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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C•••••• F•••••••• C••••••••• I•••
Latest filing Mar 25, 2026
First filing on the tape Mar 23, 2012 · 26 filings
SEC status approved since Apr 22, 1988
RAUM
$269M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$269M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$67.3M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$269M as of Mar 25, 2026
Mar 23, 2012$92.3M then
HNW client RAUM$259M as of Mar 25, 2026
Mar 22, 2018$99.8M then
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 23, 20120 then
Employees (5.A)4 as of Mar 25, 2026
Mar 22, 20135 then
Private funds: no history
RAUM +17% over the last fiscal year+17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $67.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $645,478derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.9%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $253MreportedItem 5.I
- Custody
- $175M, 92 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
- is an insurance broker or agent (6.A.6)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$259M96%
- Individuals$10.2M3.8%
- Individual clients
- 49reported
- HNW clients
- 58reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 417reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $175M for 92 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• E•••••• S•••••••Certified Financial Planner | Mclean, Va | Dec 13, 1989 | 43 y | 1 |
| J•••••• R••• L••••••Certified Financial Planner, Chartered Financial Consultant | Mclean, Va | Mar 20, 2012 | 20 y | 1 |
| J••••• D•••• S••••••• | Mclean, Va | Jan 14, 2015 | 12 y | 0 |
| M•••••• O••••• R•••••• | Mclean, Va | Nov 29, 2024 | 11 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
- T•••••• E••••• S••••• to C•••••• S••••••••• M••••••••• I•••Dec 31, 2015 · Other
Joined, latest
- J•••••• R••• L•••••• from M•• I•••••••• S•••••••• L••Mar 20, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• J•••• E•••••• · Director/President/Secretary/Chief Compliance Officercontrolsince 12/1987 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list C•••••• F•••••••• C••••••••• I••• as a related person
- 109805 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mclean, Va · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 25, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-20, yes on the filing of 2026-03-25peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 419 to 417Mar 20, 2025 to Mar 25, 2026
- HNW clients · 56 to 58Mar 20, 2025 to Mar 25, 2026
- Individual clients · 52 to 49Mar 20, 2025 to Mar 25, 2026
- Assets in custody · unset to 175281469.0Mar 20, 2025 to Mar 25, 2026
- Custody of client assets · false to trueMar 20, 2025 to Mar 25, 2026
- Discretionary RAUM · $230M to $269MMar 20, 2025 to Mar 25, 2026
- HNW RAUM · $221M to $259MMar 20, 2025 to Mar 25, 2026
- Individual RAUM · $10.0M to $10.2MMar 20, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $120,165 to $132,351Mar 20, 2025 to Mar 25, 2026
- RAUM · $231M to $269MMar 20, 2025 to Mar 25, 2026
- Accounts · 361 to 419Mar 25, 2024 to Mar 20, 2025
- Advisory employees · 3 to 4Mar 25, 2024 to Mar 20, 2025
- Individual clients · 58 to 52Mar 25, 2024 to Mar 20, 2025
- Employees · 3 to 4Mar 25, 2024 to Mar 20, 2025
- Financial planning clients · 51-100 to 51-100Mar 25, 2024 to Mar 20, 2025
- Discretionary RAUM · $203M to $230MMar 25, 2024 to Mar 20, 2025
- HNW RAUM · $194M to $221MMar 25, 2024 to Mar 20, 2025
- Individual RAUM · $9.1M to $10.0MMar 25, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $123,429 to $120,165Mar 25, 2024 to Mar 20, 2025
- RAUM · $203M to $231MMar 25, 2024 to Mar 20, 2025
- Accounts · 363 to 361Mar 29, 2023 to Mar 25, 2024
- HNW clients · 59 to 56Mar 29, 2023 to Mar 25, 2024
- Individual clients · 57 to 58Mar 29, 2023 to Mar 25, 2024
- Discretionary RAUM · $169M to $203MMar 29, 2023 to Mar 25, 2024
- HNW RAUM · $163M to $194MMar 29, 2023 to Mar 25, 2024
- Individual RAUM · $7.2M to $9.1MMar 29, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $827,567 to $123,429Mar 29, 2023 to Mar 25, 2024
- RAUM · $170M to $203MMar 29, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $930,897 to $827,567Mar 25, 2022 to Mar 29, 2023
- RAUM · $211M to $170MMar 25, 2022 to Mar 29, 2023
- Accounts · 383 to 363Mar 25, 2022 to Mar 29, 2023
- HNW clients · 55 to 59Mar 25, 2022 to Mar 29, 2023
- Individual clients · 54 to 57Mar 25, 2022 to Mar 29, 2023
- Financial planning clients · 101-250 to 51-100Mar 25, 2022 to Mar 29, 2023
- Discretionary RAUM · $210M to $169MMar 25, 2022 to Mar 29, 2023
- HNW RAUM · $204M to $163MMar 25, 2022 to Mar 29, 2023
- Individual RAUM · $7.9M to $7.2MMar 25, 2022 to Mar 29, 2023
- Accounts · 346 to 383Nov 3, 2021 to Mar 25, 2022
- HNW clients · 52 to 55Nov 3, 2021 to Mar 25, 2022
- Individual clients · 48 to 54Nov 3, 2021 to Mar 25, 2022
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.
How to reach
public business contact points only, each with its source
- Business email
- info@capfin.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 703-821-2000reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 703-821-2000reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- capfin.net/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- capfin.net/teamreportedpublished by the firm, firm site, Sep 15, 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
- $67.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026