DFX Intelligence
RIA Intelligence
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SEC-registered adviser
P•••••••• A••••••• G••••• I•••
Latest filing Mar 27, 2026
First filing on the tape Mar 29, 2012 · 3 filings
SEC status approved since Apr 24, 2026
RAUM
$116M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
99%
$115M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$57.9M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$116M as of Mar 27, 2026
Mar 29, 2012$36.1M then
HNW client RAUM: $98.2M
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 29, 20120 then
Employees (5.A): 2
Private funds: no history
RAUM n/a over the last fiscal year
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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $57.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $643,522derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$98.2M85%
- Individuals$16.3M14%
- Charitable organizations$1.3M1.1%
- Individual clients
- 37reported
- HNW clients
- 34reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 180reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| D•••• A•••• S••••Certified Financial Planner | Alexandria, Va | Feb 19, 1999 | 34 y | 0 |
| D••••• T••••• S••••Certified Financial Planner | Alexandria, Va | Feb 19, 1999 | 33 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••••• D•••••• T••••• · Vice-Presidentcontrolsince 11/1998 · owns 50% to 75%
- S••••• D••••• A•••• · President/Chief Compliance Officercontrolsince 11/1998 · owns 50% to 75%
Related persons
Schedule D 7.A
- D•••• S••••n
- P•••••••• T•• G•••• I••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Alexandria, Va · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 84 to 180May 11, 2012 to Mar 27, 2026
- Advisory employees · unset to 2.0May 11, 2012 to Mar 27, 2026
- Corporate clients · unset to 0.0May 11, 2012 to Mar 27, 2026
- HNW clients · unset to 34.0May 11, 2012 to Mar 27, 2026
- Individual clients · unset to 37.0May 11, 2012 to Mar 27, 2026
- Pension plan clients · unset to 0.0May 11, 2012 to Mar 27, 2026
- Pooled vehicle clients · unset to 0.0May 11, 2012 to Mar 27, 2026
- Employees · unset to 2.0May 11, 2012 to Mar 27, 2026
- Financial planning clients · 1-10 to 1-10May 11, 2012 to Mar 27, 2026
- State-registered IARs · 0 to 2May 11, 2012 to Mar 27, 2026
- Other offices · unset to 0.0May 11, 2012 to Mar 27, 2026
- Discretionary RAUM · $31.9M to $114MMay 11, 2012 to Mar 27, 2026
- HNW RAUM · unset to 98221095.0May 11, 2012 to Mar 27, 2026
- Individual RAUM · unset to 16310900.0May 11, 2012 to Mar 27, 2026
- Non-discretionary RAUM · $4.1M to $1.8MMay 11, 2012 to Mar 27, 2026
- RAUM · $36.1M to $116MMay 11, 2012 to Mar 27, 2026
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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 703-461-9193reportedpublic record, Form ADV, Mar 27, 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
- $57.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026