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
P••• F•••••••• A•••••••• I•••
Latest filing Feb 17, 2012
First filing on the tape Dec 20, 2011 · 2 filings
RAUM
$135M
reported, Item 5.F
Discretionary
78%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$135M as of Feb 17, 2012
Dec 20, 2011$70.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 17, 2012
Dec 20, 20110 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 17, 2012; 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $221,311derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 78%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 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 fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 610reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- 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
- J•••••• H•••• W•••••• to P•••••• W••••• M••••••••• L••Jan 25, 2013 · Other
- D••••• J••••• B••••• to P•••••• W••••• M••••••••• L••Jan 25, 2013 · Other
Joined, latest
- J•••••• H•••• W•••••• from C•••••• F•••••••• A•••••••• L••Jan 10, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• D•••••• J••••• · President & Shareholdercontrolsince 01/2004 · owns 5% to 10%
- O••••••••• S•••• R•••• · Shareholdercontrolsince 12/1998 · owns 5% to 10%
- W••••••• K••••• L•• · Director And Shareholdercontrolsince 12/1998 · owns 5% to 10%
- D•••• M•••••• D•••• · Shareholdersince 03/2001 · owns 5% to 10%
- G•••••• M••••••• A• · Shareholdersince 01/2006 · owns 5% to 10%
- H•••• H•••••• W••••• · Shareholdersince 12/1998 · owns 5% to 10%
- H••••••••• K••••• D••• · Shareholdersince 04/2001 · owns 5% to 10%
- J••••• B•••••••• R•••••• · Shareholdersince 01/2002 · owns 5% to 10%
- K•••••••• M••••••• T••••• · Shareholdersince 01/2003 · owns 5% to 10%
- K••••••••• R••••••• E••• · Chief Compliance Officer, Director Of Investment Strategysince 10/2010 · owns less than 5%
- M•••••• D•••••• B••••• · Shareholdersince 12/1998 · owns 5% to 10%
- M•••••• V•••••••• B• · Shareholdersince 01/2002 · owns 5% to 10%
- Z•••••• J•••• E•••• · Shareholdersince 01/2002 · owns 5% to 10%
Related persons
Schedule D 7.A
- P••• L••insurancen
Offices
Schedule D 1.F, the 25 largest
- Fairfax, VA
- Harrisonburg, VA
- Warrenton, VA
What changed
consecutive filings, newest first
- Accounts · 559 to 610Dec 20, 2011 to Feb 17, 2012
- Advisory activities · 5 to 7Dec 20, 2011 to Feb 17, 2012
- Insurance-licensed employees · unset to 0.0Dec 20, 2011 to Feb 17, 2012
- Financial planning clients · 0 to 11-25Dec 20, 2011 to Feb 17, 2012
- Discretionary RAUM · $70.9M to $105MDec 20, 2011 to Feb 17, 2012
- Non-discretionary RAUM · $0 to $30.0MDec 20, 2011 to Feb 17, 2012
- RAUM · $70.9M to $135MDec 20, 2011 to Feb 17, 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.
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