DFX Intelligence
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SEC-registered adviser
C••• F•••••••• D••••••• I•••
Latest filing Mar 13, 2026
First filing on the tape Mar 22, 2024 · 5 filings
SEC status approved since Apr 23, 2024
RAUM
$172M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$172M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$172M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$172M as of Mar 13, 2026
Mar 3, 2025$142M then
HNW client RAUM$110M as of Mar 13, 2026
Mar 3, 2025$92.6M then
State-registered IARs (5.B.3)1 as of Mar 13, 2026
Mar 3, 20251 then
Employees (5.A)1 as of Mar 13, 2026
Mar 3, 20251 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 13, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $172MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 195derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $304,057derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.7%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $172M, 182 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)
- 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
- High-net-worth individuals$110M64%
- Individuals$62.3M36%
- Individual clients
- 148reported
- HNW clients
- 47reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 567reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $172M for 182 clientsreported
- Compensation
- fixedreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• S•••••• C•••Certified Financial Planner | Virginia Beach, Va | Sep 5, 2001 | 25 y | 1 |
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• D•••••• S•••••• · President And Chief Compliance Officercontrolsince 06/2001 · owns 75% or more
Related persons
Schedule D 7.A
- D••••• S• C•••• P•••••••insurancen
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 13, 2026discretionary share of RAUM of 0% against a peer median of 100% (5679 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,679) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 524 to 567Mar 3, 2025 to Mar 13, 2026
- HNW clients · 56 to 47Mar 3, 2025 to Mar 13, 2026
- Individual clients · 132 to 148Mar 3, 2025 to Mar 13, 2026
- Assets in custody · $142M to $172MMar 3, 2025 to Mar 13, 2026
- HNW RAUM · $92.6M to $110MMar 3, 2025 to Mar 13, 2026
- Individual RAUM · $49.4M to $62.3MMar 3, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $142M to $172MMar 3, 2025 to Mar 13, 2026
- RAUM · $142M to $172MMar 3, 2025 to Mar 13, 2026
- Accounts · 469 to 524Nov 27, 2024 to Mar 3, 2025
- HNW clients · 46 to 56Nov 27, 2024 to Mar 3, 2025
- Individual clients · 121 to 132Nov 27, 2024 to Mar 3, 2025
- Assets in custody · $115M to $142MNov 27, 2024 to Mar 3, 2025
- Financial planning clients · 1-10 to 0Nov 27, 2024 to Mar 3, 2025
- HNW RAUM · $81.8M to $92.6MNov 27, 2024 to Mar 3, 2025
- Individual RAUM · $33.2M to $49.4MNov 27, 2024 to Mar 3, 2025
- Non-discretionary RAUM · $115M to $142MNov 27, 2024 to Mar 3, 2025
- RAUM · $115M to $142MNov 27, 2024 to Mar 3, 2025
Signals
1 dated events
- ••• LockedMar 22, 2024 · First SEC registration · fact
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
- Principal office phone
- 757-498-4810reportedpublic record, Form ADV, Mar 13, 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
- $172Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026