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

B•••••• C•••••• M•••••••••

Former SEC-registered adviserMidlothian, VirginiaCRD 117272SEC 801-63027IAPD
Latest filing Mar 31, 2015
First filing on the tape Mar 28, 2012 · 7 filings
RAUM
$78.7M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$15.7M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$965,980 gross assets
History
7 filings and snapshots on the tape
RAUM$91.5M as of Mar 28, 2014
Mar 28, 2012$96.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2014
Mar 28, 20120 then
Employees (5.A)6 as of Mar 28, 2014
Mar 27, 20136 then
Private funds1 as of Mar 28, 2014
Mar 28, 20121 then
RAUM -27% over the last fiscal yearIARs 0 to 4
Practice profile
derived from the filing of Mar 31, 2015; every figure names its basis
RAUM per advisor
$15.7MderivedRAUM 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
$259,728derivedRAUM over accounts (5.F.2.f)
Discretionary
89%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-16%derivedbetween 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 pooled vehiclesreportedItem 5.G
Custody
$237,718, 1 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)
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
303reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$237,718 for 1 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
5 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R•••••• E•••• L••••••••Richmond, VaFeb 8, 200224 y0
D•••• S•••••Richmond, VaMar 9, 200918 y0
R•••••• S•••••• H••••Richmond, Va May 15, 201425 y0
J•••••• K•••• L•••Midlothian, Va Apr 15, 201913 y0
R••• D•••••• G•••••••Certified Financial PlannerRichmond, VaAug 5, 202213 y0
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 headcount1 left over 36 months
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    N••••••• M••• F•••• L•Hedge Fund$965,98021Mar 28, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • B••••••• D••••• R•••••• · President/Ceo/Managing Membercontrol
      since 12/2000 · owns 50% to 75%
    • L••••••••• R••••••• E•••• · Principal & Chief Investment Officer/Managing Membercontrol
      since 01/2002 · owns 50% to 75%
    • S••••• C••••••••• M••••••• · Sr. Vice President-Client Services; Chief Compliance Officer/Managing Membercontrol
      since 01/2002 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Richmond, Va500
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · 2 to 4
      Mar 27, 2015 to Mar 31, 2015
    • Advisory activities · 3 to 2
      Mar 27, 2015 to Mar 31, 2015
    • Assets in custody · unset to 237718.0
      Mar 27, 2015 to Mar 31, 2015
    • Custody of client assets · false to true
      Mar 27, 2015 to Mar 31, 2015
    • State-registered IARs · 0 to 4
      Mar 27, 2015 to Mar 31, 2015
    • Accounts · 344 to 303
      May 30, 2014 to Mar 27, 2015
    • Discretionary RAUM · $74.5M to $70.0M
      May 30, 2014 to Mar 27, 2015
    • Non-discretionary RAUM · $17.0M to $8.7M
      May 30, 2014 to Mar 27, 2015
    • RAUM · $91.5M to $78.7M
      May 30, 2014 to Mar 27, 2015
    • Accounts · 404 to 344
      Mar 27, 2013 to Mar 28, 2014
    • Discretionary RAUM · $86.0M to $74.5M
      Mar 27, 2013 to Mar 28, 2014
    • Non-discretionary RAUM · $22.5M to $17.0M
      Mar 27, 2013 to Mar 28, 2014
    • RAUM · $108M to $91.5M
      Mar 27, 2013 to Mar 28, 2014
    • Accounts · 402 to 404
      Nov 14, 2012 to Mar 27, 2013
    • Discretionary RAUM · $76.9M to $86.0M
      Nov 14, 2012 to Mar 27, 2013
    • Non-discretionary RAUM · $19.6M to $22.5M
      Nov 14, 2012 to Mar 27, 2013
    • RAUM · $96.5M to $108M
      Nov 14, 2012 to Mar 27, 2013
    • Advisory employees · unset to 2.0
      Mar 28, 2012 to Nov 14, 2012
    • Employees · unset to 6.0
      Mar 28, 2012 to Nov 14, 2012
    Signals
    2 dated events
    • D••• S•••••• F•••••• left B•••••• C•••••• M••••••••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-12-17)
      Jun 21, 2024 · Advisor changed firm · fact
    • A••••• S•••••• C•••••• left B•••••• C•••••• M••••••••• for D•••••••• • C•••••• L•• (registered 2022-06-08)
      Jun 1, 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
    B••••••CAP.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
    $15.7Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026