DFX Intelligence
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M••••••••• C•••••• M••••••••• I•••
Wealth manager with institutional or fund business, based in Richmond, Virginia, reporting $477M of regulatory assets across 2 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
- $477M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +6.4%
- Private clients
- 46% of RAUM, $218M
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
- institutional share of RAUM 0.531694215381054Peer median 0.00318812601465883
- Contact points 4
Every filed figure, and the identifiersCRD 116524 · SEC 801-64887 · 20 filingsShowHide
CRD 116524SEC 801-64887First filing on the tape Mar 7, 2012, latest Feb 3, 2026SEC status approved since Nov 18, 2005IAPD
RAUM
$477M
reported, Item 5.F
Discretionary
57%
of RAUM
Private clients
46%
$218M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$239M
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
20 filings and snapshots on the tape
RAUM$477M as of Feb 3, 2026
Mar 7, 2012$120M then
HNW client RAUM$198M as of Feb 3, 2026
Mar 28, 2018$56.7M then
State-registered IARs (5.B.3)2 as of Feb 3, 2026
Mar 7, 20120 then
Employees (5.A)2 as of Feb 3, 2026
Mar 15, 20133 then
Private funds: no history
RAUM +6.4% over the last fiscal year+8.5% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $239MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 57%derivedof RAUM
- Institutional
- 53%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
- +6.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- $222MreportedItem 5.I
- Custody
- $85,579, 2 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)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$204M43%
- High-net-worth individuals$198M42%
- Charitable organizations$50.0M10%
- Individuals$20.1M4.2%
- Corporations and businesses$4.8M1.0%
- Individual clients
- 70reported
- HNW clients
- 76reported
- Pension plan clients
- 20reported
- Charitable clients
- 2reported
- Accounts
- 323reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $85,579 for 2 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.46 fund_share=0.0 institutional_share=0.53 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••• F•••••••• D•••• | Midlothian, Va | Jun 21, 1996 | 34 y | 0 |
| R••••• B••••••• W•••• | Richmond, Va | Jan 31, 2006 | 21 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
- D••••• J•••• F•••••••• · President And Chief Compliance Officercontrolsince 08/1993 · owns 50% to 75%
- W••••• R•••••• B••••••• · Principalcontrolsince 02/2006 · owns 50% to 75%
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
- high institutional concentrationStatic outlier · filing Feb 3, 2026institutional share of RAUM of 53% against a peer median of 0% (5679 comparable advisers, 99.0th percentile, 17.8 robust deviations)peers: independent wealth managers, $100M to $500M (5,679) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 302 to 323Mar 13, 2025 to Feb 3, 2026
- Charity clients · 1 to 2Mar 13, 2025 to Feb 3, 2026
- HNW clients · 75 to 76Mar 13, 2025 to Feb 3, 2026
- Individual clients · 79 to 70Mar 13, 2025 to Feb 3, 2026
- Assets in custody · $66,007 to $85,579Mar 13, 2025 to Feb 3, 2026
- Discretionary RAUM · $255M to $273MMar 13, 2025 to Feb 3, 2026
- HNW RAUM · $187M to $198MMar 13, 2025 to Feb 3, 2026
- Individual RAUM · $18.6M to $20.1MMar 13, 2025 to Feb 3, 2026
- Non-discretionary RAUM · $193M to $204MMar 13, 2025 to Feb 3, 2026
- Pension RAUM · $193M to $204MMar 13, 2025 to Feb 3, 2026
- RAUM · $448M to $477MMar 13, 2025 to Feb 3, 2026
- Financial planning clients · 0 to 0Feb 7, 2025 to Mar 13, 2025
- Accounts · 166 to 302Mar 8, 2024 to Feb 7, 2025
- Charity clients · unset to 1.0Mar 8, 2024 to Feb 7, 2025
- Corporate clients · unset to 2.0Mar 8, 2024 to Feb 7, 2025
- HNW clients · 79 to 75Mar 8, 2024 to Feb 7, 2025
- Individual clients · 61 to 79Mar 8, 2024 to Feb 7, 2025
- Pension plan clients · 22 to 20Mar 8, 2024 to Feb 7, 2025
- Assets in custody · $58,795 to $66,007Mar 8, 2024 to Feb 7, 2025
- Employees · 3 to 2Mar 8, 2024 to Feb 7, 2025
- Financial planning clients · unset to 0Mar 8, 2024 to Feb 7, 2025
- State-registered IARs · 0 to 2Mar 8, 2024 to Feb 7, 2025
- Discretionary RAUM · $231M to $255MMar 8, 2024 to Feb 7, 2025
- HNW RAUM · $173M to $187MMar 8, 2024 to Feb 7, 2025
- Individual RAUM · $13.9M to $18.6MMar 8, 2024 to Feb 7, 2025
- Non-discretionary RAUM · $185M to $193MMar 8, 2024 to Feb 7, 2025
- Pension RAUM · $185M to $193MMar 8, 2024 to Feb 7, 2025
- RAUM · $416M to $448MMar 8, 2024 to Feb 7, 2025
- Accounts · 167 to 166Mar 14, 2023 to Mar 6, 2024
- HNW clients · 58 to 79Mar 14, 2023 to Mar 6, 2024
- Individual clients · 83 to 61Mar 14, 2023 to Mar 6, 2024
- Pension plan clients · 23 to 22Mar 14, 2023 to Mar 6, 2024
- Assets in custody · $63,593 to $58,795Mar 14, 2023 to Mar 6, 2024
- Discretionary RAUM · $219M to $231MMar 14, 2023 to Mar 6, 2024
- HNW RAUM · $167M to $173MMar 14, 2023 to Mar 6, 2024
- Individual RAUM · $15.3M to $13.9MMar 14, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $155M to $185MMar 14, 2023 to Mar 6, 2024
- Pension RAUM · $155M to $185MMar 14, 2023 to Mar 6, 2024
- RAUM · $374M to $416MMar 14, 2023 to Mar 6, 2024
- Accounts · 172 to 167Mar 16, 2022 to Mar 14, 2023
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- M••••••••• C•••••• M••••••••• I••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Feb 3, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Feb 3, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $239Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026