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
R•••••• A•••• M••••••••• L••
Latest filing Mar 26, 2024
First filing on the tape Mar 28, 2012 · 20 filings
RAUM
$95.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
12%
$11.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$95.4M as of Mar 26, 2024
Mar 28, 2012$309M then
HNW client RAUM$9.6M as of Mar 26, 2024
Mar 22, 2018$17.5M then
State-registered IARs (5.B.3)0 as of Mar 26, 2024
Mar 25, 20130 then
Employees (5.A)3 as of Mar 26, 2024
Mar 25, 20135 then
Private funds: no history
RAUM +12% over the last fiscal year-8.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2024; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $384,175derivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -11%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for investment companiesreportedItem 5.G
- Custody
- $3.1M, 2 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$84.2M88%
- High-net-worth individuals$9.6M10%
- Individuals$1.6M1.6%
- Corporations and businesses$7,8570.0%
- Individual clients
- 34reported
- HNW clients
- 25reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 61reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.1M for 2 clientsreported
- Compensation
- % of AUMreported
- 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
- C•••• L• L•••• to H••••••• I•••••••• M••••••••• C•••Dec 6, 2024 · Other
- E••••• A•••••••• C••••••• to S••••••• C•••••• M••••••••• L••Oct 22, 2015 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• C••••• L• · Chief Operating Officer/Chief Compliance Officer/Membercontrolsince 03/2007 · owns 10% to 25%
- R••••••• J••••• C••••••••• · President/Portfolio Manager/Managing Membercontrolsince 12/1998 · owns 75% or more
- C•••••••• E•••••• A•••••••• · Membersince 01/2013 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chevy Chase, Md | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 67 to 61Mar 29, 2023 to Mar 26, 2024
- HNW clients · 27 to 25Mar 29, 2023 to Mar 26, 2024
- Individual clients · 39 to 34Mar 29, 2023 to Mar 26, 2024
- Assets in custody · $2.8M to $3.1MMar 29, 2023 to Mar 26, 2024
- Discretionary RAUM · $85.2M to $95.4MMar 29, 2023 to Mar 26, 2024
- HNW RAUM · $6.9M to $9.6MMar 29, 2023 to Mar 26, 2024
- Individual RAUM · $1.8M to $1.6MMar 29, 2023 to Mar 26, 2024
- RAUM · $85.2M to $95.4MMar 29, 2023 to Mar 26, 2024
- Accounts · 78 to 67Mar 28, 2022 to Mar 29, 2023
- HNW clients · 36 to 27Mar 28, 2022 to Mar 29, 2023
- Individual clients · 40 to 39Mar 28, 2022 to Mar 29, 2023
- Assets in custody · $3.4M to $2.8MMar 28, 2022 to Mar 29, 2023
- Other offices · 0 to 1Mar 28, 2022 to Mar 29, 2023
- Discretionary RAUM · $117M to $85.2MMar 28, 2022 to Mar 29, 2023
- HNW RAUM · $10.3M to $6.9MMar 28, 2022 to Mar 29, 2023
- Individual RAUM · $1.6M to $1.8MMar 28, 2022 to Mar 29, 2023
- RAUM · $117M to $85.2MMar 28, 2022 to Mar 29, 2023
- Accounts · 93 to 78Mar 26, 2021 to Mar 28, 2022
- HNW clients · 37 to 36Mar 26, 2021 to Mar 28, 2022
- Individual clients · 54 to 40Mar 26, 2021 to Mar 28, 2022
- Assets in custody · $3.2M to $3.4MMar 26, 2021 to Mar 28, 2022
- Discretionary RAUM · $125M to $117MMar 26, 2021 to Mar 28, 2022
- HNW RAUM · $8.3M to $10.3MMar 26, 2021 to Mar 28, 2022
- Individual RAUM · $7.4M to $1.6MMar 26, 2021 to Mar 28, 2022
- RAUM · $125M to $117MMar 26, 2021 to Mar 28, 2022
- Accounts · 107 to 93Jun 29, 2020 to Mar 26, 2021
- HNW clients · 35 to 37Jun 29, 2020 to Mar 26, 2021
- Individual clients · 70 to 54Jun 29, 2020 to Mar 26, 2021
- Assets in custody · $2.8M to $3.2MJun 29, 2020 to Mar 26, 2021
- HQ city · CHEVY CHASE to unsetJun 29, 2020 to Mar 26, 2021
- HQ state · MD to unsetJun 29, 2020 to Mar 26, 2021
- Discretionary RAUM · $109M to $125MJun 29, 2020 to Mar 26, 2021
- HNW RAUM · $10.7M to $8.3MJun 29, 2020 to Mar 26, 2021
- Individual RAUM · $10.6M to $7.4MJun 29, 2020 to Mar 26, 2021
- RAUM · $109M to $125MJun 29, 2020 to Mar 26, 2021
- Wrap assets (manager) · 177898.0 to unsetJun 29, 2020 to Mar 26, 2021
- Wrap assets (sponsor) · 0.0 to unsetJun 29, 2020 to Mar 26, 2021
- Accounts · 122 to 107Mar 21, 2019 to Mar 27, 2020
- Individual clients · 85 to 70Mar 21, 2019 to Mar 27, 2020
- Assets in custody · $2.3M to $2.8MMar 21, 2019 to Mar 27, 2020
Signals
1 dated events
- C•••• L• L•••• left R•••••• A•••• M••••••••• L•• for H••••••• I•••••••• M••••••••• C••• (registered 2025-01-21)Dec 6, 2024 · Advisor changed firm · fact
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