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

O•••••••• A•••••••• L•••

Former SEC-registered adviserMclean, VirginiaCRD 110094SEC 801-57015IAPD
Latest filing Apr 30, 2018
First filing on the tape Feb 1, 2012 · 18 filings
RAUM
$401M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$363M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$515M as of Jan 31, 2018
Feb 1, 2012$259M then
HNW client RAUM: $472M
State-registered IARs (5.B.3)3 as of Jan 31, 2018
Feb 22, 20131 then
Employees (5.A)4 as of Jan 31, 2018
Feb 22, 20133 then
Private funds: no history
RAUM -15% over the last fiscal year-5.6% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Apr 30, 2018; every figure names its basis
RAUM per advisor
$201MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
68derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
9.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+9.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Custody
$20.0M, 10 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)
  • 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$359M89%
  • Pension and profit-sharing plans$22.8M5.7%
  • Charitable organizations$15.5M3.9%
  • Individuals$4.6M1.1%
Individual clients
17reported
HNW clients
118reported
Pension plan clients
12reported
Charitable clients
5reported
Accounts
359reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$20.0M for 10 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
  • B••••• M••••• A••••• · Chief Financial Officer, Chief Operations Officer, Director & Shareholdercontrol
    since 09/2002 · owns 10% to 25%
  • P•••••• B•••••••• J••••• · President, Chief Executive Officer, Chief Legal Officer, Chief Compliance Officer, Director & Shareholdercontrol
    since 08/1999 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list O•••••••• A•••••••• L••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 464 to 359
    Jan 31, 2018 to Apr 6, 2018
  • Advisory employees · 3 to 2
    Jan 31, 2018 to Apr 6, 2018
  • HNW clients · 137 to 118
    Jan 31, 2018 to Apr 6, 2018
  • Employees · 4 to 3
    Jan 31, 2018 to Apr 6, 2018
  • Insurance-licensed employees · 1 to 0
    Jan 31, 2018 to Apr 6, 2018
  • State-registered IARs · 3 to 2
    Jan 31, 2018 to Apr 6, 2018
  • Discretionary RAUM · $515M to $401M
    Jan 31, 2018 to Apr 6, 2018
  • HNW RAUM · $472M to $359M
    Jan 31, 2018 to Apr 6, 2018
  • RAUM · $515M to $401M
    Jan 31, 2018 to Apr 6, 2018
  • Charity clients · unset to 5.0
    Sep 15, 2017 to Jan 31, 2018
  • HNW clients · unset to 137.0
    Sep 15, 2017 to Jan 31, 2018
  • Individual clients · unset to 17.0
    Sep 15, 2017 to Jan 31, 2018
  • Pension plan clients · unset to 12.0
    Sep 15, 2017 to Jan 31, 2018
  • Assets in custody · unset to 20000000.0
    Sep 15, 2017 to Jan 31, 2018
  • Custody of client assets · false to true
    Sep 15, 2017 to Jan 31, 2018
  • Employees · 5 to 4
    Sep 15, 2017 to Jan 31, 2018
  • Insurance-licensed employees · 0 to 1
    Sep 15, 2017 to Jan 31, 2018
  • Other offices · unset to 0.0
    Sep 15, 2017 to Jan 31, 2018
  • Discretionary RAUM · $470M to $515M
    Sep 15, 2017 to Jan 31, 2018
  • HNW RAUM · unset to 472400000.0
    Sep 15, 2017 to Jan 31, 2018
  • Individual RAUM · unset to 4600000.0
    Sep 15, 2017 to Jan 31, 2018
  • Pension RAUM · unset to 22800000.0
    Sep 15, 2017 to Jan 31, 2018
  • RAUM · $470M to $515M
    Sep 15, 2017 to Jan 31, 2018
  • Accounts · 395 to 464
    Sep 7, 2016 to Feb 7, 2017
  • Discretionary RAUM · $443M to $470M
    Sep 7, 2016 to Feb 7, 2017
  • RAUM · $443M to $470M
    Sep 7, 2016 to Feb 7, 2017
  • Advisory employees · 2 to 3
    Feb 29, 2016 to Sep 7, 2016
  • Insurance-licensed employees · 3 to 0
    Feb 29, 2016 to Sep 7, 2016
  • Related adviser · true to false
    Feb 29, 2016 to Sep 7, 2016
  • Accounts · 405 to 395
    Jun 8, 2015 to Feb 29, 2016
  • Discretionary RAUM · $477M to $443M
    Jun 8, 2015 to Feb 29, 2016
  • RAUM · $477M to $443M
    Jun 8, 2015 to Feb 29, 2016
  • Employees · 6 to 5
    Feb 4, 2015 to Jun 8, 2015
  • Accounts · 416 to 405
    Jul 23, 2014 to Feb 4, 2015
  • Discretionary RAUM · $459M to $477M
    Jul 23, 2014 to Feb 4, 2015
  • RAUM · $459M to $477M
    Jul 23, 2014 to Feb 4, 2015
  • Accounts · 316 to 416
    May 31, 2013 to Mar 10, 2014
  • BD registered reps · 3 to 0
    May 31, 2013 to Mar 10, 2014
  • Business name · P••••• I••••••••• A••••••• L•• to O•••••••• A•••••••• L•••
    May 31, 2013 to Mar 10, 2014
  • Insurance-licensed employees · 2 to 3
    May 31, 2013 to Mar 10, 2014
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