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.

Former SEC-registered adviser

Focus Wealth Management, Ltd.

Former SEC-registered adviserFairfax, VirginiaCRD 116836SEC 801-61846IAPD
Latest filing Apr 6, 2017
First filing on the tape Dec 5, 2011 · 20 filings
RAUM
$295M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$295M as of Mar 10, 2017
Jan 23, 2012$131M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Mar 10, 2017
Mar 28, 20134 then
Employees (5.A)8 as of Mar 10, 2017
Mar 28, 20136 then
Private funds: no history
RAUM +18% over the last fiscal year+13% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Apr 6, 2017; every figure names its basis
RAUM per advisor
$49.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$485,591derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+18%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 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
607reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
    • E Susan Chesson · Executive Vpcontrol
      since 01/2017 · owns 25% to 50%
    • Louise Helen Modly · President & Ccocontrol
      since 01/2015 · owns 25% to 50%
    • Lynn Sandra Atkins · Shareholder
      since 09/2001 · owns 10% to 25%
    • Len Tommie Monez · Vice President
      since 01/2017 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Middleburg, VA
    What changed
    consecutive filings, newest first
    • Accounts · 540 to 607
      Mar 25, 2016 to Mar 10, 2017
    • Employees · 10 to 8
      Mar 25, 2016 to Mar 10, 2017
    • HQ city · MIDDLEBURG to FAIRFAX
      Mar 25, 2016 to Mar 10, 2017
    • Discretionary RAUM · $250M to $295M
      Mar 25, 2016 to Mar 10, 2017
    • RAUM · $250M to $295M
      Mar 25, 2016 to Mar 10, 2017
    • Accounts · 480 to 540
      Sep 3, 2015 to Mar 25, 2016
    • Advisory employees · 5 to 6
      Sep 3, 2015 to Mar 25, 2016
    • Employees · 8 to 10
      Sep 3, 2015 to Mar 25, 2016
    • State-registered IARs · 5 to 6
      Sep 3, 2015 to Mar 25, 2016
    • Discretionary RAUM · $247M to $250M
      Sep 3, 2015 to Mar 25, 2016
    • RAUM · $247M to $250M
      Sep 3, 2015 to Mar 25, 2016
    • State-registered IARs · 0 to 5
      Jul 13, 2015 to Sep 3, 2015
    • Discretionary RAUM · $248M to $247M
      Jul 13, 2015 to Sep 3, 2015
    • RAUM · $248M to $247M
      Jul 13, 2015 to Sep 3, 2015
    • Accounts · 404 to 480
      May 28, 2014 to Apr 1, 2015
    • Employees · 6 to 8
      May 28, 2014 to Apr 1, 2015
    • Financial planning clients · 1-10 to 11-25
      May 28, 2014 to Apr 1, 2015
    • State-registered IARs · 5 to 0
      May 28, 2014 to Apr 1, 2015
    • Discretionary RAUM · $210M to $248M
      May 28, 2014 to Apr 1, 2015
    • Non-discretionary RAUM · $3.2M to $0
      May 28, 2014 to Apr 1, 2015
    • RAUM · $213M to $248M
      May 28, 2014 to Apr 1, 2015
    • Accounts · 391 to 404
      Mar 18, 2014 to May 28, 2014
    • Employees · 5 to 6
      Mar 18, 2014 to May 28, 2014
    • Discretionary RAUM · $203M to $210M
      Mar 18, 2014 to May 28, 2014
    • Non-discretionary RAUM · $2.4M to $3.2M
      Mar 18, 2014 to May 28, 2014
    • RAUM · $205M to $213M
      Mar 18, 2014 to May 28, 2014
    • Accounts · 432 to 391
      Nov 20, 2013 to Jan 9, 2014
    • State-registered IARs · 4 to 5
      Nov 20, 2013 to Jan 9, 2014
    • Discretionary RAUM · $195M to $203M
      Nov 20, 2013 to Jan 9, 2014
    • Non-discretionary RAUM · $0 to $2.4M
      Nov 20, 2013 to Jan 9, 2014
    • RAUM · $195M to $205M
      Nov 20, 2013 to Jan 9, 2014
    • Accounts · 135 to 432
      Aug 8, 2013 to Nov 20, 2013
    • Advisory employees · 4 to 5
      Aug 8, 2013 to Nov 20, 2013
    • Employees · 6 to 5
      Aug 8, 2013 to Nov 20, 2013
    • Discretionary RAUM · $166M to $195M
      Aug 8, 2013 to Nov 20, 2013
    • RAUM · $166M to $195M
      Aug 8, 2013 to Nov 20, 2013
    • Accounts · 321 to 135
      Dec 6, 2012 to Mar 28, 2013
    • Discretionary RAUM · $152M to $166M
      Dec 6, 2012 to Mar 28, 2013
    • RAUM · $152M to $166M
      Dec 6, 2012 to Mar 28, 2013
    • Accounts · 288 to 321
      Jan 23, 2012 to Dec 6, 2012
    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