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

E••••••••• W•••••• I•••

Former SEC-registered adviserCabin John, MarylandCRD 116983SEC 801-71422IAPD
Latest filing Mar 28, 2024
First filing on the tape Mar 27, 2012 · 37 filings
RAUM
$164M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
32%
$51.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
37 filings and snapshots on the tape
RAUM$164M as of Mar 28, 2024
Mar 27, 2012$238M then
HNW client RAUM$51.7M as of Mar 28, 2024
Feb 12, 2018$57.0M then
State-registered IARs (5.B.3)1 as of Mar 28, 2024
Mar 27, 20120 then
Employees (5.A)2 as of Mar 28, 2024
Mar 1, 20133 then
Private funds: no history
RAUM -3.3% over the last fiscal year+0.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 28, 2024; every figure names its basis
RAUM per advisor
$164MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.2MderivedHNW RAUM over HNW clients
Average account
$8.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
59%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-3.3%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 consultingreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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
  • Charitable organizations$96.3M59%
  • High-net-worth individuals$51.7M32%
  • Corporations and businesses$16.2M9.9%
Individual clients
n/areported
HNW clients
16reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
19reported
Financial planning clients
1-10reported
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
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
    • C•••• P•••••• S••••••• · Principal; Chief Investment Officer/Chief Compliance Officer
      since 10/1991 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Advisers that list E••••••••• W•••••• I••• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 94 to 19
      Jan 11, 2023 to Mar 28, 2024
    • HNW clients · 21 to 16
      Jan 11, 2023 to Mar 28, 2024
    • Employees · 3 to 2
      Jan 11, 2023 to Mar 28, 2024
    • Discretionary RAUM · $151M to $164M
      Jan 11, 2023 to Mar 28, 2024
    • HNW RAUM · $71.2M to $51.7M
      Jan 11, 2023 to Mar 28, 2024
    • Non-discretionary RAUM · $18.4M to $0
      Jan 11, 2023 to Mar 28, 2024
    • RAUM · $170M to $164M
      Jan 11, 2023 to Mar 28, 2024
    • Accounts · 23 to 94
      Mar 14, 2022 to Jan 11, 2023
    • HNW clients · 20 to 21
      Mar 14, 2022 to Jan 11, 2023
    • Discretionary RAUM · $171M to $151M
      Mar 14, 2022 to Jan 11, 2023
    • HNW RAUM · $83.0M to $71.2M
      Mar 14, 2022 to Jan 11, 2023
    • Non-discretionary RAUM · $20.9M to $18.4M
      Mar 14, 2022 to Jan 11, 2023
    • RAUM · $192M to $170M
      Mar 14, 2022 to Jan 11, 2023
    • Accounts · 22 to 23
      Sep 20, 2021 to Mar 11, 2022
    • HNW clients · 19 to 20
      Sep 20, 2021 to Mar 11, 2022
    • Discretionary RAUM · $145M to $171M
      Sep 20, 2021 to Mar 11, 2022
    • HNW RAUM · $72.8M to $83.0M
      Sep 20, 2021 to Mar 11, 2022
    • Non-discretionary RAUM · $19.6M to $20.9M
      Sep 20, 2021 to Mar 11, 2022
    • RAUM · $164M to $192M
      Sep 20, 2021 to Mar 11, 2022
    • Advisory employees · 1 to 2
      Jan 28, 2021 to Mar 1, 2021
    • HNW clients · 18 to 19
      Jan 28, 2021 to Mar 1, 2021
    • Discretionary RAUM · $124M to $145M
      Jan 28, 2021 to Mar 1, 2021
    • HNW RAUM · $64.3M to $72.8M
      Jan 28, 2021 to Mar 1, 2021
    • Individual RAUM · 168334.0 to unset
      Jan 28, 2021 to Mar 1, 2021
    • Non-discretionary RAUM · $19.3M to $19.6M
      Jan 28, 2021 to Mar 1, 2021
    • RAUM · $143M to $164M
      Jan 28, 2021 to Mar 1, 2021
    • HQ city · VIENNA to CABIN JOHN
      May 11, 2020 to Jan 28, 2021
    • HQ state · VA to MD
      May 11, 2020 to Jan 28, 2021
    • Accounts · 20 to 22
      Nov 13, 2019 to Feb 7, 2020
    • HNW clients · 16 to 18
      Nov 13, 2019 to Feb 7, 2020
    • Discretionary RAUM · $104M to $124M
      Nov 13, 2019 to Feb 7, 2020
    • HNW RAUM · $58.8M to $64.3M
      Nov 13, 2019 to Feb 7, 2020
    • Individual RAUM · $138,643 to $168,334
      Nov 13, 2019 to Feb 7, 2020
    • Non-discretionary RAUM · $17.1M to $19.3M
      Nov 13, 2019 to Feb 7, 2020
    • RAUM · $121M to $143M
      Nov 13, 2019 to Feb 7, 2020
    • Business name · C••• • C••••••• L••• to E••••••••• W•••••• I•••
      Oct 21, 2019 to Nov 13, 2019
    • Legal name · C••• • C••••••• L••• to E••••••••• W•••••• I•••
      Oct 21, 2019 to Nov 13, 2019
    • Discretionary RAUM · $119M to $104M
      Jun 7, 2018 to Feb 6, 2019
    • HNW RAUM · $57.0M to $58.8M
      Jun 7, 2018 to Feb 6, 2019
    • Individual RAUM · $143,000 to $138,643
      Jun 7, 2018 to Feb 6, 2019
    Signals
    1 dated events
    • P••••• S••••••• C••• left E••••••••• W•••••• I••• for Nexus338 (registered 2021-09-08)
      Dec 31, 2022 · Advisor changed firm · fact
    Across DFX
    shared identifiers only, never a name match
    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