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

N•••• F•••••••• P••••••• L••

Former SEC-registered adviserBel Air, MarylandCRD 109326SEC 801-57319IAPD
Latest filing Mar 25, 2021
First filing on the tape Mar 19, 2012 · 16 filings
RAUM
$349M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
99%
$347M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$349M as of Mar 25, 2021
Mar 19, 2012$92.4M then
HNW client RAUM$219M as of Mar 25, 2021
Mar 21, 2018$130M then
State-registered IARs (5.B.3)2 as of Mar 25, 2021
Mar 19, 20120 then
Employees (5.A)5 as of Mar 25, 2021
Mar 25, 20135 then
Private funds: no history
RAUM +11% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 25, 2021; every figure names its basis
RAUM per advisor
$175MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
220derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$255,099derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.6%derived
Compensation
percentage of assets, hourly, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$87.5M, 166 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$219M63%
  • Individuals$127M36%
  • Pension and profit-sharing plans$2.5M0.7%
Individual clients
321reported
HNW clients
119reported
Pension plan clients
n/areported
Charitable clients
0reported
Accounts
1,369reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$87.5M for 166 clientsreported
Compensation
% of AUM, hourly, commissionsreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • N••••• C••••• A• · Member / Chief Compliance Officercontrol
    since 06/1999 · owns 50% to 75%
  • N••••• D•••••• J••••• · Membercontrol
    since 06/1999 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 1,433 to 1,369
    Dec 22, 2020 to Mar 25, 2021
  • HNW clients · 100 to 119
    Dec 22, 2020 to Mar 25, 2021
  • Individual clients · 329 to 321
    Dec 22, 2020 to Mar 25, 2021
  • Pension plan clients · 1.0 to unset
    Dec 22, 2020 to Mar 25, 2021
  • Assets in custody · $86.5M to $87.5M
    Dec 22, 2020 to Mar 25, 2021
  • Discretionary RAUM · $283M to $325M
    Dec 22, 2020 to Mar 25, 2021
  • HNW RAUM · $184M to $219M
    Dec 22, 2020 to Mar 25, 2021
  • Individual RAUM · $129M to $127M
    Dec 22, 2020 to Mar 25, 2021
  • Non-discretionary RAUM · $32.4M to $24.6M
    Dec 22, 2020 to Mar 25, 2021
  • Pension RAUM · $2.5M to $2.5M
    Dec 22, 2020 to Mar 25, 2021
  • RAUM · $315M to $349M
    Dec 22, 2020 to Mar 25, 2021
  • Accounts · 1,513 to 1,433
    Mar 26, 2019 to Mar 27, 2020
  • HNW clients · 72 to 100
    Mar 26, 2019 to Mar 27, 2020
  • Individual clients · 337 to 329
    Mar 26, 2019 to Mar 27, 2020
  • Pension plan clients · 0 to 1
    Mar 26, 2019 to Mar 27, 2020
  • Assets in custody · unset to 86520353.0
    Mar 26, 2019 to Mar 27, 2020
  • Custody of client assets · false to true
    Mar 26, 2019 to Mar 27, 2020
  • Financial planning clients · 1-10 to 11-25
    Mar 26, 2019 to Mar 27, 2020
  • Other offices · 1 to 0
    Mar 26, 2019 to Mar 27, 2020
  • Discretionary RAUM · $222M to $283M
    Mar 26, 2019 to Mar 27, 2020
  • HNW RAUM · $120M to $184M
    Mar 26, 2019 to Mar 27, 2020
  • Individual RAUM · $126M to $129M
    Mar 26, 2019 to Mar 27, 2020
  • Non-discretionary RAUM · $24.0M to $32.4M
    Mar 26, 2019 to Mar 27, 2020
  • Pension RAUM · $0 to $2.5M
    Mar 26, 2019 to Mar 27, 2020
  • RAUM · $246M to $315M
    Mar 26, 2019 to Mar 27, 2020
  • Accounts · 1,486 to 1,513
    Nov 13, 2018 to Mar 26, 2019
  • BD registered reps · 3 to 2
    Nov 13, 2018 to Mar 26, 2019
  • HNW clients · 80 to 72
    Nov 13, 2018 to Mar 26, 2019
  • Individual clients · 306 to 337
    Nov 13, 2018 to Mar 26, 2019
  • Pension plan clients · 7 to 0
    Nov 13, 2018 to Mar 26, 2019
  • Financial planning clients · 11-25 to 1-10
    Nov 13, 2018 to Mar 26, 2019
  • Discretionary RAUM · $210M to $222M
    Nov 13, 2018 to Mar 26, 2019
  • HNW RAUM · $130M to $120M
    Nov 13, 2018 to Mar 26, 2019
  • Individual RAUM · $109M to $126M
    Nov 13, 2018 to Mar 26, 2019
  • Non-discretionary RAUM · $32.5M to $24.0M
    Nov 13, 2018 to Mar 26, 2019
  • Pension RAUM · $3.3M to $0
    Nov 13, 2018 to Mar 26, 2019
  • RAUM · $242M to $246M
    Nov 13, 2018 to Mar 26, 2019
  • Accounts · 1,636 to 1,486
    Mar 26, 2017 to Mar 21, 2018
  • Charity clients · unset to 0.0
    Mar 26, 2017 to Mar 21, 2018
  • Corporate clients · unset to 0.0
    Mar 26, 2017 to Mar 21, 2018
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