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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

D••••• H•••••• F•••••• • B••••• I•••

Former SEC-registered adviserRoanoke, VirginiaCRD 110777SEC 801-15740IAPD
Latest filing Mar 31, 2022
First filing on the tape Mar 30, 2012 · 22 filings
RAUM
$1.6B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
88%
$1.4B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
23
16 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$1.6B as of Mar 31, 2022
Mar 30, 2012$437M then
HNW client RAUM$1.2B as of Mar 31, 2022
Mar 30, 2018$382M then
State-registered IARs (5.B.3)16 as of Mar 31, 2022
Mar 30, 20120 then
Employees (5.A)23 as of Mar 31, 2022
Mar 28, 20136 then
Private funds: no history
RAUM +156% over the last fiscal year+45% a year over threeIARs 7 to 16offices 0 to 2
Practice profile
derived from the filing of Mar 31, 2022; every figure names its basis
RAUM per advisor
$100MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
62derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.1MderivedHNW RAUM over HNW clients
Average account
$652,930derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
4.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
5.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+156%derivedbetween the last two annual amendments
Advisor growth, one year
+129%derivedItem 5.B.3 between annual amendments
Client growth, one year
-3.3%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Custody
$506M, 333 clientsreportedItem 9.A
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • 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$1.2B81%
  • Individuals$184M12%
  • Charitable organizations$60.2M4.0%
  • Corporations and businesses$31.4M2.1%
  • Pension and profit-sharing plans$13.7M0.9%
  • State and municipal entities$788,0660.1%
Individual clients
590reported
HNW clients
397reported
Pension plan clients
7reported
Charitable clients
23reported
Accounts
2,460reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$506M for 333 clientsreported
Compensation
% of AUM, fixedreported
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
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••••• M•••••• L•••••• · Chief Compliance Officercontrol
    since 10/2021 · owns less than 5%
  • B••••• C••••••• W•••••• · Lead Managing Director / Member Board Of Directorscontrol
    since 04/2018 · owns less than 5%
  • H•••• J••••• E•••••• · Managing Directorcontrol
    since 10/2021 · owns less than 5%
  • H••••••••• J••••••• D••• · Managing Director/Member Board Of Directorscontrol
    since 10/2021 · owns less than 5%
  • M••••• W••••••• J••••• · Member Board Of Directorscontrol
    since 10/2021 · owns less than 5%
  • M•••••• R•••••• P•••••• · Managing Directorcontrol
    since 08/2019 · owns less than 5%
  • P•••••• B•••••••• J••••• · Regional Managing Director/Chief Investment Officercontrol
    since 10/2021 · owns less than 5%
  • R••••• B••••••• P•••• · Member Board Of Directorscontrol
    since 10/2021 · owns less than 5%
Entity owners
  • A••••••• U•••• B••• · Corporation
    direct · owns 75% or more
  • A••••••• U•••• B••••••••• C••••••••• · Corporation
    indirect · owns 75% or more of A••••••• U•••• B••• · public reporting company
Related persons
Schedule D 7.A
  • A••••• I•••••••• G••••• L••
    real estaten
  • A••••••• U•••• B•••
    y
  • A••••••• U•••• E••••••••• F••••••• I•••
    n
  • A••••••• U•••• F•••••••• C••••••••• L••
    investment advisern
  • J•••••• B••••••
    insurancen
  • U•••• I•••••••• G•••• L••
    real estaten
Advisers that list D••••• H•••••• F•••••• • B••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
  • Charlottesville, VA5 employees
  • Arlington, VA3 employees
What changed
consecutive filings, newest first
  • Accounts · 2,449 to 2,460
    Oct 1, 2021 to Mar 31, 2022
  • Charity clients · 24 to 23
    Oct 1, 2021 to Mar 31, 2022
  • HNW clients · 404 to 397
    Oct 1, 2021 to Mar 31, 2022
  • Individual clients · 560 to 590
    Oct 1, 2021 to Mar 31, 2022
  • Pension plan clients · 8 to 7
    Oct 1, 2021 to Mar 31, 2022
  • Assets in custody · $350M to $506M
    Oct 1, 2021 to Mar 31, 2022
  • Employees · 25 to 23
    Oct 1, 2021 to Mar 31, 2022
  • Discretionary RAUM · $1.6B to $1.6B
    Oct 1, 2021 to Mar 31, 2022
  • HNW RAUM · $1.3B to $1.2B
    Oct 1, 2021 to Mar 31, 2022
  • Individual RAUM · $182M to $184M
    Oct 1, 2021 to Mar 31, 2022
  • Non-discretionary RAUM · $22.6M to $11.3M
    Oct 1, 2021 to Mar 31, 2022
  • Pension RAUM · $14.6M to $13.7M
    Oct 1, 2021 to Mar 31, 2022
  • RAUM · $1.7B to $1.6B
    Oct 1, 2021 to Mar 31, 2022
  • Accounts · 1,087 to 2,449
    Jun 28, 2021 to Oct 1, 2021
  • Advisory employees · 7 to 16
    Jun 28, 2021 to Oct 1, 2021
  • Charity clients · 34 to 24
    Jun 28, 2021 to Oct 1, 2021
  • Corporate clients · 6 to 10
    Jun 28, 2021 to Oct 1, 2021
  • HNW clients · 167 to 404
    Jun 28, 2021 to Oct 1, 2021
  • Individual clients · 854 to 560
    Jun 28, 2021 to Oct 1, 2021
  • Pension plan clients · 26 to 8
    Jun 28, 2021 to Oct 1, 2021
  • Assets in custody · $165M to $350M
    Jun 28, 2021 to Oct 1, 2021
  • Employees · 7 to 25
    Jun 28, 2021 to Oct 1, 2021
  • Financial planning clients · 0 to 251-500
    Jun 28, 2021 to Oct 1, 2021
  • State-registered IARs · 7 to 16
    Jun 28, 2021 to Oct 1, 2021
  • Other offices · 0 to 2
    Jun 28, 2021 to Oct 1, 2021
  • Discretionary RAUM · $623M to $1.6B
    Jun 28, 2021 to Oct 1, 2021
  • HNW RAUM · $361M to $1.3B
    Jun 28, 2021 to Oct 1, 2021
  • Individual RAUM · $184M to $182M
    Jun 28, 2021 to Oct 1, 2021
  • Non-discretionary RAUM · $4.7M to $22.6M
    Jun 28, 2021 to Oct 1, 2021
  • Pension RAUM · $9.7M to $14.6M
    Jun 28, 2021 to Oct 1, 2021
  • RAUM · $628M to $1.7B
    Jun 28, 2021 to Oct 1, 2021
  • Accounts · 598 to 1,087
    Sep 17, 2020 to Mar 30, 2021
  • Charity clients · 20 to 34
    Sep 17, 2020 to Mar 30, 2021
  • Corporate clients · 5 to 6
    Sep 17, 2020 to Mar 30, 2021
  • HNW clients · 158 to 167
    Sep 17, 2020 to Mar 30, 2021
  • Individual clients · 415 to 854
    Sep 17, 2020 to Mar 30, 2021
  • Pension plan clients · 0 to 26
    Sep 17, 2020 to Mar 30, 2021
  • Discretionary RAUM · $608M to $623M
    Sep 17, 2020 to Mar 30, 2021
  • HNW RAUM · $399M to $361M
    Sep 17, 2020 to Mar 30, 2021
  • Individual RAUM · $131M to $184M
    Sep 17, 2020 to Mar 30, 2021
Signals
34 dated events
  • B•••••• S•••• B••••••• left D••••• H•••••• F•••••• • B••••• I••• for C••• S••••• P••••••• (registered 2022-09-22)
    Sep 22, 2022 · Advisor changed firm · fact
  • M••••• B•••••• left D••••• H•••••• F•••••• • B••••• I••• for C••• S••••• P••••••• (registered 2022-09-15)
    Sep 15, 2022 · Advisor changed firm · fact
  • B•••• M••••• left D••••• H•••••• F•••••• • B••••• I••• for C••• S••••• P••••••• (registered 2022-09-15)
    Sep 15, 2022 · Advisor changed firm · fact
  • D••••• H•••••• F•••••• • B••••• I•••'s advisors moved to C••• S••••• P••••••• (Richmond, VA): 3 of 3 registered, within 7 days
    Sep 15, 2022 · Firm absorbed (people side) · derived
  • J•••• E•••••• H••• left D••••• H•••••• F•••••• • B••••• I••• for C••• S••••• P••••••• (registered 2022-08-29)
    Aug 29, 2022 · Advisor changed firm · fact
  • A•••••••• C•••••••• Y•••• left D••••• H•••••• F•••••• • B••••• I••• for C••• S••••• P••••••• (registered 2022-08-29)
    Aug 29, 2022 · Advisor changed firm · fact
  • M•••••• J••• G•••• left D••••• H•••••• F•••••• • B••••• I••• for C••• S••••• P••••••• (registered 2022-07-20)
    Aug 29, 2022 · Advisor changed firm · fact
  • R••••• P•••••• M••••• left D••••• H•••••• F•••••• • B••••• I••• for C••• S••••• P••••••• (registered 2022-08-29)
    Aug 29, 2022 · Advisor changed firm · fact
  • J•••••• D••• H•••••••• left D••••• H•••••• F•••••• • B••••• I••• for C••• S••••• P••••••• (registered 2022-07-14)
    Aug 29, 2022 · Advisor changed firm · fact
  • W•••••• S••••••• H••••• left D••••• H•••••• F•••••• • B••••• I••• for C••• S••••• P••••••• (registered 2022-08-29)
    Aug 29, 2022 · Advisor changed firm · fact
  • J•••••• B•••••• left D••••• H•••••• F•••••• • B••••• I••• for C••• S••••• P••••••• (registered 2022-07-14)
    Aug 29, 2022 · Advisor changed firm · fact
  • B••••••• J••••• P••••• left D••••• H•••••• F•••••• • B••••• I••• for C••• S••••• P••••••• (registered 2022-08-29)
    Aug 29, 2022 · Advisor changed firm · fact
  • J••• S•••• M•••• left D••••• H•••••• F•••••• • B••••• I••• for C••• S••••• P••••••• (registered 2022-07-27)
    Aug 29, 2022 · Advisor changed firm · fact
  • C•••••• W•••••• B•••• left D••••• H•••••• F•••••• • B••••• I••• for C••• S••••• P••••••• (registered 2022-07-21)
    Aug 22, 2022 · Advisor changed firm · fact
  • D••••• H•••••• F•••••• • B••••• I•••'s advisors moved to C••• S••••• P••••••• (Richmond, VA): 10 of 13 registered, within 7 days
    Aug 22, 2022 · Firm absorbed (people side) · derived
  • Thompson Jesse Ellington (Member Board Of Directors) no longer on Schedule A of D••••• H•••••• F•••••• • B••••• I••• (listed 2021-10-01, absent 2022-03-31)
    Mar 31, 2022 · Control person left · inference
  • J•••• M•••••• C•••••••• left D••••• H•••••• F•••••• • B••••• I••• for C••• S••••• P••••••• (registered 2023-01-12)
    Jan 5, 2022 · Advisor changed firm · fact
  • D••••• H•••••• F•••••• • B••••• I••• reported RAUM $1.7B, up 163% from $628.2M (2021-06-28 to 2021-10-01)
    Oct 1, 2021 · RAUM change · derived
  • S••••••• W•••••• H••••• (Managing Director) no longer on Schedule A of D••••• H•••••• F•••••• • B••••• I••• (listed 2021-06-28, absent 2021-10-01)
    Oct 1, 2021 · Control person left · inference
  • M R••••• G••••• (Member Board Of Directors) no longer on Schedule A of D••••• H•••••• F•••••• • B••••• I••• (listed 2021-06-28, absent 2021-10-01)
    Oct 1, 2021 · Control person left · inference
  • G D•••• B•••• (Member Board Of Directors) no longer on Schedule A of D••••• H•••••• F•••••• • B••••• I••• (listed 2021-06-28, absent 2021-10-01)
    Oct 1, 2021 · Control person left · inference
  • Marie Kathleen Yengst (Chief Compliance Officer) no longer on Schedule A of D••••• H•••••• F•••••• • B••••• I••• (listed 2021-06-28, absent 2021-10-01)
    Oct 1, 2021 · Control person left · inference
  • J••••• W•••••• M•••• (Member Board Of Directors) appeared on Schedule A of D••••• H•••••• F•••••• • B••••• I•••
    Oct 1, 2021 · Control person joined · fact
  • Lynette M••••• B•••••• (Chief Compliance Officer) appeared on Schedule A of D••••• H•••••• F•••••• • B••••• I•••
    Oct 1, 2021 · Control person joined · fact
  • J••••• B••••••• P••••• (Regional Managing Director/Chief Investment Officer) appeared on Schedule A of D••••• H•••••• F•••••• • B••••• I•••
    Oct 1, 2021 · Control person joined · fact
  • D••• J•••••• H•••••••• (Managing Director/Member Board Of Directors) appeared on Schedule A of D••••• H•••••• F•••••• • B••••• I•••
    Oct 1, 2021 · Control person joined · fact
  • Price Barbara Riley (Member Board Of Directors) appeared on Schedule A of D••••• H•••••• F•••••• • B••••• I•••
    Oct 1, 2021 · Control person joined · fact
  • R••••• Edwin F•••••• (Managing Director) no longer on Schedule A of D••••• H•••••• F•••••• • B••••• I••• (listed 2021-03-30, absent 2021-06-28)
    Jun 28, 2021 · Control person left · inference
  • Marie Kathleen Yengst (Chief Compliance Officer) appeared on Schedule A of D••••• H•••••• F•••••• • B••••• I•••
    Jun 28, 2021 · Control person joined · fact
  • Moore Walter D•••• (Managing Director) no longer on Schedule A of D••••• H•••••• F•••••• • B••••• I••• (listed 2019-05-20, absent 2020-03-31)
    Mar 31, 2020 · Control person left · inference
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