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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
O••••• C•••••• M•••••••••
Legal name O••••• C•••••• M••••••••• I•••
Latest filing Feb 20, 2026
First filing on the tape Aug 28, 2024 · 9 filings
SEC status approved since Oct 4, 2024
RAUM
$170M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$170M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$85.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$170M as of Feb 20, 2026
Feb 27, 2025$140M then
HNW client RAUM$162M as of Feb 20, 2026
Feb 27, 2025$135M then
State-registered IARs (5.B.3)2 as of Feb 20, 2026
Feb 27, 20252 then
Employees (5.A)2 as of Feb 20, 2026
Feb 27, 20252 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 20, 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
- $85.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 15derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.0MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$162M95%
- Individuals$8.0M4.7%
- Individual clients
- 6reported
- HNW clients
- 23reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 120reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| H•••• S••••• G••••• | Richmond, Va | Jan 3, 2003 | 40 y | 0 |
| K•••••••• G••••• B••• | Richm0nd, Va | Sep 1, 2009 | 18 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• H••••• S••••• · Presidentcontrolsince 12/1997 · owns 10% to 25%
- B•••• K••••••••• G••••• · Cco, Vice Presidentsince 12/2009 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 28 to 120Feb 27, 2025 to Feb 20, 2026
- Individual clients · 5 to 6Feb 27, 2025 to Feb 20, 2026
- Discretionary RAUM · $140M to $170MFeb 27, 2025 to Feb 20, 2026
- HNW RAUM · $135M to $162MFeb 27, 2025 to Feb 20, 2026
- Individual RAUM · $5.5M to $8.0MFeb 27, 2025 to Feb 20, 2026
- RAUM · $140M to $170MFeb 27, 2025 to Feb 20, 2026
- Accounts · 119 to 28Dec 18, 2024 to Feb 27, 2025
- Financial planning clients · 0 to 0Dec 18, 2024 to Feb 27, 2025
- Discretionary RAUM · $125M to $140MDec 18, 2024 to Feb 27, 2025
- HNW RAUM · $120M to $135MDec 18, 2024 to Feb 27, 2025
- Individual RAUM · $5.0M to $5.5MDec 18, 2024 to Feb 27, 2025
- RAUM · $125M to $140MDec 18, 2024 to Feb 27, 2025
Signals
1 dated events
- O••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Aug 28, 2024 · 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
- Principal office phone
- 804-282-2356reportedpublic record, Form ADV, Feb 20, 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
- $85.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026