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••••••••• P••••••• A••••••••• I••

Former SEC-registered adviserRockville, MarylandCRD 110047SEC 801-108454IAPD
Latest filing Jan 3, 2022
First filing on the tape Mar 20, 2012 · 13 filings
RAUM
$210M
reported, Item 5.F
Discretionary
71%
of RAUM
Private clients
100%
$210M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$210M as of Mar 23, 2021
Mar 20, 2012$76.0M then
HNW client RAUM$192M as of Mar 23, 2021
Mar 18, 2018$115M then
State-registered IARs (5.B.3)2 as of Mar 23, 2021
Feb 14, 20172 then
Employees (5.A)2 as of Mar 23, 2021
Feb 14, 20172 then
Private funds: no history
RAUM +15% over the last fiscal year+9.5% a year over threeIARs 2 to 2offices 1 to 0
Practice profile
derived from the filing of Jan 3, 2022; every figure names its basis
RAUM per advisor
$105MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
80derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$350,000derivedRAUM over accounts (5.F.2.f)
Discretionary
71%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
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.7%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$192M91%
  • Individuals$18.0M8.6%
Individual clients
30reported
HNW clients
130reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
600reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • L••••• J••• P••• · President/Chief Compliance Officercontrol
    since 01/1990 · owns 75% or more
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
  • Assets in custody · $49.9M to $0
    Nov 10, 2021 to Jan 3, 2022
  • Custody of client assets · true to false
    Nov 10, 2021 to Jan 3, 2022
  • HNW clients · 60 to 130
    Jan 6, 2021 to Mar 23, 2021
  • Individual clients · 90 to 30
    Jan 6, 2021 to Mar 23, 2021
  • Pension plan clients · 1.0 to unset
    Jan 6, 2021 to Mar 23, 2021
  • Assets in custody · $25.5M to $49.9M
    Jan 6, 2021 to Mar 23, 2021
  • Other offices · 1 to 0
    Jan 6, 2021 to Mar 23, 2021
  • Discretionary RAUM · $93.0M to $150M
    Jan 6, 2021 to Mar 23, 2021
  • HNW RAUM · $138M to $192M
    Jan 6, 2021 to Mar 23, 2021
  • Individual RAUM · $45.0M to $18.0M
    Jan 6, 2021 to Mar 23, 2021
  • Non-discretionary RAUM · $90.2M to $60.0M
    Jan 6, 2021 to Mar 23, 2021
  • Pension RAUM · 200000.0 to unset
    Jan 6, 2021 to Mar 23, 2021
  • RAUM · $183M to $210M
    Jan 6, 2021 to Mar 23, 2021
  • Accounts · 630 to 600
    Mar 22, 2019 to Feb 27, 2020
  • HNW clients · 55 to 60
    Mar 22, 2019 to Feb 27, 2020
  • Individual clients · 95 to 90
    Mar 22, 2019 to Feb 27, 2020
  • Pension plan clients · unset to 1.0
    Mar 22, 2019 to Feb 27, 2020
  • Assets in custody · $55,000 to $25.5M
    Mar 22, 2019 to Feb 27, 2020
  • Discretionary RAUM · $3.1M to $93.0M
    Mar 22, 2019 to Feb 27, 2020
  • HNW RAUM · $110M to $138M
    Mar 22, 2019 to Feb 27, 2020
  • Non-discretionary RAUM · $152M to $90.2M
    Mar 22, 2019 to Feb 27, 2020
  • Pension RAUM · unset to 200000.0
    Mar 22, 2019 to Feb 27, 2020
  • RAUM · $155M to $183M
    Mar 22, 2019 to Feb 27, 2020
  • Accounts · 618 to 630
    Mar 18, 2018 to Mar 22, 2019
  • HNW clients · 52 to 55
    Mar 18, 2018 to Mar 22, 2019
  • Individual clients · 108 to 95
    Mar 18, 2018 to Mar 22, 2019
  • Assets in custody · unset to 55000.0
    Mar 18, 2018 to Mar 22, 2019
  • Custody of client assets · false to true
    Mar 18, 2018 to Mar 22, 2019
  • Discretionary RAUM · $0 to $3.1M
    Mar 18, 2018 to Mar 22, 2019
  • HNW RAUM · $115M to $110M
    Mar 18, 2018 to Mar 22, 2019
  • Non-discretionary RAUM · $160M to $152M
    Mar 18, 2018 to Mar 22, 2019
  • RAUM · $160M to $155M
    Mar 18, 2018 to Mar 22, 2019
  • Accounts · 130 to 618
    Jan 2, 2018 to Mar 18, 2018
  • HNW clients · unset to 52.0
    Jan 2, 2018 to Mar 18, 2018
  • Individual clients · unset to 108.0
    Jan 2, 2018 to Mar 18, 2018
  • HNW RAUM · unset to 115000000.0
    Jan 2, 2018 to Mar 18, 2018
  • Individual RAUM · unset to 45000000.0
    Jan 2, 2018 to Mar 18, 2018
  • Non-discretionary RAUM · $130M to $160M
    Jan 2, 2018 to Mar 18, 2018
  • RAUM · $130M to $160M
    Jan 2, 2018 to Mar 18, 2018
  • Other offices · unset to 1.0
    Jun 27, 2017 to Jan 2, 2018
Signals
2 dated events
  • A•• S••• W••••• left I••••••••• P••••••• A••••••••• I•• for M•• C•••••• M••••••••• L•• (registered 2021-12-23)
    Jan 3, 2022 · Advisor changed firm · fact
  • I••••••••• P••••••• A••••••••• I•• filed its initial SEC registration (Form ADV)
    Sep 20, 2016 · First SEC registration · fact
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