DFX Intelligence

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L••••• • A••••••••• I••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $180M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-06-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $180M
Advisors: 1
Private clients: 100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-06-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 110703 · SEC 801-111968 · 22 filingsShow

CRD 110703SEC 801-111968First filing on the tape Nov 14, 2011, latest Jun 10, 2026SEC status approved since Oct 31, 2017IAPD

RAUM

$180M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$180M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$180M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

22 filings and snapshots on the tape

Filed figures over time · the tape starts Nov 14, 2011

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$180M as of Jun 10, 2026

Jun 22, 2012$73.8M then

HNW client RAUM$177M as of Jun 10, 2026

Jun 20, 2018$49.5M then

State-registered IARs (5.B.3)1 as of Jun 10, 2026

Jun 22, 20120 then

Employees (5.A)1 as of Jun 10, 2026

Jun 20, 20181 then

Private funds: no history

Practice profile

derived from the filing of Jun 10, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $180MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 48derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.9MderivedHNW RAUM over HNW clients
Average account: $1.6MderivedRAUM 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: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +23%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -1.8%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

98% high-net-worth individuals, 1.9% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$177M98%
Individuals$3.4M1.9%

Individual clients: 12reported
HNW clients: 36reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 116reported
Financial planning clients: 26-50reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
H••••• S•••• C••••••Certified Financial Planner	Oak Hill, Va	Jan 4, 2003	38 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C••••••• C••••••••• W•••• · Vice President, Secretarycontrol
since 11/2006 · owns less than 5%
C••••••• H•••••• S•••• · President & Chief Compliance Officercontrol
since 03/2005 · owns 75% or more
L•••••• R•••••• J••• · Director
since 11/2002 · 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 · 122 to 116
Jun 17, 2025 to Jun 10, 2026
HNW clients · 38 to 36
Jun 17, 2025 to Jun 10, 2026
Individual clients · 15 to 12
Jun 17, 2025 to Jun 10, 2026
Financial planning clients · 51-100 to 26-50
Jun 17, 2025 to Jun 10, 2026
Discretionary RAUM · $191M to $180M
Jun 17, 2025 to Jun 10, 2026

Full history · 80 changes

HNW RAUM · $187M to $177M
Jun 17, 2025 to Jun 10, 2026
Individual RAUM · $3.8M to $3.4M
Jun 17, 2025 to Jun 10, 2026
RAUM · $191M to $180M
Jun 17, 2025 to Jun 10, 2026
Accounts · 123 to 122
Oct 11, 2024 to Jun 17, 2025
HNW clients · 35 to 38
Oct 11, 2024 to Jun 17, 2025
Individual clients · 19 to 15
Oct 11, 2024 to Jun 17, 2025
Financial planning clients · 51-100 to 51-100
Oct 11, 2024 to Jun 17, 2025
HQ city · unset to
Oct 11, 2024 to Jun 17, 2025
HQ state · unset to
Oct 11, 2024 to Jun 17, 2025
Discretionary RAUM · $167M to $191M
Oct 11, 2024 to Jun 17, 2025
HNW RAUM · $161M to $187M
Oct 11, 2024 to Jun 17, 2025
Individual RAUM · $5.6M to $3.8M
Oct 11, 2024 to Jun 17, 2025
RAUM · $167M to $191M
Oct 11, 2024 to Jun 17, 2025
Related insurance company · true to false
Oct 11, 2024 to Jun 17, 2025
Accounts · 125 to 123
Jun 15, 2023 to Jun 19, 2024
HNW clients · 32 to 35
Jun 15, 2023 to Jun 19, 2024
Individual clients · 23 to 19
Jun 15, 2023 to Jun 19, 2024
Discretionary RAUM · $136M to $167M
Jun 15, 2023 to Jun 19, 2024
HNW RAUM · $128M to $161M
Jun 15, 2023 to Jun 19, 2024
Individual RAUM · $7.8M to $5.6M
Jun 15, 2023 to Jun 19, 2024
RAUM · $136M to $167M
Jun 15, 2023 to Jun 19, 2024
Accounts · 132 to 125
Jun 10, 2022 to Jun 15, 2023
HNW clients · 31 to 32
Jun 10, 2022 to Jun 15, 2023
Individual clients · 28 to 23
Jun 10, 2022 to Jun 15, 2023
Discretionary RAUM · $152M to $136M
Jun 10, 2022 to Jun 15, 2023
HNW RAUM · $142M to $128M
Jun 10, 2022 to Jun 15, 2023
Individual RAUM · $10.4M to $7.8M
Jun 10, 2022 to Jun 15, 2023
RAUM · $152M to $136M
Jun 10, 2022 to Jun 15, 2023
HNW clients · 26 to 31
Jun 15, 2021 to Jun 10, 2022
Individual clients · 33 to 28
Jun 15, 2021 to Jun 10, 2022
Discretionary RAUM · $129M to $152M
Jun 15, 2021 to Jun 10, 2022
HNW RAUM · $115M to $142M
Jun 15, 2021 to Jun 10, 2022
Individual RAUM · $13.6M to $10.4M
Jun 15, 2021 to Jun 10, 2022
RAUM · $129M to $152M
Jun 15, 2021 to Jun 10, 2022
HNW clients · 27 to 26
Jul 20, 2020 to Jun 15, 2021
Individual clients · 35 to 33
Jul 20, 2020 to Jun 15, 2021
Discretionary RAUM · $116M to $129M
Jul 20, 2020 to Jun 15, 2021
HNW RAUM · $104M to $115M
Jul 20, 2020 to Jun 15, 2021
Individual RAUM · $11.7M to $13.6M
Jul 20, 2020 to Jun 15, 2021
RAUM · $116M to $129M
Jul 20, 2020 to Jun 15, 2021
Accounts · 138 to 132
May 4, 2020 to Jun 12, 2020
Individual clients · 39 to 35
May 4, 2020 to Jun 12, 2020
Discretionary RAUM · $124M to $116M
May 4, 2020 to Jun 12, 2020
HNW RAUM · $111M to $104M
May 4, 2020 to Jun 12, 2020
Individual RAUM · $13.5M to $11.7M
May 4, 2020 to Jun 12, 2020
RAUM · $124M to $116M
May 4, 2020 to Jun 12, 2020
Accounts · 142 to 138
Jun 20, 2018 to Jun 28, 2019
HNW clients · 19 to 27
Jun 20, 2018 to Jun 28, 2019
Individual clients · 36 to 39
Jun 20, 2018 to Jun 28, 2019
Discretionary RAUM · $122M to $124M
Jun 20, 2018 to Jun 28, 2019
HNW RAUM · $49.5M to $111M
Jun 20, 2018 to Jun 28, 2019
Individual RAUM · $12.2M to $13.5M
Jun 20, 2018 to Jun 28, 2019
Pension RAUM · 5628602.0 to unset
Jun 20, 2018 to Jun 28, 2019
RAUM · $122M to $124M
Jun 20, 2018 to Jun 28, 2019
Accounts · 149 to 142
Sep 29, 2017 to Jun 20, 2018
HNW clients · unset to 19.0
Sep 29, 2017 to Jun 20, 2018
Individual clients · unset to 36.0
Sep 29, 2017 to Jun 20, 2018
Other offices · unset to 0.0
Sep 29, 2017 to Jun 20, 2018
Discretionary RAUM · $119M to $122M
Sep 29, 2017 to Jun 20, 2018
HNW RAUM · unset to 49460831.0
Sep 29, 2017 to Jun 20, 2018
Individual RAUM · unset to 12200982.0
Sep 29, 2017 to Jun 20, 2018
Pension RAUM · unset to 5628602.0
Sep 29, 2017 to Jun 20, 2018
RAUM · $119M to $122M
Sep 29, 2017 to Jun 20, 2018
Related insurance company · false to true
Sep 29, 2017 to Jun 20, 2018
Accounts · 72 to 149
Jun 22, 2012 to Sep 29, 2017
Advisory employees · unset to 1.0
Jun 22, 2012 to Sep 29, 2017
BD registered reps · unset to 0.0
Jun 22, 2012 to Sep 29, 2017
Assets in custody · 73776486.0 to unset
Jun 22, 2012 to Sep 29, 2017
Custody of client assets · true to false
Jun 22, 2012 to Sep 29, 2017
Employees · unset to 1.0
Jun 22, 2012 to Sep 29, 2017
State-registered IARs · 0 to 1
Jun 22, 2012 to Sep 29, 2017
Discretionary RAUM · $73.8M to $119M
Jun 22, 2012 to Sep 29, 2017
RAUM · $73.8M to $119M
Jun 22, 2012 to Sep 29, 2017
Assets in custody · unset to 73776486.0
Apr 23, 2012 to May 3, 2012
Custody of client assets · false to true
Apr 23, 2012 to May 3, 2012

Signals

1 dated events

••• Locked
Sep 29, 2017 · 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.

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Jun 10, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jun 10, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $180Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months, RAUM change, 1 year.