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•••••••• L••
Latest filing Aug 28, 2026
First filing on the tape Feb 13, 2012 · 19 filings
SEC status approved since May 8, 2018
RAUM
$256M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$254M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$85.4M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$256M as of Aug 28, 2026
Mar 1, 2012$58.1M then
HNW client RAUM$238M as of Aug 28, 2026
Mar 20, 2019$77.6M then
State-registered IARs (5.B.3)3 as of Aug 28, 2026
Mar 1, 20120 then
Employees (5.A)4 as of Aug 28, 2026
Mar 20, 20194 then
Private funds: no history
RAUM +11% over the last fiscal year+20% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Aug 28, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $85.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $638,537derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $81.9M, 18 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$238M94%
- Individuals$15.9M6.3%
- Individual clients
- 55reported
- HNW clients
- 60reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 401reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $81.9M for 18 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• C•••••••• B••• | Richmond, Va | Aug 25, 2004 | 22 y | 0 |
| M••• D•••••• L••••••••• | Richmond, Va | May 8, 2006 | 29 y | 2 |
| A•••••••• K•••••• S•••• | Richmond, Va | Aug 12, 2013 | 17 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
- S••••••• A••••• H••• to G••••••••• C•••••• M•••••••••Oct 8, 2009 · Other
Joined, latest
- A•••••••• K•••••• S•••• from S•••• I••••••••• M••••••••• L••Aug 12, 2013 · Other
- M••• D•••••• L••••••••• from F•••••• B•••• W••••• L••May 8, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• S••••• C•••••••• · Executive Vice President, Chief Compliance Officercontrolsince 01/2010 · owns 5% to 10%
- S••••• A••••••••• K•••••• · Presidentcontrolsince 06/2013 · owns 25% to 50%
- W••••••• R•••••• D•••••• · Chairman And Chief Investment Officercontrolsince 02/2001 · owns 25% to 50%
- L••••••••• M•••• D•••••• · Chief Executive Officersince 06/2014 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Richmond, Va · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 377 to 401Dec 18, 2025 to Feb 26, 2026
- HNW clients · 56 to 60Dec 18, 2025 to Feb 26, 2026
- Individual clients · 57 to 55Dec 18, 2025 to Feb 26, 2026
- Assets in custody · $54.1M to $81.9MDec 18, 2025 to Feb 26, 2026
- Discretionary RAUM · $231M to $256MDec 18, 2025 to Feb 26, 2026
- HNW RAUM · $213M to $238MDec 18, 2025 to Feb 26, 2026
- Individual RAUM · $16.5M to $15.9MDec 18, 2025 to Feb 26, 2026
- RAUM · $231M to $256MDec 18, 2025 to Feb 26, 2026
- Accounts · 361 to 377Jun 26, 2024 to Feb 28, 2025
- Advisory employees · 3 to 2Jun 26, 2024 to Feb 28, 2025
- Advisory activities · 3 to 2Jun 26, 2024 to Feb 28, 2025
- HNW clients · 57 to 56Jun 26, 2024 to Feb 28, 2025
- Individual clients · 44 to 57Jun 26, 2024 to Feb 28, 2025
- Assets in custody · $39.2M to $54.1MJun 26, 2024 to Feb 28, 2025
- Financial planning clients · 0 to 0Jun 26, 2024 to Feb 28, 2025
- State-registered IARs · 4 to 3Jun 26, 2024 to Feb 28, 2025
- Discretionary RAUM · $185M to $231MJun 26, 2024 to Feb 28, 2025
- HNW RAUM · $168M to $213MJun 26, 2024 to Feb 28, 2025
- Individual RAUM · $15.9M to $16.5MJun 26, 2024 to Feb 28, 2025
- RAUM · $185M to $231MJun 26, 2024 to Feb 28, 2025
- HNW clients · 58 to 57Mar 11, 2024 to Mar 28, 2024
- Individual clients · 45 to 44Mar 11, 2024 to Mar 28, 2024
- Discretionary RAUM · $186M to $185MMar 11, 2024 to Mar 28, 2024
- HNW RAUM · $167M to $168MMar 11, 2024 to Mar 28, 2024
- Individual RAUM · $16.8M to $15.9MMar 11, 2024 to Mar 28, 2024
- RAUM · $186M to $185MMar 11, 2024 to Mar 28, 2024
- Accounts · 348 to 361Mar 27, 2023 to Mar 11, 2024
- HNW clients · 59 to 58Mar 27, 2023 to Mar 11, 2024
- Individual clients · 40 to 45Mar 27, 2023 to Mar 11, 2024
- Assets in custody · $26.1M to $39.2MMar 27, 2023 to Mar 11, 2024
- Discretionary RAUM · $148M to $186MMar 27, 2023 to Mar 11, 2024
- HNW RAUM · $137M to $167MMar 27, 2023 to Mar 11, 2024
- Individual RAUM · $10.2M to $16.8MMar 27, 2023 to Mar 11, 2024
- RAUM · $148M to $186MMar 27, 2023 to Mar 11, 2024
- Accounts · 335 to 348Mar 2, 2022 to Mar 27, 2023
- HNW clients · 45 to 59Mar 2, 2022 to Mar 27, 2023
- Individual clients · 55 to 40Mar 2, 2022 to Mar 27, 2023
- Assets in custody · $27.2M to $26.1MMar 2, 2022 to Mar 27, 2023
- Employees · 5 to 4Mar 2, 2022 to Mar 27, 2023
- State-registered IARs · 0 to 4Mar 2, 2022 to Mar 27, 2023
Signals
1 dated events
- A•••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 2, 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 email
- i•••@a•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 804-754-8532reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 804-754-8533reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- A••••-ADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 804-754-8532reportedpublic record, Form ADV, Aug 28, 2026
- Contact form
- a•••••••••.comreportedpublished 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
- $85.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026