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
A••••••• V••••• I••••••••• I•••
Latest filing Sep 27, 2012
First filing on the tape Mar 29, 2012 · 12 filings
RAUM
$23.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$23.6M
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$23.6M as of Sep 27, 2012
Mar 29, 2012$22.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 27, 2012; every figure names its basis
- RAUM per advisor
- $23.6MderivedRAUM 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
- $589,407derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
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
- 40reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••• B••• L•••••Certified Financial Planner | Bristol, Va | Jun 14, 2001 | 38 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
- M•••••• E••••• A•••••••• to V•••• F•••••••• P•••••••Jun 13, 2023 · Other
- G••••• K••• P•••• to P•••• I••••••••• M••••••••• L••Dec 22, 2022 · Other
- L•••• A•••••••• E•••• to V••••• F•••• A•••••••• I•••May 3, 2011 · Other
- R•• E•••• N••• to V••••• F•••• A•••••••• I•••Mar 30, 2011 · Other
- K•••••• G•••• B••••• to V••••• F•••• A•••••••• I•••Oct 19, 2009 · Other
- D•••• E• K••• to L•• F•••••••• L••Dec 9, 2004 · Other
- H••••• J••••• L•••••• to S••••••••• P••••••• I••••••••• C••••••• I•••Feb 10, 2004 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• C•••••• B••• · Ceo/Chief Compliance Officer/ Presidentcontrolsince 01/1996 · owns 25% to 50%
- P••••• G•••••• K••• · Vice-Presidentcontrolsince 03/2001 · owns 10% to 25%
- B••••• R•••• F••••••• · Shareholdersince 10/2005 · owns 5% to 10%
- G••••••• J•••• M••••• · Shareholdersince 09/2002 · owns 10% to 25%
- G••••••• J••••• · Shareholdersince 05/2003 · owns 10% to 25%
- H••••• D•••• · Secretarysince 10/2005 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Bristol, VA
What changed
consecutive filings, newest first
- HQ city · unset to BRISTOLSep 25, 2012 to Sep 25, 2012
- HQ state · unset to VASep 25, 2012 to Sep 25, 2012
- Discretionary RAUM · $22.1M to $23.6MMar 29, 2012 to May 1, 2012
- RAUM · $22.1M to $23.6MMar 29, 2012 to May 1, 2012
Signals
2 dated events
- M•••••• E••••• A•••••••• left A••••••• V••••• I••••••••• I••• for V•••• F•••••••• P••••••• (registered 2024-07-15)Jun 13, 2023 · Advisor changed firm · fact
- G••••• K••• P•••• left A••••••• V••••• I••••••••• I••• for P•••• I••••••••• M••••••••• L•• (registered 2023-01-03)Dec 22, 2022 · Advisor changed firm · 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
- AMERICANV•••••.COMreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $23.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026