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
J•••• R•••• A•••• M••••••••• L••
Latest filing Aug 5, 2026
First filing on the tape Feb 16, 2012 · 28 filings
SEC status approved since Mar 30, 2018
RAUM
$274M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
98%
$269M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$54.8M
derived; firm RAUM over IAPD count
Employees
9
5 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$274M as of Aug 5, 2026
Feb 16, 2012$48.0M then
HNW client RAUM$185M as of Aug 5, 2026
Feb 28, 2019$54.3M then
State-registered IARs (5.B.3)4 as of Aug 5, 2026
Feb 16, 20120 then
Employees (5.A)9 as of Aug 5, 2026
Feb 28, 20196 then
Private funds: no history
RAUM +16% over the last fiscal year+19% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Aug 5, 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
- RAUM per advisor
- $54.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $218,323derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 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
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$185M67%
- Individuals$84.7M31%
- Charitable organizations$2.6M0.9%
- Corporations and businesses$1.9M0.7%
- Individual clients
- 307reported
- HNW clients
- 104reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 1,254reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• H••••• M••••• | Midlothian, Va | Jun 26, 1996 | 43 y | 0 |
| C•••••• E••••• C•••••• | Midlothian, Va | Oct 28, 2020 | 12 y | 0 |
| K•••• G•••••Certified Financial Planner | Midlothian, Va | Jan 12, 2023 | 14 y | 2 |
| L•••• L•• S•••••• | Midlothian, Va | Jan 31, 2024 | 15 y | 4 |
| G•••• A••• T•••••• | Midlothian, Va | Mar 16, 2026 | 10 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
- K•••••• D••••••• C••••••• to M•• I•••••••• S•••••••• L••May 2, 2023 · RIA to affiliated broker-dealer or bank
- A•••••••• M••• B•••••• to T••••• A••••••• S•••••••• I•••Jun 2, 2022 · RIA to affiliated broker-dealer or bank
- F••••••• E• A•••• to E••••• J••••Jun 2, 2022 · RIA to affiliated broker-dealer or bank
- L•••• L•• S•••••• to E•••••• F•••••••• E••••••Apr 1, 2022 · RIA to RIA
- B•••• T••••• H••••••• to J••• A• C••••••••• L••Feb 14, 2020 · RIA to a state-registered adviser
- M•••••• J••• M••••• to C••••••••• F•••••••• N••••••Jul 19, 2019 · RIA to affiliated broker-dealer or bank
- T••••• D•••••• W••••• to N••••••••• M••••• I••••••••• S•••••••••Sep 26, 2018 · Other
- S•••••• R••••• P•••• to V••••••• I••••••••• A•••••••• I•••Mar 26, 2010 · Other
Joined, latest
- L•••• L•• S•••••• from E•••••• F•••••••• E••••••Jan 31, 2024 · RIA to RIA
- K•••• G••••• from C••••• I••••••••• A••••••• L••Jan 12, 2023 · Affiliated broker-dealer or bank to independent RIA
- A•••••••• M••• B•••••• from M••••• S••••••Apr 20, 2022 · Wirehouse to independent RIA
- K•••••• D••••••• C••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Nov 25, 2019 · Affiliated broker-dealer or bank to independent RIA
- L•••• L•• S•••••• from N••••••••• M••••• I••••••••• S•••••••••Dec 10, 2014 · Other
- B•••• T••••• H••••••• from I•••••••• S••••••• C••••••• I•••Feb 23, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• C••••••• E••••• · President And Chief Operating Officercontrolsince 07/2019 · owns less than 5%
- M•••••• A••••• H••••• · Chief Operating Officercontrolsince 10/1995 · owns less than 5%
- S••••••• L••••• L•• · President/Senior Financial Advisorcontrolsince 01/2024 · owns 75% or more
- O••• S••••• S•••••• · Chief Compliance Officer, Director Of Operationssince 01/2024 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Midlothian, Va · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Aug 5, 2026selection of other advisers (Item 5.G.7): yes on the filing of 2026-03-27, no on the filing of 2026-08-05peers: independent wealth managers, $100M to $500M (5,676)
- business activity changedChange between filings · filing Aug 5, 2026pension consulting (Item 5.G.6): no on the filing of 2026-03-27, yes on the filing of 2026-08-05peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5Mar 27, 2026 to Aug 5, 2026
- Accounts · 1,180 to 1,254Mar 31, 2025 to Mar 27, 2026
- Corporate clients · 2 to 3Mar 31, 2025 to Mar 27, 2026
- HNW clients · 95 to 104Mar 31, 2025 to Mar 27, 2026
- Individual clients · 305 to 307Mar 31, 2025 to Mar 27, 2026
- Financial planning clients · 11-25 to 51-100Mar 31, 2025 to Mar 27, 2026
- Discretionary RAUM · $218M to $254MMar 31, 2025 to Mar 27, 2026
- HNW RAUM · $154M to $185MMar 31, 2025 to Mar 27, 2026
- Individual RAUM · $78.6M to $84.7MMar 31, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $18.1M to $19.5MMar 31, 2025 to Mar 27, 2026
- RAUM · $236M to $274MMar 31, 2025 to Mar 27, 2026
- Accounts · 646 to 1,180Nov 19, 2024 to Mar 31, 2025
- Advisory employees · 5 to 4Nov 19, 2024 to Mar 31, 2025
- Charity clients · 4 to 6Nov 19, 2024 to Mar 31, 2025
- Corporate clients · unset to 2.0Nov 19, 2024 to Mar 31, 2025
- HNW clients · 64 to 95Nov 19, 2024 to Mar 31, 2025
- Individual clients · 276 to 305Nov 19, 2024 to Mar 31, 2025
- Employees · 10 to 9Nov 19, 2024 to Mar 31, 2025
- Financial planning clients · 11-25 to 11-25Nov 19, 2024 to Mar 31, 2025
- State-registered IARs · 5 to 4Nov 19, 2024 to Mar 31, 2025
- Discretionary RAUM · $143M to $218MNov 19, 2024 to Mar 31, 2025
- HNW RAUM · $82.6M to $154MNov 19, 2024 to Mar 31, 2025
- Individual RAUM · $64.5M to $78.6MNov 19, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $5.7M to $18.1MNov 19, 2024 to Mar 31, 2025
- RAUM · $149M to $236MNov 19, 2024 to Mar 31, 2025
- Accounts · 669 to 646Jul 11, 2023 to Apr 2, 2024
- Advisory activities · 3 to 4Jul 11, 2023 to Apr 2, 2024
- BD registered reps · 5 to 0Jul 11, 2023 to Apr 2, 2024
- Charity clients · 5 to 4Jul 11, 2023 to Apr 2, 2024
- Corporate clients · 1.0 to unsetJul 11, 2023 to Apr 2, 2024
- HNW clients · 65 to 64Jul 11, 2023 to Apr 2, 2024
- Individual clients · 257 to 276Jul 11, 2023 to Apr 2, 2024
- Assets in custody · 2768723.0 to unsetJul 11, 2023 to Apr 2, 2024
- Custody of client assets · true to falseJul 11, 2023 to Apr 2, 2024
- Employees · 11 to 10Jul 11, 2023 to Apr 2, 2024
- Financial planning clients · 26-50 to 11-25Jul 11, 2023 to Apr 2, 2024
- Discretionary RAUM · $153M to $143MJul 11, 2023 to Apr 2, 2024
- HNW RAUM · $101M to $82.6MJul 11, 2023 to Apr 2, 2024
- Individual RAUM · $60.3M to $64.5MJul 11, 2023 to Apr 2, 2024
- Non-discretionary RAUM · $10.6M to $5.7MJul 11, 2023 to Apr 2, 2024
Signals
10 dated events
- Lee Lucas Swygard (President/Senior Financial Advisor) appeared on Schedule A of J•••• R•••• A•••• M••••••••• L••Apr 2, 2024 · Control person joined · fact
- K•••••• D••••••• C••••••• left J•••• R•••• A•••• M••••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2023-05-09)May 2, 2023 · Advisor changed firm · fact
- D••••••• K•••••• C••••••• (Sr. Advisor Of Financial Planning) no longer on Schedule A of J•••• R•••• A•••• M••••••••• L•• (listed 2023-03-14, absent 2023-05-02)May 2, 2023 · Control person left · inference
- A•••••••• M••• B•••••• left J•••• R•••• A•••• M••••••••• L•• for T••••• A••••••• S•••••••• I••• (registered 2022-09-12)Jun 2, 2022 · Advisor changed firm · fact
- F••••••• E• A•••• left J•••• R•••• A•••• M••••••••• L•• for E••••• J•••• (registered 2022-08-08)Jun 2, 2022 · Advisor changed firm · fact
- L•••• L•• S•••••• left J•••• R•••• A•••• M••••••••• L•• for E•••••• F•••••••• E•••••• (registered 2022-04-18)Apr 1, 2022 · Advisor changed firm · fact
- D••••••• K•••••• C••••••• (Sr. Advisor Of Financial Planning) appeared on Schedule A of J•••• R•••• A•••• M••••••••• L••Jun 3, 2021 · Control person joined · fact
- Thomas Brian Hennaman (President) no longer on Schedule A of J•••• R•••• A•••• M••••••••• L•• (listed 2019-02-28, absent 2019-09-17)Sep 17, 2019 · Control person left · inference
- E••••• C•••••• C•••••• (President And Chief Operating Officer) appeared on Schedule A of J•••• R•••• A•••• M••••••••• L••Sep 17, 2019 · Control person joined · fact
- J•••• R•••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 1, 2018 · 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
- 804-302-0502reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 804-323-0517reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 804-323-0517reportedpublic record, Form ADV, Aug 5, 2026
- Contact form
- jamesriverwealth.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $54.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026