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
C••••••••• I••••••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jan 31, 2012 · 19 filings
SEC status approved since Feb 21, 2002
RAUM
$205M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$195M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$29.3M
derived; firm RAUM over IAPD count
Employees
7
4 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$205M as of Mar 31, 2026
Mar 30, 2012$101M then
HNW client RAUM$195M as of Mar 31, 2026
Mar 28, 2018$122M then
State-registered IARs (5.B.3)7 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)7 as of Mar 31, 2026
Mar 27, 20136 then
Private funds: no history
RAUM -0.5% over the last fiscal year+8.6% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 31, 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
- RAUM per advisor
- $29.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $498,721derivedHNW RAUM over HNW clients
- Average account
- $518,987derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$195M95%
- Charitable organizations$10.0M4.9%
- Individual clients
- n/areported
- HNW clients
- 391reported
- Pension plan clients
- n/areported
- Charitable clients
- 4reported
- Accounts
- 395reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••••• A•••••• S••••• | Mclean, Va | Jan 6, 2010 | 25 y | 2 |
| M•••• T••••• C•••••Certified Financial Planner | Jan 6, 2010 | 23 y | 2 | |
| M•••••• S• B•••••Certified Financial Planner | Mclean, Va | Jan 6, 2010 | 26 y | 4 |
| S•••• E••••• B••• | Mclean, Va | Jan 6, 2010 | 44 y | 1 |
| B•••••• L•••••••• F•••• | Jun 14, 2010 | 34 y | 2 | |
| J••• A••••• E••••••Chartered Financial Analyst | Mclean, Va | Mar 26, 2012 | 23 y | 3 |
| W••••• S•••••• R••• | Mclean, Va | Feb 11, 2025 | 13 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
- B•••••• N••• B•••• to L•• F•••••••• L••Oct 12, 2011 · Other
Joined, latest
- W••••• S•••••• R••• from F•••••• F•••••••• A•••••••• L••Feb 11, 2025 · Affiliated broker-dealer or bank to independent RIA
- J••• A••••• E•••••• from E•••••• W••••• M••••••••• L••Mar 26, 2012 · Other
- B•••••• L•••••••• F•••• from P••••••• I••••••••• A•••••••• L••Jun 14, 2010 · Other
- B•••••• N••• B•••• from C•••••• C•••••••••Nov 10, 2009 · Other
- M•••• T••••• C••••• from P•••••• F••••••••Mar 3, 2009 · Other
- M•••••• S• B••••• from B••••• • C••••••• L••May 28, 2007 · Other
- E••••• A•••••• S••••• from F••••• N•••• F•••••• D•••••• I•••••••••Feb 7, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• S••••• E••••• · President, Chief Compliance Officercontrolsince 01/2002 · owns 75% or more
- S•••••• E•••••• A•••••• · Vice President, Ctocontrolsince 01/2005 · owns 25% to 50%
Related persons
Schedule D 7.A
- M•••• C•••••investment advisern
- M•••••• S• B•••••investment adviserreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mclean, Va · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- BD registered reps · 0 to 4Mar 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $206M to $205MMar 27, 2025 to Mar 31, 2026
- HNW RAUM · $196M to $195MMar 27, 2025 to Mar 31, 2026
- RAUM · $206M to $205MMar 27, 2025 to Mar 31, 2026
- Accounts · 150 to 395Mar 22, 2024 to Mar 27, 2025
- Advisory employees · 3 to 4Mar 22, 2024 to Mar 27, 2025
- HNW clients · 146 to 391Mar 22, 2024 to Mar 27, 2025
- Employees · 6 to 7Mar 22, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Mar 22, 2024 to Mar 27, 2025
- State-registered IARs · 6 to 7Mar 22, 2024 to Mar 27, 2025
- Discretionary RAUM · $160M to $206MMar 22, 2024 to Mar 27, 2025
- HNW RAUM · $150M to $196MMar 22, 2024 to Mar 27, 2025
- RAUM · $160M to $206MMar 22, 2024 to Mar 27, 2025
- Accounts · 140 to 150Mar 10, 2022 to Mar 6, 2023
- HNW clients · 136 to 146Mar 10, 2022 to Mar 6, 2023
- Discretionary RAUM · $140M to $160MMar 10, 2022 to Mar 6, 2023
- HNW RAUM · $130M to $150MMar 10, 2022 to Mar 6, 2023
- RAUM · $140M to $160MMar 10, 2022 to Mar 6, 2023
- Accounts · 250 to 140Mar 18, 2021 to Mar 10, 2022
- Charity clients · unset to 4.0Mar 18, 2021 to Mar 10, 2022
- HNW clients · 140 to 136Mar 18, 2021 to Mar 10, 2022
- Accounts · 140 to 250Jun 30, 2020 to Mar 18, 2021
- Discretionary RAUM · $120M to $140MJun 30, 2020 to Mar 18, 2021
- HNW RAUM · $125M to $130MJun 30, 2020 to Mar 18, 2021
- Non-discretionary RAUM · $5.0M to $0Jun 30, 2020 to Mar 18, 2021
- RAUM · $125M to $140MJun 30, 2020 to Mar 18, 2021
- Discretionary RAUM · $117M to $120MMar 28, 2018 to Mar 20, 2019
- HNW RAUM · $122M to $125MMar 28, 2018 to Mar 20, 2019
- RAUM · $122M to $125MMar 28, 2018 to Mar 20, 2019
- Accounts · 181 to 140Apr 3, 2017 to Mar 28, 2018
- HNW clients · unset to 140.0Apr 3, 2017 to Mar 28, 2018
- State-registered IARs · 5 to 6Apr 3, 2017 to Mar 28, 2018
- Other offices · unset to 0.0Apr 3, 2017 to Mar 28, 2018
- Discretionary RAUM · $96.0M to $117MApr 3, 2017 to Mar 28, 2018
- HNW RAUM · unset to 122000000.0Apr 3, 2017 to Mar 28, 2018
- Non-discretionary RAUM · $4.0M to $5.0MApr 3, 2017 to Mar 28, 2018
- RAUM · $100M to $122MApr 3, 2017 to Mar 28, 2018
- Accounts · 124 to 181Nov 10, 2016 to Apr 3, 2017
- Discretionary RAUM · $98.5M to $96.0MNov 10, 2016 to Apr 3, 2017
- Non-discretionary RAUM · $2.0M to $4.0MNov 10, 2016 to Apr 3, 2017
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•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 202-821-1530reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- C•••••••••IM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 202-821-1530reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $29.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026