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
F•••••••• C••••••• U••••••••• I•••
Latest filing Mar 29, 2026
First filing on the tape Feb 29, 2012 · 33 filings
SEC status approved since Jul 29, 2002
RAUM
$231M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$228M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$231M
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
33 filings and snapshots on the tape
RAUM$231M as of Mar 29, 2026
Feb 29, 2012$41.0M then
HNW client RAUM$191M as of Mar 29, 2026
Mar 12, 2018$0 then
State-registered IARs (5.B.3)1 as of Mar 29, 2026
Feb 29, 20120 then
Employees (5.A)3 as of Mar 29, 2026
Jan 28, 20134 then
Private funds: no history
RAUM +22% over the last fiscal year+20% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 29, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $231MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 191derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $348,434derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $4.2M, 8 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)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$191M83%
- Individuals$37.0M16%
- Corporations and businesses$3.1M1.3%
- Pension and profit-sharing plans$7,6420.0%
- Individual clients
- 123reported
- HNW clients
- 68reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 664reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.2M for 8 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• R•••••• T••••• | Centreville, Md | Jul 25, 2002 | 26 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
- C••••••••• L•• C•• to M••••••• F•••••••• G••••• I•••Feb 1, 2007 · Other
- R•••••• B•••••• F•••••••• to M••••••• F•••••••• G••••• I•••Feb 1, 2007 · Other
- M•••••• O• C••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 23, 2006 · Other
- P•••• H• O•• to S••••••• I••••••••• I•••Aug 31, 2005 · Other
Joined, latest
- C••••••••• L•• C•• from C••••••• I••••••••• S•••••••Jul 30, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••• J•••• R•••••• · Ceo, Chief Compliance Officercontrolsince 09/2011 · owns 75% or more
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 · 708 to 664Mar 24, 2025 to Mar 29, 2026
- Advisory employees · 3 to 2Mar 24, 2025 to Mar 29, 2026
- Advisory activities · 2 to 3Mar 24, 2025 to Mar 29, 2026
- BD registered reps · 2 to 1Mar 24, 2025 to Mar 29, 2026
- Corporate clients · 8 to 6Mar 24, 2025 to Mar 29, 2026
- HNW clients · 50 to 68Mar 24, 2025 to Mar 29, 2026
- Individual clients · 146 to 123Mar 24, 2025 to Mar 29, 2026
- Assets in custody · $6.9M to $4.2MMar 24, 2025 to Mar 29, 2026
- Employees · 4 to 3Mar 24, 2025 to Mar 29, 2026
- State-registered IARs · 2 to 1Mar 24, 2025 to Mar 29, 2026
- Discretionary RAUM · $190M to $231MMar 24, 2025 to Mar 29, 2026
- HNW RAUM · $132M to $191MMar 24, 2025 to Mar 29, 2026
- Individual RAUM · $55.9M to $37.0MMar 24, 2025 to Mar 29, 2026
- Pension RAUM · $7,636 to $7,642Mar 24, 2025 to Mar 29, 2026
- RAUM · $190M to $231MMar 24, 2025 to Mar 29, 2026
- Accounts · 676 to 708May 6, 2024 to Mar 24, 2025
- Corporate clients · 7 to 8May 6, 2024 to Mar 24, 2025
- HNW clients · 47 to 50May 6, 2024 to Mar 24, 2025
- Individual clients · 139 to 146May 6, 2024 to Mar 24, 2025
- Financial planning clients · 101-250 to 101-250May 6, 2024 to Mar 24, 2025
- HQ city · unset to May 6, 2024 to Mar 24, 2025
- HQ state · unset to May 6, 2024 to Mar 24, 2025
- Discretionary RAUM · $154M to $190MMay 6, 2024 to Mar 24, 2025
- HNW RAUM · $110M to $132MMay 6, 2024 to Mar 24, 2025
- Individual RAUM · $43.4M to $55.9MMay 6, 2024 to Mar 24, 2025
- Pension RAUM · $7,779 to $7,636May 6, 2024 to Mar 24, 2025
- RAUM · $154M to $190MMay 6, 2024 to Mar 24, 2025
- Accounts · 680 to 676Feb 8, 2023 to Mar 28, 2024
- Individual clients · 140 to 139Feb 8, 2023 to Mar 28, 2024
- Assets in custody · $2.0M to $6.9MFeb 8, 2023 to Mar 28, 2024
- Discretionary RAUM · $135M to $154MFeb 8, 2023 to Mar 28, 2024
- HNW RAUM · $93.3M to $110MFeb 8, 2023 to Mar 28, 2024
- Individual RAUM · $39.7M to $43.4MFeb 8, 2023 to Mar 28, 2024
- Pension RAUM · $6,214 to $7,779Feb 8, 2023 to Mar 28, 2024
- RAUM · $135M to $154MFeb 8, 2023 to Mar 28, 2024
- Accounts · 670 to 680Mar 31, 2022 to Feb 8, 2023
- Corporate clients · 3 to 7Mar 31, 2022 to Feb 8, 2023
- HNW clients · 49 to 47Mar 31, 2022 to Feb 8, 2023
- Individual clients · 138 to 140Mar 31, 2022 to Feb 8, 2023
- Pension plan clients · 0 to 1Mar 31, 2022 to Feb 8, 2023
Signals
No event on the tape.
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••••••••@f•••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 301-315-6343reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 301-315-6344reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 866-444-5122reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- w••.f•••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 866-444-5122reportedpublic record, Form ADV, Mar 29, 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
- $231Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026