DFX Intelligence
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H••••••••• I••••••••• I•••
Independent wealth manager, reporting $1.1B of regulatory assets across 4 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $1.1B
- Advisors
- 4
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +8.7%
- Private clients
- 92% of RAUM, $980M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 10
Every filed figure, and the identifiersCRD 115472 · SEC 801-62918 · 26 filingsShowHide
CRD 115472SEC 801-62918First filing on the tape Dec 14, 2011, latest Mar 27, 2026SEC status approved since Apr 6, 2004IAPD
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$980M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$268M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$1.1B as of Mar 27, 2026
Mar 19, 2012$168M then
HNW client RAUM$863M as of Mar 27, 2026
Mar 20, 2018$239M then
State-registered IARs (5.B.3)4 as of Mar 27, 2026
Mar 19, 20120 then
Employees (5.A)6 as of Mar 27, 2026
Mar 26, 20132 then
Private funds: no history
RAUM +8.7% over the last fiscal year+9.6% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 27, 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
- $268MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 129derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $865,457derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.8%derived
- Compensation
- percentage of assets, hourly, fixed fees, subscriptionreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publicationsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$863M81%
- Individuals$117M11%
- Corporations and businesses$79.1M7.4%
- Pension and profit-sharing plans$11.4M1.1%
- Individual clients
- 292reported
- HNW clients
- 224reported
- Pension plan clients
- 5reported
- Charitable clients
- 0reported
- Accounts
- 1,237reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| I••••• R•••••• H••••••••• | Centreville, Va | Sep 14, 1994 | 36 y | 0 |
| S•••• O••••••• C•••••Chartered Financial Analyst | Centreville, Va | Jul 26, 2005 | 22 y | 0 |
| S•••• M•••••• R•••••• | Centreville, Va | Jul 16, 2018 | 20 y | 0 |
| R••••• C•••••• R•••••• | Centreville, Va | May 4, 2022 | 10 y | 0 |
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
- H••••••••• C••••••• L•••• · Executive Vice President/Treasurer/Chief Compliance Officercontrolsince 07/1994 · owns 25% to 50%
- H••••••••• I•••••• R•••••• · President/Chief Executive Officercontrolsince 07/1994 · owns 50% to 75%
- N••••••••• G••••••• M•••••• · Directorsince 04/2015 · owns less than 5%
- R••••••• S••••• M•••••• · Senior Vice President And Directorsince 04/2015 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Centreville, Va | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,194 to 1,237Mar 28, 2025 to Mar 27, 2026
- HNW clients · 222 to 224Mar 28, 2025 to Mar 27, 2026
- Individual clients · 285 to 292Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $985M to $1.1BMar 28, 2025 to Mar 27, 2026
- HNW RAUM · $792M to $863MMar 28, 2025 to Mar 27, 2026
- Individual RAUM · $106M to $117MMar 28, 2025 to Mar 27, 2026
- Pension RAUM · $10.3M to $11.4MMar 28, 2025 to Mar 27, 2026
- RAUM · $985M to $1.1BMar 28, 2025 to Mar 27, 2026
- Accounts · 1,159 to 1,194Mar 27, 2024 to Mar 28, 2025
- HNW clients · 218 to 222Mar 27, 2024 to Mar 28, 2025
- Individual clients · 289 to 285Mar 27, 2024 to Mar 28, 2025
- Pension plan clients · 6 to 5Mar 27, 2024 to Mar 28, 2025
- Employees · 5 to 6Mar 27, 2024 to Mar 28, 2025
- Financial planning clients · 101-250 to 101-250Mar 27, 2024 to Mar 28, 2025
- HQ city · unset to Mar 27, 2024 to Mar 28, 2025
- HQ state · unset to Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $883M to $985MMar 27, 2024 to Mar 28, 2025
- HNW RAUM · $712M to $792MMar 27, 2024 to Mar 28, 2025
- Individual RAUM · $95.4M to $106MMar 27, 2024 to Mar 28, 2025
- Pension RAUM · $9.1M to $10.3MMar 27, 2024 to Mar 28, 2025
- RAUM · $883M to $985MMar 27, 2024 to Mar 28, 2025
- Accounts · 1,139 to 1,159Mar 29, 2023 to Mar 26, 2024
- Corporate clients · 3 to 5Mar 29, 2023 to Mar 26, 2024
- HNW clients · 216 to 218Mar 29, 2023 to Mar 26, 2024
- Individual clients · 285 to 289Mar 29, 2023 to Mar 26, 2024
- Pension plan clients · 7 to 6Mar 29, 2023 to Mar 26, 2024
- Discretionary RAUM · $814M to $883MMar 29, 2023 to Mar 26, 2024
- HNW RAUM · $661M to $712MMar 29, 2023 to Mar 26, 2024
- Individual RAUM · $81.6M to $95.4MMar 29, 2023 to Mar 26, 2024
- Pension RAUM · $13.3M to $9.1MMar 29, 2023 to Mar 26, 2024
- RAUM · $814M to $883MMar 29, 2023 to Mar 26, 2024
- Accounts · 1,114 to 1,139Mar 29, 2022 to Mar 29, 2023
- HNW clients · 213 to 216Mar 29, 2022 to Mar 29, 2023
- Individual clients · 276 to 285Mar 29, 2022 to Mar 29, 2023
- Pension plan clients · 8 to 7Mar 29, 2022 to Mar 29, 2023
- State-registered IARs · 3 to 4Mar 29, 2022 to Mar 29, 2023
- Discretionary RAUM · $866M to $814MMar 29, 2022 to Mar 29, 2023
- HNW RAUM · $704M to $661MMar 29, 2022 to Mar 29, 2023
- Individual RAUM · $94.0M to $81.6MMar 29, 2022 to Mar 29, 2023
- Pension RAUM · $13.4M to $13.3MMar 29, 2022 to Mar 29, 2023
Signals
2 dated events
- ••• LockedMar 29, 2022 · RAUM change · derived
- ••• LockedMar 30, 2020 · RAUM change · derived
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 15, 2026
- Business email
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 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
- $268Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026