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
F•••••••• S••••••• A••••••• I••
Latest filing Sep 4, 2026
First filing on the tape Mar 2, 2012 · 33 filings
SEC status approved since May 15, 1997
RAUM
$1.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$1.8B individuals and HNW
Advisors
30
registered through the firm on IAPD
RAUM per advisor
$64.9M
derived; firm RAUM over IAPD count
Employees
37
37 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$1.7B as of Mar 19, 2026
Aug 27, 2012$410M then
HNW client RAUM$919M as of Mar 19, 2026
Sep 28, 2018$100M then
State-registered IARs (5.B.3)32 as of Mar 19, 2026
Aug 27, 20120 then
Employees (5.A)43 as of Mar 19, 2026
Sep 27, 20136 then
Private funds: no history
RAUM +24% over the last fiscal year+20% a year over threeIARs 29 to 28
Practice profile
derived from the filing of Sep 4, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $64.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 103derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $573,556derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.1%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Financial planning clients
- 3,500reportedItem 5.H
- 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
- is an insurance broker or agent (6.A.6)
- 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
- High-net-worth individuals$1.0B54%
- Individuals$782M40%
- Pension and profit-sharing plans$108M5.5%
- Corporations and businesses$11.4M0.6%
- Charitable organizations$2.7M0.1%
- Individual clients
- 2,640reported
- HNW clients
- 459reported
- Pension plan clients
- 243reported
- Charitable clients
- 13reported
- Accounts
- 3,393reported
- Financial planning clients
- 3,500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=true related_bank=false bd_reps=32.0derived
Advisors registered through the firm
30 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• F•••••••• J••••Certified Financial Planner, Chartered Financial Consultant | Newport News, Va | Jul 3, 1997 | 40 y | 0 |
| J••• T••••• O••••••Certified Financial Planner | Virginia Beach, Va | Jul 3, 1997 | 30 y | 0 |
| R•••••• L•• P•••Certified Financial Planner | Jacksonville, Nc | Jul 3, 1997 | 33 y | 0 |
| E••••• J••••• C••••••••Certified Financial Planner | Virginia Beach, Va | Jul 3, 1997 | 33 y | 0 |
| R••••••• C••••• C•••••••• | Va Beach, Va | Jul 3, 1997 | 42 y | 0 |
| A••••• R•• M••••••••Certified Financial Planner | Va Beach, Va | Jul 3, 1997 | 47 y | 0 |
| R•••••• D••••• W••••••Chartered Financial Consultant | Va Beach, Va | Dec 2, 1997 | 45 y | 0 |
| C••••••••• M•••••• R••• | Virginia Beach, Va | Dec 2, 1999 | 27 y | 0 |
| F•••••••• A••••• C•••• | Naples, Fl | Feb 18, 2000 | 27 y | 0 |
| C•••••• R••••• M••••••• | Va Beach, Va | Dec 12, 2000 | 26 y | 0 |
| E•••••• L• T••••Certified Financial Planner | Virginia Beach, Va | Jan 3, 2003 | 26 y | 1 |
| M••• S•••••• D•••••Certified Financial Planner | Virginia Beach, Va | Jul 31, 2003 | 39 y | 1 |
| W•••••• K•••• S•••••• | Virginia Beach, Va | Nov 21, 2003 | 29 y | 0 |
| J•••••• J•••• H••••• | Newport News, Va | Jan 1, 2005 | 22 y | 0 |
| K•••• J••• J••••Chartered Financial Consultant | Newport News, Va | Jan 30, 2013 | 14 y | 0 |
| S•••• P••••• S••• | Virginia Beach, Va | Apr 8, 2019 | 11 y | 0 |
| B••••••• A•• M••••••••Certified Financial Planner | Virginia Beach, Va | Nov 20, 2019 | 11 y | 0 |
| T•••• E•••••• N••••Certified Financial Planner | Virginia Beach, Va | Jan 6, 2021 | 13 y | 1 |
| S••••• T••••• W••••• | Virginia Beach, Va | Aug 9, 2021 | 16 y | 0 |
| M•••••• R••••• F•••••• | Virginia Beach, Va | Sep 3, 2021 | 13 y | 0 |
| K••••• E••• D••••••••• | Virginia Beach, Va | Jun 26, 2023 | 19 y | 0 |
| K•••• P••••• T••••• | Virginia Beach, Va | Jun 29, 2023 | 10 y | 0 |
| D••••• A•• S••••• | Virginia Beach, Va | Aug 30, 2023 | 11 y | 0 |
| G•••• S•••• S••••••• | Virginia Beach, Va | Jan 12, 2024 | 32 y | 10 |
| R••••• O•••••• W••••• | Virginia Beach, Va | May 21, 2024 | 10 y | 0 |
| A•••• T•••••••• R••••• | Virginia Beach, Va | Jun 7, 2024 | 10 y | 0 |
| A••••• W•••••• G•••••••Certified Financial Planner | Virginia Beach, Va | Sep 5, 2024 | 12 y | 0 |
| W•••••• W• L•••Certified Financial Planner | Jupiter, Fl | Feb 5, 2026 | 10 y | 0 |
| A••••••• L•••• O••••••Certified Financial Planner | Virginia Beach, Va | May 22, 2026 | 20 y | 0 |
| J••••• E••••• B•••••• | Virginia Beach, Va | Sep 2, 2026 | 11 y | 0 |
Advisor movement
7 left, 0 joined in 12 months
net -7 in 12 months6 left in 90 days0 joined in 90 daysdeparture rate 23% of current headcount7 left over 36 months
Left, latest
- S•• C••• K•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 31, 2026 · RIA to affiliated broker-dealer or bank
- A•••• D••• W•••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 31, 2026 · RIA to affiliated broker-dealer or bank
- D•••• D••••• C•••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 31, 2026 · RIA to affiliated broker-dealer or bank
- J•••••• B•••••••• W•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 31, 2026 · RIA to affiliated broker-dealer or bank
- G•••• E•••••••• B••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 31, 2026 · RIA to affiliated broker-dealer or bank
- A••••• B•••••••• R•••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 31, 2026 · RIA to affiliated broker-dealer or bank
- J••• W••••• A••••• to S••••••••• W••••• M••••••••• G•••• L••Dec 2, 2025 · RIA to RIA
- E•••••••• A• D••••• to P•••••••• R••••••••• I••••••••• A•••••••Sep 22, 2020 · RIA to RIA
- D•••• L•••••• B••• to C••••••• F•••••••• A•••••••• I•••Sep 10, 2018 · Other
- C•••••• L••• S•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 27, 2015 · Other
- D•••• K••• P••••••• to C••••• S••••• A•••••••• I•••Apr 27, 2015 · Other
- D••••• G••••• S•••••• to B••••••••• C•••••• M••••••••• L••Jun 30, 2009 · Other
- K•••••••• L•••••• B•••• to T•• A••••••• F••• O• K•••••••• L•••••• L•••••• L•••••••• C••••••Apr 29, 2005 · Other
- J••• M•••••• J••••• to O• I••••••••• M••••••••• C•Jul 13, 2004 · Other
- H•••••• L•••• P••••• to N••• F•••••••• G••••• I•••Sep 2, 2003 · Other
Joined, latest
- G•••• S•••• S••••••• from U•••••• I••••••••• M••••••••• L•••••Jan 12, 2024 · RIA to RIA
- T•••• E•••••• N•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 6, 2021 · Wirehouse to independent RIA
- D•••• K••• P••••••• from S•••••••• I••••••••• N•••• I•••Jan 9, 2014 · Other
- D••••• G••••• S•••••• from T••••••••• F•••••••• A•••••••• L••Jul 31, 2008 · Other
- M••• S•••••• D••••• from D•••• • C• A•••••••• I•••Jul 31, 2003 · Other
- E•••••• L• T•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 3, 2003 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 31, 2026 · Virginia Beach, Va
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• G••••• E•••••••• · Vice Presidentcontrolsince 02/2014 · owns less than 5%
- C••••••••• R•••••••• C••••• · Treasurercontrolsince 05/1997 · owns less than 5%
- J••••• C••••••• F•••••••• · Senior Vice Presidentcontrolsince 05/1997 · owns less than 5%
- M••••••••• A•••••• R•• · Secretarycontrolsince 05/1997 · owns less than 5%
- O••••••• J•••• T••••• · Presidentcontrolsince 01/2012 · owns less than 5%
- W••••••• R••••••• D••••• · Executive Vice Presidentcontrolsince 05/1997 · owns less than 5%
- B•••••••• G••••• E•••••••• · Partnercontrolsince 02/2014 · owns F of F•••••••• S••••••• C••••••••• L••
- C••••••••• R•••••••• C••••• · Partnercontrolsince 12/2003 · owns F of F•••••••• S••••••• C••••••••• L••
- J••••• C••••••• F•••••••• · Partnercontrolsince 12/2003 · owns F of F•••••••• S••••••• C••••••••• L••
- M••••••••• A•••••• R•• · Partnercontrolsince 12/2003 · owns F of F•••••••• S••••••• C••••••••• L••
- O••••••• J•••• T••••• · Partnercontrolsince 12/2003 · owns F of F•••••••• S••••••• C••••••••• L••
- W••••••• R••••••• D••••• · Partnercontrolsince 12/2003 · owns F of F•••••••• S••••••• C••••••••• L••
- D••••••••• K••••• · Chief Operations Officersince 08/2022 · owns less than 5%
- S•••••••• G••••• S•••• · Chief Compliance Officersince 01/2024 · owns less than 5%
- T•••••• K••••• P••••• · Chief Compliance Officersince 03/2026 · owns less than 5%
Entity owners
- F•••••••• S••••••• C••••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- F•••••••• S••••••• M••••••••• I•••••••••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Virginia Beach, Va · principal | 22 | 3 | 5 | 1 | |
| Va Beach, Va | 5 | 0 | 2 | ||
| Newport News, Va | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Newport News, VA2 employees
- Virginia Beach, VA2 employees
- Newport News, VA2 employees
- Jupiter, FL2 employees
- Jacksonville, NC1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Sep 4, 2026B•••••••• G••••• E•••••••• (VICE PRESIDENT) left Schedule A between the filings of 2024-01-18 and 2026-09-04peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 3,141 to 3,393Mar 19, 2026 to Sep 4, 2026
- Advisory employees · 43 to 37Mar 19, 2026 to Sep 4, 2026
- BD registered reps · 39 to 32Mar 19, 2026 to Sep 4, 2026
- Charity clients · 11 to 13Mar 19, 2026 to Sep 4, 2026
- Corporate clients · 35 to 38Mar 19, 2026 to Sep 4, 2026
- HNW clients · 444 to 459Mar 19, 2026 to Sep 4, 2026
- Individual clients · 2,366 to 2,640Mar 19, 2026 to Sep 4, 2026
- Pension plan clients · 285 to 243Mar 19, 2026 to Sep 4, 2026
- Employees · 43 to 37Mar 19, 2026 to Sep 4, 2026
- Financial planning clients · More than 500 to More than 500Mar 19, 2026 to Sep 4, 2026
- State-registered IARs · 32 to 28Mar 19, 2026 to Sep 4, 2026
- Discretionary RAUM · $1.7B to $1.9BMar 19, 2026 to Sep 4, 2026
- HNW RAUM · $919M to $1.0BMar 19, 2026 to Sep 4, 2026
- Individual RAUM · $714M to $782MMar 19, 2026 to Sep 4, 2026
- Non-discretionary RAUM · $894,318 to $0Mar 19, 2026 to Sep 4, 2026
- Pension RAUM · $99.8M to $108MMar 19, 2026 to Sep 4, 2026
- RAUM · $1.7B to $1.9BMar 19, 2026 to Sep 4, 2026
- Succession · false to unsetMar 19, 2026 to Sep 4, 2026
- Accounts · 2,904 to 3,141Sep 30, 2024 to Sep 29, 2025
- Advisory employees · 41 to 43Sep 30, 2024 to Sep 29, 2025
- BD registered reps · 38 to 39Sep 30, 2024 to Sep 29, 2025
- Charity clients · 13 to 11Sep 30, 2024 to Sep 29, 2025
- Corporate clients · 34 to 35Sep 30, 2024 to Sep 29, 2025
- HNW clients · 435 to 444Sep 30, 2024 to Sep 29, 2025
- Individual clients · 2,141 to 2,366Sep 30, 2024 to Sep 29, 2025
- Pension plan clients · 281 to 285Sep 30, 2024 to Sep 29, 2025
- Employees · 41 to 43Sep 30, 2024 to Sep 29, 2025
- Financial planning clients · More than 500 to More than 500Sep 30, 2024 to Sep 29, 2025
- State-registered IARs · 29 to 32Sep 30, 2024 to Sep 29, 2025
- Discretionary RAUM · $1.6B to $1.7BSep 30, 2024 to Sep 29, 2025
- HNW RAUM · $877M to $919MSep 30, 2024 to Sep 29, 2025
- Individual RAUM · $595M to $714MSep 30, 2024 to Sep 29, 2025
- Non-discretionary RAUM · $2.9M to $894,318Sep 30, 2024 to Sep 29, 2025
- Pension RAUM · $88.0M to $99.8MSep 30, 2024 to Sep 29, 2025
- RAUM · $1.6B to $1.7BSep 30, 2024 to Sep 29, 2025
- HNW RAUM · $656M to $877MAug 19, 2024 to Sep 30, 2024
- Individual RAUM · $575M to $595MAug 19, 2024 to Sep 30, 2024
- Non-discretionary RAUM · $1.9M to $2.9MAug 19, 2024 to Sep 30, 2024
- Pension RAUM · $75.0M to $88.0MAug 19, 2024 to Sep 30, 2024
- RAUM · $1.3B to $1.6BAug 19, 2024 to Sep 30, 2024
Signals
14 dated events
- G•••• E•••••••• B••••••• left F•••••••• S••••••• A••••••• I•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2026-09-01)Aug 31, 2026 · advisor f••• change · fact
- A••••• B•••••••• R•••••••• left F•••••••• S••••••• A••••••• I•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2026-09-01)Aug 31, 2026 · advisor f••• change · fact
- J•••••• B•••••••• W•••• left F•••••••• S••••••• A••••••• I•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2026-09-01)Aug 31, 2026 · advisor f••• change · fact
- S•• C••• K•• left F•••••••• S••••••• A••••••• I•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2026-09-01)Aug 31, 2026 · advisor f••• change · fact
- D•••• D••••• C•••••••• left F•••••••• S••••••• A••••••• I•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2026-09-01)Aug 31, 2026 · advisor f••• change · fact
- A•••• D••• W•••••••• left F•••••••• S••••••• A••••••• I•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2026-09-01)Aug 31, 2026 · advisor f••• change · fact
- 6 advisors left F•••••••• S••••••• A••••••• I•• (Virginia Beach, VA) for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• on the same dayAug 31, 2026 · Team lift-out · derived
- J••• W••••• A••••• left F•••••••• S••••••• A••••••• I•• for S••••••••• W••••• M••••••••• G•••• L•• (registered 2025-12-04)Dec 2, 2025 · advisor f••• change · fact
- W•••••• Casey Dougherty (Chief Compliance Officer) no longer on Schedule A of F•••••••• S••••••• A••••••• I•• (listed 2023-10-19, absent 2024-01-18)Jan 18, 2024 · Control person left · inference
- S•••• G•••• S••••••• (Chief Compliance Officer) appeared on Schedule A of F•••••••• S••••••• A••••••• I••Jan 18, 2024 · Control person joined · fact
- J•••• R••••• Obrien (Managing Partner) no longer on Schedule A of F•••••••• S••••••• A••••••• I•• (listed 2023-10-19, absent 2024-01-18)Jan 18, 2024 · Control person left · inference
- W•••••• Casey Dougherty (Chief Compliance Officer) appeared on Schedule A of F•••••••• S••••••• A••••••• I••Jul 6, 2023 · Control person joined · fact
- F•••••••• S••••••• A••••••• I•• reported RAUM $1.2B, up 28% from $945.6M (2020-09-03 to 2021-10-01)Oct 1, 2021 · RAUM change · derived
- F•••••••• S••••••• A••••••• I•• reported 29 state-registered advisory representatives, up from 18 (2020-06-30 to 2020-09-03)Sep 3, 2020 · Advisor headcount 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 phone
- 757-431-1414reportedpublished by the firm, firm site, Sep 17, 2026
- f••• profile url
- linkedin.com/company/financialsecuritygroup/homereportedpublic record, Form ADV, Sep 18, 2026
- f••• website
- w••.g••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 757-431-1414reportedpublic record, Form ADV, Sep 4, 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
- $64.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026