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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SEC-registered adviser
M•••••• C•••••• M••••••••• I•••
Latest filing Jan 28, 2026
First filing on the tape Feb 6, 2012 · 37 filings
SEC status approved since Jul 16, 2015
RAUM
$357M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$355M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$89.3M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$357M as of Jan 28, 2026
Feb 16, 2016$133M then
HNW client RAUM$315M as of Jan 28, 2026
Mar 7, 2018$108M then
State-registered IARs (5.B.3)4 as of Jan 28, 2026
Feb 16, 20163 then
Employees (5.A)5 as of Jan 28, 2026
Feb 16, 20163 then
Private funds: no history
RAUM +11% over the last fiscal year+10% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jan 28, 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
- RAUM per advisor
- $89.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $718,782derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $180M, 70 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$315M88%
- Individuals$40.5M11%
- Charitable organizations$1.1M0.3%
- Corporations and businesses$646,6680.2%
- Individual clients
- 106reported
- HNW clients
- 86reported
- Pension plan clients
- 0reported
- Charitable clients
- 3reported
- Accounts
- 497reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $180M for 70 clientsreported
- 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=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• M• U••••••• | L••••••••, Va | Mar 19, 1999 | 28 y | 0 |
| S•••• U••••••• B•••••• | L••••••••, Va | Mar 23, 1999 | 34 y | 0 |
| A••• Z••• K•••••Certified Financial Planner | L••••••••, Va | Sep 28, 2020 | 11 y | 0 |
| C••••••••• S•••• B•••••••• | L••••••••, Va | Jun 11, 2024 | 10 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
- A••••• J••• N••••••• to S•••••••• W••••• M••••••••• I•••Jun 8, 2021 · RIA to RIA
- J••• N••••• H••• to L•••••••• W••••• M•••••••••Jul 5, 2016 · Other
Joined, latest
- A••••• J••• N••••••• from A••••••••• F•••••••• S•••••••• L••Feb 14, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• S••••• U••••••• · Presidentcontrolsince 03/1999 · owns 50% to 75%
- U•••••••• A•••• M• · Corporate Secretarycontrolsince 03/1999 · owns 50% to 75%
- S••••• L•••• H••••• · Chief Compliance Officersince 01/2023 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| L••••••••, Va · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 481 to 497Apr 1, 2025 to Jan 28, 2026
- HNW clients · 88 to 86Apr 1, 2025 to Jan 28, 2026
- Individual clients · 103 to 106Apr 1, 2025 to Jan 28, 2026
- Assets in custody · $165M to $180MApr 1, 2025 to Jan 28, 2026
- Financial planning clients · 11-25 to 1-10Apr 1, 2025 to Jan 28, 2026
- Discretionary RAUM · $319M to $356MApr 1, 2025 to Jan 28, 2026
- HNW RAUM · $289M to $315MApr 1, 2025 to Jan 28, 2026
- Individual RAUM · $30.4M to $40.5MApr 1, 2025 to Jan 28, 2026
- Non-discretionary RAUM · $2.0M to $1.7MApr 1, 2025 to Jan 28, 2026
- RAUM · $321M to $357MApr 1, 2025 to Jan 28, 2026
- Financial planning clients · 11-25 to 11-25Feb 12, 2025 to Apr 1, 2025
- Accounts · 442 to 481Jun 13, 2024 to Feb 12, 2025
- Corporate clients · 0 to 1Jun 13, 2024 to Feb 12, 2025
- HNW clients · 86 to 88Jun 13, 2024 to Feb 12, 2025
- Individual clients · 94 to 103Jun 13, 2024 to Feb 12, 2025
- Assets in custody · $148M to $165MJun 13, 2024 to Feb 12, 2025
- Employees · 6 to 5Jun 13, 2024 to Feb 12, 2025
- Discretionary RAUM · $277M to $319MJun 13, 2024 to Feb 12, 2025
- HNW RAUM · $256M to $289MJun 13, 2024 to Feb 12, 2025
- Individual RAUM · $23.5M to $30.4MJun 13, 2024 to Feb 12, 2025
- Non-discretionary RAUM · $2.7M to $2.0MJun 13, 2024 to Feb 12, 2025
- RAUM · $280M to $321MJun 13, 2024 to Feb 12, 2025
- Advisory employees · 3 to 4Feb 21, 2024 to Jun 13, 2024
- Employees · 5 to 6Feb 21, 2024 to Jun 13, 2024
- State-registered IARs · 3 to 4Feb 21, 2024 to Jun 13, 2024
- Accounts · 443 to 442Feb 1, 2023 to Feb 21, 2024
- HNW clients · 90 to 86Feb 1, 2023 to Feb 21, 2024
- Individual clients · 95 to 94Feb 1, 2023 to Feb 21, 2024
- Assets in custody · $151M to $148MFeb 1, 2023 to Feb 21, 2024
- Employees · 4 to 5Feb 1, 2023 to Feb 21, 2024
- Discretionary RAUM · $263M to $277MFeb 1, 2023 to Feb 21, 2024
- HNW RAUM · $245M to $256MFeb 1, 2023 to Feb 21, 2024
- Individual RAUM · $22.5M to $23.5MFeb 1, 2023 to Feb 21, 2024
- Non-discretionary RAUM · $4.9M to $2.7MFeb 1, 2023 to Feb 21, 2024
- RAUM · $268M to $280MFeb 1, 2023 to Feb 21, 2024
- Accounts · 420 to 443Oct 5, 2022 to Feb 1, 2023
- Charity clients · 2 to 3Oct 5, 2022 to Feb 1, 2023
- HNW clients · 76 to 90Oct 5, 2022 to Feb 1, 2023
- Individual clients · 99 to 95Oct 5, 2022 to Feb 1, 2023
- Assets in custody · $72.6M to $151MOct 5, 2022 to Feb 1, 2023
Signals
1 dated events
- M•••••• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Jul 9, 2015 · 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
- Website
- M••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 434-455-2795reportedpublic record, Form ADV, Jan 28, 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
- $89.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026