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V•• P•••••••• I•••

Independent wealth managerSEC-registered· Roanoke, Virginiawebsite

Independent wealth manager, based in Roanoke, Virginia, reporting $126M of regulatory assets across 2 registered advisors.

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

Regulatory AUM
$126M
Form ADV
Advisors
2
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
Not established
Private clients
99% of RAUM, $125M
Form ADV
Advisors (2)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 111946 · SEC 801-134197 · 4 filingsShow
CRD 111946SEC 801-134197First filing on the tape Nov 25, 2025, latest Mar 25, 2026SEC status approved since Sep 9, 2025IAPD
RAUM
$126M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$125M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$63.1M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$126M as of Mar 25, 2026
Nov 25, 2025$105M then
HNW client RAUM$88.7M as of Mar 25, 2026
Nov 25, 2025$73.3M then
State-registered IARs (5.B.3)2 as of Mar 25, 2026
Nov 25, 20250 then
Employees (5.A)4 as of Mar 25, 2026
Nov 25, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 25, 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
  • 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
RAUM per advisor
$63.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
103derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.9MderivedHNW RAUM over HNW clients
Average account
$295,470derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$56.2M, 65 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)
  • 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$88.7M70%
  • Individuals$36.6M29%
  • Charitable organizations$865,7670.7%
Individual clients
175reported
HNW clients
31reported
Pension plan clients
n/areported
Charitable clients
3reported
Accounts
427reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$56.2M for 65 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
T•••• L•• V•••••••••Chartered Financial ConsultantRoanoke, VaFeb 7, 199142 y0
R••• V•••••••••Chartered Financial ConsultantRoanoke, VaDec 1, 202518 y0
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      No Schedule A on the extract for this adviser.
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Roanoke, Va · principal210
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 388 to 427
        Dec 15, 2025 to Feb 18, 2026
      • Charity clients · 2 to 3
        Dec 15, 2025 to Feb 18, 2026
      • HNW clients · 38 to 31
        Dec 15, 2025 to Feb 18, 2026
      • Individual clients · 195 to 175
        Dec 15, 2025 to Feb 18, 2026
      • Assets in custody · $3.9M to $56.2M
        Dec 15, 2025 to Feb 18, 2026
      • Other offices · 0 to 1
        Dec 15, 2025 to Feb 18, 2026
      • Discretionary RAUM · $105M to $126M
        Dec 15, 2025 to Feb 18, 2026
      • HNW RAUM · $73.3M to $88.7M
        Dec 15, 2025 to Feb 18, 2026
      • Individual RAUM · $31.3M to $36.6M
        Dec 15, 2025 to Feb 18, 2026
      • RAUM · $105M to $126M
        Dec 15, 2025 to Feb 18, 2026
      • Advisory employees · 2 to 3
        Nov 25, 2025 to Dec 15, 2025
      • Advisory activities · 3 to 2
        Nov 25, 2025 to Dec 15, 2025
      • Employees · 2 to 4
        Nov 25, 2025 to Dec 15, 2025
      • Financial planning clients · 11-25 to 0
        Nov 25, 2025 to Dec 15, 2025
      • State-registered IARs · 0 to 2
        Nov 25, 2025 to Dec 15, 2025
      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 email
      ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
      Business phone
      ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 25, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 25, 2026
      Contact form
      ••• Lockedreportedpublished 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
      $63.1Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026