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.

Former SEC-registered adviser

C•••••• A•••• M•••••••••

Former SEC-registered adviserCharlottesville, VirginiaCRD 109925SEC 801-50511IAPD
Latest filing Jun 9, 2014
First filing on the tape Jun 26, 2012 · 4 filings
RAUM
$550M
reported, Item 5.F
Discretionary
0.1%
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$550M as of Jun 9, 2014
Jun 26, 2012$863M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 9, 2014
Apr 30, 20130 then
Employees (5.A)3 as of Jun 9, 2014
Apr 30, 20134 then
Private funds: no history
RAUM +211% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 9, 2014; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$45.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.1%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+211%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
12reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • U•••• X•••••• J••• · Presidentcontrol
      since 09/1995 · owns 75% or more
    • U•••• A••••••••• X••••• · Cco
      since 07/2014 · owns less than 5%
    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 · 10 to 12
      Apr 30, 2013 to Jun 9, 2014
    • Advisory employees · 1 to 2
      Apr 30, 2013 to Jun 9, 2014
    • Employees · 4 to 3
      Apr 30, 2013 to Jun 9, 2014
    • Discretionary RAUM · $102M to $300,000
      Apr 30, 2013 to Jun 9, 2014
    • Non-discretionary RAUM · $75.0M to $550M
      Apr 30, 2013 to Jun 9, 2014
    • RAUM · $177M to $550M
      Apr 30, 2013 to Jun 9, 2014
    • Accounts · 6 to 10
      Dec 4, 2012 to Apr 30, 2013
    • Discretionary RAUM · $177M to $102M
      Dec 4, 2012 to Apr 30, 2013
    • Non-discretionary RAUM · $600M to $75.0M
      Dec 4, 2012 to Apr 30, 2013
    • RAUM · $777M to $177M
      Dec 4, 2012 to Apr 30, 2013
    • Accounts · 20 to 6
      Jun 26, 2012 to Dec 4, 2012
    • Advisory employees · unset to 1.0
      Jun 26, 2012 to Dec 4, 2012
    • Employees · unset to 4.0
      Jun 26, 2012 to Dec 4, 2012
    • State-registered IARs · unset to 0.0
      Jun 26, 2012 to Dec 4, 2012
    • Discretionary RAUM · $779M to $177M
      Jun 26, 2012 to Dec 4, 2012
    • Non-discretionary RAUM · $84.0M to $600M
      Jun 26, 2012 to Dec 4, 2012
    • RAUM · $863M to $777M
      Jun 26, 2012 to Dec 4, 2012
    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