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
A•••••••• A••••••• G••••• I•••
Latest filing Aug 26, 2026
First filing on the tape Mar 6, 2012 · 28 filings
SEC status approved since Sep 28, 2017
RAUM
$278M
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
93%
$259M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$139M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$278M as of Aug 26, 2026
Mar 6, 2012$51.2M then
HNW client RAUM$220M as of Aug 26, 2026
Feb 22, 2018$46.9M then
State-registered IARs (5.B.3)2 as of Aug 26, 2026
Mar 6, 20120 then
Employees (5.A)3 as of Aug 26, 2026
Feb 23, 20163 then
Private funds: no history
RAUM +33% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 26, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $139MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $590,177derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 79%derivedof RAUM
- Institutional
- 3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +33%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.1%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- High-net-worth individuals$220M79%
- Individuals$38.7M14%
- Corporations and businesses$10.4M3.7%
- Pension and profit-sharing plans$5.3M1.9%
- Charitable organizations$3.8M1.4%
- Individual clients
- 108reported
- HNW clients
- 74reported
- Pension plan clients
- 1reported
- Charitable clients
- 3reported
- Accounts
- 471reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $278M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• R•••••• M••••Certified Financial Planner | Annapolis, Md | Nov 20, 2000 | 32 y | 0 |
| S••••• E••••• M•••• | Annapolis, Md | Jun 7, 2025 | 11 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 headcount1 left over 36 months
Left, latest
- E••• M•••••• S•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Apr 1, 2024 · RIA to affiliated broker-dealer or bank
- J••• E••••• E•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jul 14, 2009 · Other
Joined, latest
- E••• M•••••• S•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jul 3, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• T•••••• E••••• · Shareholdercontrolsince 10/2000 · owns 25% to 50%
- M••••• D••••• R•••••• · President, Chief Compliance Officercontrolsince 10/2000 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Annapolis, Md · principal | 2 | 0 | 0 | ||
| Fairfax, Va | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Leesburg, VA1 employees
What changed
consecutive filings, newest first
- RAUM · $208M to $278MJan 8, 2026 to Feb 13, 2026
- Accounts · 398 to 471Jan 8, 2026 to Feb 13, 2026
- BD registered reps · 2 to 0Jan 8, 2026 to Feb 13, 2026
- Corporate clients · 7 to 3Jan 8, 2026 to Feb 13, 2026
- HNW clients · 66 to 74Jan 8, 2026 to Feb 13, 2026
- Individual clients · 114 to 108Jan 8, 2026 to Feb 13, 2026
- Pension plan clients · 5 to 1Jan 8, 2026 to Feb 13, 2026
- Employees · 4 to 3Jan 8, 2026 to Feb 13, 2026
- Discretionary RAUM · $160M to $219MJan 8, 2026 to Feb 13, 2026
- HNW RAUM · $141M to $220MJan 8, 2026 to Feb 13, 2026
- Individual RAUM · $34.4M to $38.7MJan 8, 2026 to Feb 13, 2026
- Non-discretionary RAUM · $48.9M to $59.1MJan 8, 2026 to Feb 13, 2026
- Pension RAUM · $17.7M to $5.3MJan 8, 2026 to Feb 13, 2026
- Wrap assets (manager) · $196M to $278MJan 8, 2026 to Feb 13, 2026
- Accounts · 570 to 398Jun 3, 2024 to Feb 5, 2025
- Charity clients · 5 to 3Jun 3, 2024 to Feb 5, 2025
- Corporate clients · unset to 7.0Jun 3, 2024 to Feb 5, 2025
- HNW clients · 96 to 66Jun 3, 2024 to Feb 5, 2025
- Individual clients · 151 to 114Jun 3, 2024 to Feb 5, 2025
- Pension plan clients · 10 to 5Jun 3, 2024 to Feb 5, 2025
- Employees · 3 to 4Jun 3, 2024 to Feb 5, 2025
- Financial planning clients · 1-10 to 1-10Jun 3, 2024 to Feb 5, 2025
- State-registered IARs · 3 to 2Jun 3, 2024 to Feb 5, 2025
- Other offices · 1 to 0Jun 3, 2024 to Feb 5, 2025
- Discretionary RAUM · $195M to $160MJun 3, 2024 to Feb 5, 2025
- HNW RAUM · $160M to $141MJun 3, 2024 to Feb 5, 2025
- Individual RAUM · $48.7M to $34.4MJun 3, 2024 to Feb 5, 2025
- Non-discretionary RAUM · $40.7M to $48.9MJun 3, 2024 to Feb 5, 2025
- Pension RAUM · $15.5M to $17.7MJun 3, 2024 to Feb 5, 2025
- RAUM · $235M to $208MJun 3, 2024 to Feb 5, 2025
- Wrap assets (manager) · $235M to $196MJun 3, 2024 to Feb 5, 2025
- Accounts · 544 to 570Apr 27, 2023 to Mar 11, 2024
- Advisory employees · 4 to 2Apr 27, 2023 to Mar 11, 2024
- Advisory activities · 3 to 4Apr 27, 2023 to Mar 11, 2024
- BD registered reps · 3 to 2Apr 27, 2023 to Mar 11, 2024
- Charity clients · 7 to 5Apr 27, 2023 to Mar 11, 2024
- Corporate clients · 2.0 to unsetApr 27, 2023 to Mar 11, 2024
- HNW clients · 208 to 96Apr 27, 2023 to Mar 11, 2024
- Individual clients · 317 to 151Apr 27, 2023 to Mar 11, 2024
- Employees · 5 to 3Apr 27, 2023 to Mar 11, 2024
Signals
3 dated events
- E••• M•••••• S•••• left A•••••••• A••••••• G••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2024-04-01)Apr 1, 2024 · Advisor changed firm · fact
- Michael Joseph English (Shareholder) no longer on Schedule A of A•••••••• A••••••• G••••• I••• (listed 2021-07-07, absent 2022-02-11)Feb 11, 2022 · Control person left · inference
- A•••••••• A••••••• G••••• I••• filed its initial SEC registration (Form ADV)Aug 28, 2017 · 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
- Business phone
- 410-348-1499reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 410-348-1499reportedpublic record, Form ADV, Aug 26, 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
- $139Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026