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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SEC-registered adviser
A••••• C•••••••••
Latest filing Mar 31, 2026
First filing on the tape Mar 23, 2012 · 29 filings
SEC status approved since Jul 22, 1988
RAUM
$849M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$769M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$283M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$849M as of Mar 31, 2026
Apr 23, 2012$750M then
HNW client RAUM$726M as of Mar 31, 2026
Mar 30, 2018$731M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Apr 23, 20120 then
Employees (5.A)6 as of Mar 31, 2026
Apr 30, 20138 then
Private funds: no history
RAUM -15% over the last fiscal year-8.2% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $283MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.0MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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
- -2.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- 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$726M85%
- Individuals$43.9M5.2%
- Pooled investment vehicles$42.8M5.0%
- Corporations and businesses$21.2M2.5%
- Charitable organizations$10.1M1.2%
- Pension and profit-sharing plans$5.8M0.7%
- Individual clients
- 49reported
- HNW clients
- 91reported
- Pension plan clients
- 2reported
- Charitable clients
- 6reported
- Accounts
- 446reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $3.6M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.91 fund_share=0.05 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• H••••• R•••••Chartered Financial Analyst | Alexandria, Va | Jun 9, 2005 | 39 y | 0 |
| K•••••• S•••••• G•••••Chartered Financial Analyst | Alexandria, Va | Dec 20, 2022 | 21 y | 0 |
| J•••• S••••••• E•••••••••Chartered Financial Analyst | Dallas, Tx | Dec 21, 2022 | 10 y | 2 |
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 headcount1 left over 36 months
Left, latest
- P•••• C•••••••• K•••• to R••••••••• A•••• M••••••••• L••May 14, 2024 · RIA to RIA
- C••••••••• P•••• H•••••• to T•• H•••••• P••••••• G••••• L••Jan 2, 2020 · RIA to RIA
- J••• N••••• A•••• to F••• P••••• C•••••• L••Jul 2, 2018 · RIA to a state-registered adviser
Joined, latest
- J•••• S••••••• E••••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 21, 2022 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• C••••••• G•••• · Chairman And Trusteecontrolsince 01/2000 · owns less than 5%
- R•••••• J••••• H••••• · Presidentcontrolsince 04/2015 · owns 25% to 50%
- M••••••• C••••••• G•••• · Trusteecontrolsince 10/2006 · owns F of T•• C•• 2••• T••••
- G•••••• K••••••• S•••••• · Chief Compliance Officersince 12/2005 · owns 10% to 25%
- G•••••••• C•••••• L••• · Managing Directorsince 03/2016 · owns 10% to 25%
Entity owners
- T•• C•• 2••• T•••• · Shareholderdirect · owns 25% to 50%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Alexandria, Va · principal | 3 | 0 | 0 | ||
| Washington, Dc | 0 | 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
- very high RAUM per advisorStatic outlier · filing Mar 31, 2026RAUM per registered advisor of $283,093,613 against a peer median of $106,309,121 (1261 comparable advisers, 98.0th percentile, 3.1 robust deviations)peers: independent wealth managers, $500M to $1B (1,261) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 483 to 446May 14, 2025 to Mar 31, 2026
- Charity clients · 8 to 6May 14, 2025 to Mar 31, 2026
- Corporate clients · 4 to 5May 14, 2025 to Mar 31, 2026
- HNW clients · 97 to 91May 14, 2025 to Mar 31, 2026
- Individual clients · 47 to 49May 14, 2025 to Mar 31, 2026
- Pension plan clients · 3 to 2May 14, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.0B to $849MMay 14, 2025 to Mar 31, 2026
- HNW RAUM · $850M to $726MMay 14, 2025 to Mar 31, 2026
- Individual RAUM · $45.1M to $43.9MMay 14, 2025 to Mar 31, 2026
- Pension RAUM · $8.7M to $5.8MMay 14, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $49.4M to $42.8MMay 14, 2025 to Mar 31, 2026
- RAUM · $1.0B to $849MMay 14, 2025 to Mar 31, 2026
- Wrap assets (manager) · $6.3M to $3.6MMay 14, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 14, 2025
- Accounts · 487 to 483Nov 15, 2024 to Mar 31, 2025
- Charity clients · 10 to 8Nov 15, 2024 to Mar 31, 2025
- HNW clients · 102 to 97Nov 15, 2024 to Mar 31, 2025
- Individual clients · 51 to 47Nov 15, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.0B to $1.0BNov 15, 2024 to Mar 31, 2025
- HNW RAUM · $836M to $850MNov 15, 2024 to Mar 31, 2025
- Individual RAUM · $47.2M to $45.1MNov 15, 2024 to Mar 31, 2025
- Pension RAUM · $8.5M to $8.7MNov 15, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $48.5M to $49.4MNov 15, 2024 to Mar 31, 2025
- RAUM · $1.0B to $1.0BNov 15, 2024 to Mar 31, 2025
- Wrap assets (manager) · $7.1M to $6.3MNov 15, 2024 to Mar 31, 2025
- Accounts · 587 to 487May 14, 2024 to Nov 15, 2024
- Charity clients · 14 to 10May 14, 2024 to Nov 15, 2024
- HNW clients · 125 to 102May 14, 2024 to Nov 15, 2024
- Individual clients · 55 to 51May 14, 2024 to Nov 15, 2024
- Pension plan clients · 5 to 3May 14, 2024 to Nov 15, 2024
- Pooled vehicle clients · 6 to 4May 14, 2024 to Nov 15, 2024
- Discretionary RAUM · $1.3B to $1.0BMay 14, 2024 to Nov 15, 2024
- HNW RAUM · $1.0B to $836MMay 14, 2024 to Nov 15, 2024
- Individual RAUM · $51.7M to $47.2MMay 14, 2024 to Nov 15, 2024
- Pension RAUM · $13.7M to $8.5MMay 14, 2024 to Nov 15, 2024
- Pooled vehicle RAUM · $64.0M to $48.5MMay 14, 2024 to Nov 15, 2024
- RAUM · $1.3B to $1.0BMay 14, 2024 to Nov 15, 2024
- Wrap assets (manager) · $7.3M to $7.1MMay 14, 2024 to Nov 15, 2024
- Advisory employees · 4 to 3Mar 29, 2024 to May 14, 2024
- Employees · 7 to 6Mar 29, 2024 to May 14, 2024
Signals
3 dated events
- Creighton Peter Keefe (Shareholder) no longer on Schedule A of A••••• C••••••••• (listed 2024-05-14, absent 2024-11-15)Nov 15, 2024 · Control person left · inference
- P•••• C•••••••• K•••• left A••••• C••••••••• for R••••••••• A•••• M••••••••• L•• (registered 2024-12-06)May 14, 2024 · Advisor changed firm · fact
- A••••• C••••••••• reported RAUM $1.2B, up 45% from $845.6M (2020-06-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
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
- a•••••@a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 202-659-4414reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 202-659-4427reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- A•••••CORP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (202) 659-4427reportedpublic record, Form ADV, Mar 31, 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
- $283Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026