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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Former SEC-registered adviser

T••••••• I••••••••• M••••••••• I•••

Former SEC-registered adviserRichmond, VirginiaCRD 113426SEC 801-28429IAPD
Latest filing Aug 9, 2019
First filing on the tape Mar 30, 2012 · 11 filings
RAUM
$76.9M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
88%
$67.7M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$76.9M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$76.9M as of Apr 30, 2019
Apr 30, 2012$94.6M then
HNW client RAUM$64.3M as of Apr 30, 2019
Apr 27, 2018$76.3M then
State-registered IARs (5.B.3)0 as of Apr 30, 2019
Apr 29, 20130 then
Employees (5.A)2 as of Apr 30, 2019
Apr 29, 20132 then
Private funds: no history
RAUM -16% over the last fiscal year-8.6% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Aug 9, 2019; every figure names its basis
RAUM per advisor
$76.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
56derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.1MderivedHNW RAUM over HNW clients
Average account
$853,959derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-16%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-13%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Custody
$11.9M, 19 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$64.3M84%
  • Corporations and businesses$9.2M12%
  • Individuals$3.4M4.4%
Individual clients
35reported
HNW clients
21reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
90reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$11.9M for 19 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••• S••••• N••••••Chartered Financial AnalystMidlothian, VaJul 11, 201940 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
      • B•••••••• M••••••• B•••••• · Director, Vp (Passive Owner)control
        since 09/1986 · owns less than 5%
      • N••••••• J•••• S••••• · Director, President, Chief Compliance Officercontrol
        since 09/1986 · owns less than 5%
      • B•••••••• M••••••• B•••••• · Shareholdercontrol
        since 09/1986 · owns 50% to 75% of T••••••• F•••••••• S•••••••• I•••
      Entity owners
      • T••••••• F•••••••• S•••••••• I••• · Parent Corporation
        direct · owns 75% or more
      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
      • Financial planning clients · 0 to unset
        Apr 30, 2019 to Jun 21, 2019
      • State-registered IARs · 0 to 1
        Apr 30, 2019 to Jun 21, 2019
      • Related adviser · true to false
        Apr 30, 2019 to Jun 21, 2019
      • Accounts · 104 to 90
        Apr 27, 2018 to Apr 30, 2019
      • Advisory employees · 2 to 1
        Apr 27, 2018 to Apr 30, 2019
      • HNW clients · 25 to 21
        Apr 27, 2018 to Apr 30, 2019
      • Individual clients · 39 to 35
        Apr 27, 2018 to Apr 30, 2019
      • Assets in custody · $12.2M to $11.9M
        Apr 27, 2018 to Apr 30, 2019
      • Employees · 3 to 2
        Apr 27, 2018 to Apr 30, 2019
      • Discretionary RAUM · $90.3M to $75.4M
        Apr 27, 2018 to Apr 30, 2019
      • HNW RAUM · $76.3M to $64.3M
        Apr 27, 2018 to Apr 30, 2019
      • Individual RAUM · $6.3M to $3.4M
        Apr 27, 2018 to Apr 30, 2019
      • Non-discretionary RAUM · $1.7M to $1.4M
        Apr 27, 2018 to Apr 30, 2019
      • RAUM · $92.0M to $76.9M
        Apr 27, 2018 to Apr 30, 2019
      • Accounts · 101 to 104
        Apr 29, 2017 to Apr 27, 2018
      • Advisory employees · 1 to 2
        Apr 29, 2017 to Apr 27, 2018
      • Corporate clients · unset to 3.0
        Apr 29, 2017 to Apr 27, 2018
      • HNW clients · unset to 25.0
        Apr 29, 2017 to Apr 27, 2018
      • Individual clients · unset to 39.0
        Apr 29, 2017 to Apr 27, 2018
      • Assets in custody · $307,438 to $12.2M
        Apr 29, 2017 to Apr 27, 2018
      • Employees · 1 to 3
        Apr 29, 2017 to Apr 27, 2018
      • Other offices · unset to 0.0
        Apr 29, 2017 to Apr 27, 2018
      • Discretionary RAUM · $95.2M to $90.3M
        Apr 29, 2017 to Apr 27, 2018
      • HNW RAUM · unset to 76325646.0
        Apr 29, 2017 to Apr 27, 2018
      • Individual RAUM · unset to 6313064.0
        Apr 29, 2017 to Apr 27, 2018
      • Non-discretionary RAUM · $1.9M to $1.7M
        Apr 29, 2017 to Apr 27, 2018
      • RAUM · $97.1M to $92.0M
        Apr 29, 2017 to Apr 27, 2018
      • Related adviser · false to true
        Apr 29, 2017 to Apr 27, 2018
      • Accounts · 102 to 101
        Apr 26, 2016 to Apr 29, 2017
      • Advisory employees · 2 to 1
        Apr 26, 2016 to Apr 29, 2017
      • Assets in custody · $278,828 to $307,438
        Apr 26, 2016 to Apr 29, 2017
      • Employees · 2 to 1
        Apr 26, 2016 to Apr 29, 2017
      • Discretionary RAUM · $98.7M to $95.2M
        Apr 26, 2016 to Apr 29, 2017
      • Non-discretionary RAUM · $2.0M to $1.9M
        Apr 26, 2016 to Apr 29, 2017
      • RAUM · $101M to $97.1M
        Apr 26, 2016 to Apr 29, 2017
      • Accounts · 108 to 102
        Apr 29, 2015 to Apr 26, 2016
      • Assets in custody · $11.0M to $278,828
        Apr 29, 2015 to Apr 26, 2016
      • Discretionary RAUM · $99.9M to $98.7M
        Apr 29, 2015 to Apr 26, 2016
      • Non-discretionary RAUM · $2.3M to $2.0M
        Apr 29, 2015 to Apr 26, 2016
      • RAUM · $102M to $101M
        Apr 29, 2015 to Apr 26, 2016
      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.
      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
      $76.9Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026