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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C•• A•••••••
Legal name C••••••••• F••• A••••••• I•••
Latest filing Apr 29, 2026
First filing on the tape Mar 30, 2012 · 27 filings
SEC status approved since Jul 26, 2018
RAUM
$186M
reported, Item 5.F
Discretionary
60%
of RAUM
Private clients
61%
$113M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$93.2M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$186M as of Apr 29, 2026
Mar 30, 2012$73.4M then
HNW client RAUM$102M as of Apr 29, 2026
Mar 27, 2019$25.2M then
State-registered IARs (5.B.3)2 as of Apr 29, 2026
Mar 27, 20193 then
Employees (5.A)6 as of Apr 29, 2026
Mar 27, 20195 then
Private funds: no history
RAUM -0.2% over the last fiscal year+8.9% a year over threeIARs 2 to 2offices 0 to 4
Practice profile
derived from the filing of Apr 29, 2026; every figure names its basis
- RAUM per advisor
- $93.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 60%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.5%derived
- Compensation
- percentage of assets, hourly, fixed fees, subscriptionreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for investment companies, publications, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$102M55%
- Investment companies$73.0M39%
- Individuals$11.3M6.0%
- Individual clients
- 43reported
- HNW clients
- 50reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 180reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.61 fund_share=0.39 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• C••• S•••• | Henrico, Va | Jun 21, 2001 | 25 y | 0 |
| D••••• S•••••Chartered Financial Analyst | Richmond, Va | Jan 17, 2021 | 15 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
- S••••• J•••• C••• · Chief Investment Officer & Chief Compliance Officercontrolsince 10/2004 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Apr 29, 2026HNW share of RAUM moved from 39.0% to 55.0% between the annual amendments of 2025-04-07 and 2026-04-29peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Employees · 5 to 6Mar 16, 2026 to Apr 29, 2026
- HQ city · RICHMOND to Mar 16, 2026 to Apr 29, 2026
- HQ state · VA to Mar 16, 2026 to Apr 29, 2026
- Other offices · 0 to 4Mar 16, 2026 to Apr 29, 2026
- Accounts · 164 to 180Aug 15, 2025 to Mar 16, 2026
- HNW clients · 35 to 50Aug 15, 2025 to Mar 16, 2026
- Individual clients · 54 to 43Aug 15, 2025 to Mar 16, 2026
- Discretionary RAUM · $98.6M to $112MAug 15, 2025 to Mar 16, 2026
- HNW RAUM · $73.2M to $102MAug 15, 2025 to Mar 16, 2026
- Individual RAUM · $25.4M to $11.3MAug 15, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $88.0M to $73.9MAug 15, 2025 to Mar 16, 2026
- RAUM · $187M to $186MAug 15, 2025 to Mar 16, 2026
- Accounts · 148 to 164Sep 10, 2024 to Apr 7, 2025
- Business name · C••••••••• F••• A••••••• to C•• A•••••••Sep 10, 2024 to Apr 7, 2025
- Charity clients · unset to 0.0Sep 10, 2024 to Apr 7, 2025
- Corporate clients · unset to 0.0Sep 10, 2024 to Apr 7, 2025
- HNW clients · 29 to 35Sep 10, 2024 to Apr 7, 2025
- Individual clients · 48 to 54Sep 10, 2024 to Apr 7, 2025
- Pension plan clients · unset to 0.0Sep 10, 2024 to Apr 7, 2025
- Pooled vehicle clients · unset to 0.0Sep 10, 2024 to Apr 7, 2025
- Employees · 4 to 5Sep 10, 2024 to Apr 7, 2025
- Financial planning clients · unset to Sep 10, 2024 to Apr 7, 2025
- Discretionary RAUM · $90.1M to $98.6MSep 10, 2024 to Apr 7, 2025
- HNW RAUM · $66.4M to $73.2MSep 10, 2024 to Apr 7, 2025
- Individual RAUM · $11.8M to $25.4MSep 10, 2024 to Apr 7, 2025
- Non-discretionary RAUM · $69.0M to $88.0MSep 10, 2024 to Apr 7, 2025
- Pension RAUM · unset to 0.0Sep 10, 2024 to Apr 7, 2025
- Pooled vehicle RAUM · unset to 0.0Sep 10, 2024 to Apr 7, 2025
- RAUM · $159M to $187MSep 10, 2024 to Apr 7, 2025
- Accounts · 135 to 148Dec 14, 2023 to Mar 19, 2024
- Advisory activities · 4 to 5Dec 14, 2023 to Mar 19, 2024
- HNW clients · 32 to 29Dec 14, 2023 to Mar 19, 2024
- Individual clients · 44 to 48Dec 14, 2023 to Mar 19, 2024
- Discretionary RAUM · $69.4M to $90.1MDec 14, 2023 to Mar 19, 2024
- HNW RAUM · $55.0M to $66.4MDec 14, 2023 to Mar 19, 2024
- Individual RAUM · $9.0M to $11.8MDec 14, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $75.0M to $69.0MDec 14, 2023 to Mar 19, 2024
- RAUM · $144M to $159MDec 14, 2023 to Mar 19, 2024
- Accounts · 133 to 135Jan 12, 2023 to Mar 17, 2023
- HNW clients · 26 to 32Jan 12, 2023 to Mar 17, 2023
Signals
2 dated events
- Cole George Scott (President) no longer on Schedule A of C•• A••••••• (listed 2022-08-08, absent 2023-01-12)Jan 12, 2023 · Control person left · inference
- C••••••••• F••• A••••••• filed its initial SEC registration (Form ADV)Jun 26, 2018 · 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
- Business phone
- 800-356-3508reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 804-288-2482reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/C•••••••••-FUND-ADVISORSreportedpublic record, Form ADV, Sep 21, 2026
- Website
- c••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 804-288-2482reportedpublic record, Form ADV, Apr 29, 2026
- Contact form
- c••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- c••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $93.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026