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.
SEC-registered adviser
S••• H••••• R••••••••• P•••••••
Legal name A•••• M••••••••• S•••••••• I•••
Latest filing Jul 15, 2026
First filing on the tape Apr 2, 2012 · 6 filings
SEC status approved since Jun 26, 2026
RAUM
$109M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$109M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$36.2M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$109M as of Jul 15, 2026
Apr 2, 2012$37.0M then
HNW client RAUM$44.0M as of Jul 15, 2026
May 28, 2026$44.0M then
State-registered IARs (5.B.3)3 as of Jul 15, 2026
Apr 2, 20120 then
Employees (5.A)4 as of Jul 15, 2026
May 28, 20264 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 15, 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
- $36.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 99derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $165,152derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $5.4M, 106 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$64.7M60%
- High-net-worth individuals$44.0M40%
- Individual clients
- 255reported
- HNW clients
- 41reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 658reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.4M for 106 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| H•••• C• G•••••• | Abingdon, Md | Jan 12, 2009 | 26 y | 1 |
| E••• M•••••• B••••• | Abingdon, Md | Aug 15, 2017 | 19 y | 1 |
| G•••••• K••• B•••••Certified Financial Planner | Abingdon, Md | Jan 26, 2022 | 33 y | 0 |
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 headcount0 left over 36 months
Left, latest
- M•••••• P••• H••••• to H••••• F•••••••• S•••••••• L••Jul 11, 2007 · Other
Joined, latest
- E••• M•••••• B••••• from W•••••••• A•••••••• L••Aug 15, 2017 · Other
- H•••• C• G•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 12, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• G••••••• K••• · Presidentcontrolsince 01/1998 · owns 50% to 75%
- C••••• W••••••• T••••• · Chief Compliance Officercontrolsince 06/2007 · owns 50% to 75%
Related persons
Schedule D 7.A
- S•••••••• F•••••••• F••••••••• I•••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Abingdon, Md | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 450 to 658Aug 16, 2012 to May 28, 2026
- Advisory employees · unset to 3.0Aug 16, 2012 to May 28, 2026
- Advisory activities · 3 to 4Aug 16, 2012 to May 28, 2026
- Business name · A•••• M••••••••• S•••••••• I••• to S••• H••••• R••••••••• P•••••••Aug 16, 2012 to May 28, 2026
- HNW clients · unset to 41.0Aug 16, 2012 to May 28, 2026
- Individual clients · unset to 255.0Aug 16, 2012 to May 28, 2026
- Assets in custody · $4.9M to $5.4MAug 16, 2012 to May 28, 2026
- Employees · unset to 4.0Aug 16, 2012 to May 28, 2026
- Financial planning clients · 11-25 to 11-25Aug 16, 2012 to May 28, 2026
- HQ city · unset to Aug 16, 2012 to May 28, 2026
- HQ state · unset to Aug 16, 2012 to May 28, 2026
- State-registered IARs · 0 to 3Aug 16, 2012 to May 28, 2026
- Other offices · unset to 0.0Aug 16, 2012 to May 28, 2026
- Discretionary RAUM · $37.0M to $109MAug 16, 2012 to May 28, 2026
- HNW RAUM · unset to 43985489.0Aug 16, 2012 to May 28, 2026
- Individual RAUM · unset to 64684841.0Aug 16, 2012 to May 28, 2026
- RAUM · $37.0M to $109MAug 16, 2012 to May 28, 2026
- Assets in custody · unset to 4883393.0Apr 2, 2012 to Jun 21, 2012
- Custody of client assets · false to trueApr 2, 2012 to Jun 21, 2012
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.
How to reach
public business contact points only, each with its source
- Business phone
- 410-538-6800reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 410-538-6805reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 410-538-6800reportedpublic record, Form ADV, Jul 15, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $36.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026