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
E•• E••••• F•••••••• S••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Mar 14, 2012 · 13 filings
SEC status approved since Apr 21, 2020
RAUM
$145M
reported, Item 5.F
Discretionary
53%
of RAUM
Private clients
100%
$145M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$145M
derived; firm RAUM over IAPD count
Employees
1
1 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$145M as of Mar 25, 2026
Mar 26, 2012$60.7M then
HNW client RAUM$132M as of Mar 25, 2026
Mar 28, 2021$121M then
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Mar 26, 20120 then
Employees (5.A)1 as of Mar 25, 2026
Mar 28, 20211 then
Private funds: no history
RAUM +0.1% over the last fiscal year+6.5% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $145MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $939,482derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 53%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$132M91%
- Individuals$12.5M8.6%
- Individual clients
- 26reported
- HNW clients
- 38reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 154reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• A•••••• N••••••Certified Financial Planner, Chartered Financial Consultant | Leesburg, Va | Jun 4, 2014 | 31 y | 1 |
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
- N••••••• E•••• A•••••• · Chief Executive Officer, Chief Financial Officer, Chief Operations Officer, Chief Compliance Officer, Chief Legal Officercontrolsince 01/2000 · owns 75% or more
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
- account count collapseChange between filings · filing Mar 25, 2026accounts (Item 5.F.2.f) moved from 294.0 to 154.0 (-48.0%) between the annual amendments of 2025-03-31 and 2026-03-25; the peer median change was +5.0% (3686 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,686) · 3.2% percentile
What changed
consecutive filings, newest first
- Accounts · 294 to 154Mar 31, 2025 to Mar 25, 2026
- Discretionary RAUM · $69.4M to $77.2MMar 31, 2025 to Mar 25, 2026
- HNW RAUM · $121M to $132MMar 31, 2025 to Mar 25, 2026
- Individual RAUM · $23.8M to $12.5MMar 31, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $75.1M to $67.4MMar 31, 2025 to Mar 25, 2026
- RAUM · $145M to $145MMar 31, 2025 to Mar 25, 2026
- Accounts · 166 to 294Mar 28, 2024 to Mar 31, 2025
- HNW clients · 33 to 38Mar 28, 2024 to Mar 31, 2025
- Individual clients · 22 to 26Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · 26-50 to 26-50Mar 28, 2024 to Mar 31, 2025
- HQ city · unset to Mar 28, 2024 to Mar 31, 2025
- HQ state · unset to Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $61.3M to $69.4MMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $114M to $121MMar 28, 2024 to Mar 31, 2025
- Individual RAUM · $12.8M to $23.8MMar 28, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $65.6M to $75.1MMar 28, 2024 to Mar 31, 2025
- RAUM · $127M to $145MMar 28, 2024 to Mar 31, 2025
- Accounts · 207 to 166Mar 28, 2023 to Mar 28, 2024
- HNW clients · 34 to 33Mar 28, 2023 to Mar 28, 2024
- Individual clients · 29 to 22Mar 28, 2023 to Mar 28, 2024
- Financial planning clients · 11-25 to 26-50Mar 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $62.0M to $61.3MMar 28, 2023 to Mar 28, 2024
- HNW RAUM · $115M to $114MMar 28, 2023 to Mar 28, 2024
- Individual RAUM · $4.6M to $12.8MMar 28, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $57.8M to $65.6MMar 28, 2023 to Mar 28, 2024
- RAUM · $120M to $127MMar 28, 2023 to Mar 28, 2024
- Accounts · 212 to 207Mar 28, 2022 to Mar 28, 2023
- HNW clients · 42 to 34Mar 28, 2022 to Mar 28, 2023
- Individual clients · 22 to 29Mar 28, 2022 to Mar 28, 2023
- Discretionary RAUM · $78.1M to $62.0MMar 28, 2022 to Mar 28, 2023
- HNW RAUM · $140M to $115MMar 28, 2022 to Mar 28, 2023
- Individual RAUM · $4.2M to $4.6MMar 28, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $65.9M to $57.8MMar 28, 2022 to Mar 28, 2023
- RAUM · $144M to $120MMar 28, 2022 to Mar 28, 2023
- Related insurance company · true to falseMar 28, 2022 to Mar 28, 2023
- Accounts · 208 to 212Mar 28, 2021 to Mar 28, 2022
- Individual clients · 18 to 22Mar 28, 2021 to Mar 28, 2022
- Discretionary RAUM · $67.7M to $78.1MMar 28, 2021 to Mar 28, 2022
- HNW RAUM · $121M to $140MMar 28, 2021 to Mar 28, 2022
- Individual RAUM · $3.6M to $4.2MMar 28, 2021 to Mar 28, 2022
Signals
1 dated events
- E•• E••••• F•••••••• S••••••• L•• filed its initial SEC registration (Form ADV)Mar 19, 2020 · 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
- Principal office phone
- 410-340-4973reportedpublic record, Form ADV, Mar 25, 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
- $145Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026