DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

J••• A•••••••• L•••

Independent wealth managerSEC-registered· Virginia Beach, Virginiawebsite

Independent wealth manager, based in Virginia Beach, Virginia, reporting $154M of regulatory assets across 2 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$154M
Form ADV
Advisors
2
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
Not established
Private clients
100% of RAUM, $154M
Form ADV
Advisors (2)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 116460 · SEC 801-134015 · 3 filingsShow
CRD 116460SEC 801-134015First filing on the tape Jul 25, 2025, latest Mar 12, 2026SEC status approved since Jul 25, 2025IAPD
RAUM
$154M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$154M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$77.2M
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$154M as of Mar 12, 2026
Jul 25, 2025$128M then
HNW client RAUM$96.8M as of Mar 12, 2026
Jul 25, 2025$72.3M then
State-registered IARs (5.B.3)2 as of Mar 12, 2026
Jul 25, 20252 then
Employees (5.A)2 as of Mar 12, 2026
Jul 25, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 12, 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$77.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
109derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$262,924derivedRAUM 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
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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • 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$96.8M63%
  • Individuals$57.5M37%
Individual clients
172reported
HNW clients
46reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
587reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
D••••• S•• R••••••Virginia Beach, VaFeb 27, 199541 y0
K•••• J••• K•••••Certified Financial PlannerVirginia Beach, VaMar 28, 201711 y0
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • K•••••• K••••• J••• · Vice Presidentcontrol
        since 07/2019 · 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
      OfficeAdvisorsJoinedLeftTeams outForming
      Virginia Beach, Va · principal200
      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 12, 2026
        discretionary 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
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 552 to 587
        Nov 3, 2025 to Mar 12, 2026
      • HNW clients · 35 to 46
        Nov 3, 2025 to Mar 12, 2026
      • Individual clients · 152 to 172
        Nov 3, 2025 to Mar 12, 2026
      • HNW RAUM · $72.3M to $96.8M
        Nov 3, 2025 to Mar 12, 2026
      • Individual RAUM · $55.6M to $57.5M
        Nov 3, 2025 to Mar 12, 2026
      • Non-discretionary RAUM · $128M to $154M
        Nov 3, 2025 to Mar 12, 2026
      • RAUM · $128M to $154M
        Nov 3, 2025 to Mar 12, 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
      Business email
      ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
      Business phone
      ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
      Business phone
      ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 12, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 12, 2026
      Contact form
      ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
      Team page
      ••• Lockedreportedpublished 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
      $77.2Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026