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.

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Former SEC-registered adviser

W••••••••• F•••••••• S•••••••• L••

Former SEC-registered adviserNorfolk, VirginiaCRD 116749SEC 801-63269IAPD
Latest filing Feb 27, 2018
First filing on the tape Feb 24, 2012 · 13 filings
RAUM
$537M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$526M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$537M as of Feb 27, 2018
Feb 24, 2012$225M then
HNW client RAUM: $508M
State-registered IARs (5.B.3)8 as of Feb 27, 2018
Feb 24, 20120 then
Employees (5.A)8 as of Feb 27, 2018
Feb 26, 20136 then
Private funds: no history
RAUM +15% over the last fiscal year+8.8% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Feb 27, 2018; every figure names its basis
RAUM per advisor
$67.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
21derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.7MderivedHNW RAUM over HNW clients
Average account
$510,124derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
8.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
$13.3M, 23 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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$508M95%
  • Individuals$18.0M3.4%
  • Charitable organizations$8.7M1.6%
  • Pension and profit-sharing plans$2.4M0.4%
Individual clients
30reported
HNW clients
139reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,052reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$13.3M for 23 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C••••••••• J••••••• S••••• · Managercontrol
      since 01/2001 · owns 25% to 50%
    • D••••••• P•••• G••••• · Ownercontrol
      since 01/2001 · owns 10% to 25%
    • E••••••• M•••••• A••• · Secretary, Treasurercontrol
      since 01/2001 · owns 10% to 25%
    • F••••••• C•••••• A•• · Vice President, Chief Compliance Officercontrol
      since 01/2001 · owns 10% to 25%
    • W•••• A••••• A• · Vice Presidentcontrol
      since 01/2001 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    • W•••• E•••••• • C••••••••• P•••
      insurancen
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,036 to 1,052
      Sep 6, 2017 to Feb 27, 2018
    • HNW clients · unset to 139.0
      Sep 6, 2017 to Feb 27, 2018
    • Individual clients · unset to 30.0
      Sep 6, 2017 to Feb 27, 2018
    • Assets in custody · $11.3M to $13.3M
      Sep 6, 2017 to Feb 27, 2018
    • Financial planning clients · 1-10 to 0
      Sep 6, 2017 to Feb 27, 2018
    • Other offices · unset to 0.0
      Sep 6, 2017 to Feb 27, 2018
    • Discretionary RAUM · $467M to $537M
      Sep 6, 2017 to Feb 27, 2018
    • HNW RAUM · unset to 507544757.0
      Sep 6, 2017 to Feb 27, 2018
    • Individual RAUM · unset to 18019037.0
      Sep 6, 2017 to Feb 27, 2018
    • Pension RAUM · unset to 2353143.0
      Sep 6, 2017 to Feb 27, 2018
    • RAUM · $467M to $537M
      Sep 6, 2017 to Feb 27, 2018
    • Accounts · 1,012 to 1,036
      Mar 23, 2016 to Mar 21, 2017
    • Assets in custody · $9.5M to $11.3M
      Mar 23, 2016 to Mar 21, 2017
    • Employees · 7 to 8
      Mar 23, 2016 to Mar 21, 2017
    • State-registered IARs · 7 to 8
      Mar 23, 2016 to Mar 21, 2017
    • Discretionary RAUM · $408M to $467M
      Mar 23, 2016 to Mar 21, 2017
    • RAUM · $408M to $467M
      Mar 23, 2016 to Mar 21, 2017
    • Accounts · 951 to 1,012
      Oct 28, 2015 to Mar 23, 2016
    • Advisory employees · 4 to 3
      Oct 28, 2015 to Mar 23, 2016
    • Assets in custody · $7.9M to $9.5M
      Oct 28, 2015 to Mar 23, 2016
    • Employees · 6 to 7
      Oct 28, 2015 to Mar 23, 2016
    • State-registered IARs · 4 to 7
      Oct 28, 2015 to Mar 23, 2016
    • Discretionary RAUM · $417M to $408M
      Oct 28, 2015 to Mar 23, 2016
    • RAUM · $417M to $408M
      Oct 28, 2015 to Mar 23, 2016
    • Accounts · 919 to 951
      Apr 28, 2014 to Mar 24, 2015
    • Assets in custody · $4.9M to $7.9M
      Apr 28, 2014 to Mar 24, 2015
    • Discretionary RAUM · $392M to $417M
      Apr 28, 2014 to Mar 24, 2015
    • RAUM · $392M to $417M
      Apr 28, 2014 to Mar 24, 2015
    • Accounts · 881 to 919
      Feb 26, 2013 to Mar 3, 2014
    • Assets in custody · $7.6M to $4.9M
      Feb 26, 2013 to Mar 3, 2014
    • Discretionary RAUM · $302M to $392M
      Feb 26, 2013 to Mar 3, 2014
    • RAUM · $302M to $392M
      Feb 26, 2013 to Mar 3, 2014
    • Accounts · 882 to 881
      Apr 5, 2012 to Feb 26, 2013
    • Advisory employees · unset to 4.0
      Apr 5, 2012 to Feb 26, 2013
    • Assets in custody · $8.4M to $7.6M
      Apr 5, 2012 to Feb 26, 2013
    • Employees · unset to 6.0
      Apr 5, 2012 to Feb 26, 2013
    • State-registered IARs · 0 to 4
      Apr 5, 2012 to Feb 26, 2013
    • Discretionary RAUM · $225M to $302M
      Apr 5, 2012 to Feb 26, 2013
    • RAUM · $225M to $302M
      Apr 5, 2012 to Feb 26, 2013
    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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026