J••••• C•••••••• G••••• from K•••••• C•••••• M••••••••• L••Jul 7, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for P••••••• A••••••••• L•••Dec 11, 2023 · Richmond, Va · Firm absorbed
- 2 left for D•••••• A•••••••• L••Dec 11, 2023 · Richmond, Va
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• J•••• H••••• · Chairman, Director, Chief Compliance Officercontrolsince 07/2000 · owns less than 5%
- G•••••• B••••••• H••• · President/Directorcontrolsince 07/2000 · owns less than 5%
- M••••• G•••••• J••••••• · Director, Chief Financial Officercontrolsince 07/2000 · owns less than 5%
- N••••••• T•••••• F••••••• · Director, Portfolio Managercontrolsince 01/2012 · owns less than 5%
Entity owners
- P••••••• A••••••••• L••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- P••••••• A••••••••• L•••investment adviseryRAUM $10B
Advisers that list I••••••••• M••••••••• O• V•••••••• L•• as a related person
- 136361 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Charlottesville, Va | 0 | 0 | 0 | ||
| Richmond, Va · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Charlottesville, VA3 employees
What changed
consecutive filings, newest first
- Related adviser · false to trueMar 22, 2023 to May 16, 2023
- Accounts · 464 to 469Sep 6, 2022 to Mar 22, 2023
- Charity clients · 17 to 15Sep 6, 2022 to Mar 22, 2023
- HNW clients · 158 to 147Sep 6, 2022 to Mar 22, 2023
- Individual clients · 266 to 285Sep 6, 2022 to Mar 22, 2023
- Assets in custody · $160M to $166MSep 6, 2022 to Mar 22, 2023
- State-registered IARs · 7 to 8Sep 6, 2022 to Mar 22, 2023
- Discretionary RAUM · $688M to $568MSep 6, 2022 to Mar 22, 2023
- HNW RAUM · $492M to $386MSep 6, 2022 to Mar 22, 2023
- Individual RAUM · $102M to $101MSep 6, 2022 to Mar 22, 2023
- Non-discretionary RAUM · $3.5M to $3.0MSep 6, 2022 to Mar 22, 2023
- Pension RAUM · $4.3M to $3.8MSep 6, 2022 to Mar 22, 2023
- RAUM · $691M to $571MSep 6, 2022 to Mar 22, 2023
- Wrap assets (manager) · $39.5M to $33.9MSep 6, 2022 to Mar 22, 2023
- Accounts · 446 to 464Oct 5, 2021 to Mar 7, 2022
- Corporate clients · 3 to 2Oct 5, 2021 to Mar 7, 2022
- HNW clients · 130 to 158Oct 5, 2021 to Mar 7, 2022
- Individual clients · 274 to 266Oct 5, 2021 to Mar 7, 2022
- Assets in custody · $111M to $160MOct 5, 2021 to Mar 7, 2022
- Employees · 11 to 10Oct 5, 2021 to Mar 7, 2022
- State-registered IARs · 6 to 7Oct 5, 2021 to Mar 7, 2022
- Discretionary RAUM · $526M to $688MOct 5, 2021 to Mar 7, 2022
- HNW RAUM · $348M to $492MOct 5, 2021 to Mar 7, 2022
- Individual RAUM · $97.9M to $102MOct 5, 2021 to Mar 7, 2022
- Non-discretionary RAUM · $2.9M to $3.5MOct 5, 2021 to Mar 7, 2022
- Pension RAUM · $4.8M to $4.3MOct 5, 2021 to Mar 7, 2022
- RAUM · $529M to $691MOct 5, 2021 to Mar 7, 2022
- Wrap assets (manager) · $32.0M to $39.5MOct 5, 2021 to Mar 7, 2022
- Accounts · 470 to 446Oct 19, 2020 to Mar 22, 2021
- HNW clients · 126 to 130Oct 19, 2020 to Mar 22, 2021
- Individual clients · 298 to 274Oct 19, 2020 to Mar 22, 2021
- Pension plan clients · 4 to 2Oct 19, 2020 to Mar 22, 2021
- Assets in custody · $126M to $111MOct 19, 2020 to Mar 22, 2021
- Discretionary RAUM · $507M to $526MOct 19, 2020 to Mar 22, 2021
- HNW RAUM · $325M to $348MOct 19, 2020 to Mar 22, 2021
- Individual RAUM · $104M to $97.9MOct 19, 2020 to Mar 22, 2021
- Non-discretionary RAUM · $2.7M to $2.9MOct 19, 2020 to Mar 22, 2021
- Pension RAUM · $6.3M to $4.8MOct 19, 2020 to Mar 22, 2021
- RAUM · $510M to $529MOct 19, 2020 to Mar 22, 2021
- Wrap assets (manager) · $29.6M to $32.0MOct 19, 2020 to Mar 22, 2021
Signals
10 dated events
- J••• H••••• B••••• left I••••••••• M••••••••• O• V•••••••• L•• for D•••••• A•••••••• L•• (registered 2007-03-23)Dec 11, 2023 · Advisor changed firm · fact
- I••••••••• M••••••••• O• V•••••••• L••'s advisors moved to P••••••• A••••••••• L••• (Richmond, VA): 4 of 6 registered, on the same dayDec 11, 2023 · Firm absorbed (people side) · derived
- 2 advisors left I••••••••• M••••••••• O• V•••••••• L•• (Richmond, VA) for D•••••• A•••••••• L•• on the same dayDec 11, 2023 · Team lift-out · derived
- T••••• F••••••• N•••••• left I••••••••• M••••••••• O• V•••••••• L•• for P••••••• A••••••••• L••• (registered 2023-05-18)Dec 11, 2023 · Advisor changed firm · fact
- W•••••• E••••• S••••••• left I••••••••• M••••••••• O• V•••••••• L•• for P••••••• A••••••••• L••• (registered 2023-05-18)Dec 11, 2023 · Advisor changed firm · fact
- J••••• C•••••••• G••••• left I••••••••• M••••••••• O• V•••••••• L•• for P••••••• A••••••••• L••• (registered 2023-05-18)Dec 11, 2023 · Advisor changed firm · fact
- G••••• J••••••• M•••• left I••••••••• M••••••••• O• V•••••••• L•• for D•••••• A•••••••• L•• (registered 2007-03-23)Dec 11, 2023 · Advisor changed firm · fact
- R••••••• G••••• P•••••• left I••••••••• M••••••••• O• V•••••••• L•• for P••••••• A••••••••• L••• (registered 2023-05-18)Dec 11, 2023 · Advisor changed firm · fact
- I••••••••• M••••••••• O• V•••••••• L•• reported RAUM $691.1M, up 31% from $528.6M (2021-10-05 to 2022-03-07)Mar 7, 2022 · RAUM change · derived
- Hodges Catherine Newins (Chief Compliance Officer) no longer on Schedule A of I••••••••• M••••••••• O• V•••••••• L•• (listed 2021-03-22, absent 2021-09-01)Sep 1, 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