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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Former SEC-registered adviser

P•••••• F••• A•••••••• I•••

Former SEC-registered adviserArnold, MarylandCRD 119130SEC 801-62271IAPD
Latest filing Mar 2, 2017
First filing on the tape Nov 16, 2011 · 15 filings
RAUM
$428M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$428M as of Mar 2, 2017
Jan 18, 2012$147M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 2, 2017
Jan 18, 20120 then
Employees (5.A)4 as of Mar 2, 2017
Feb 7, 20134 then
Private funds: no history
RAUM +29% over the last fiscal year+27% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 2, 2017; every figure names its basis
RAUM per advisor
$428MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$611,429derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+29%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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
700reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • J••••••• E•••• D••••• · Principal/Chief Compliance Officercontrol
      since 09/1997 · owns 75% or more
    Related persons
    Schedule D 7.A
    • C••••••••• M••••••••• P•••••••• L••
      pooled vehicle sponsorn
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 660 to 700
      Mar 21, 2016 to Mar 2, 2017
    • Assets in custody · 17804953.0 to unset
      Mar 21, 2016 to Mar 2, 2017
    • Custody of client assets · true to false
      Mar 21, 2016 to Mar 2, 2017
    • Discretionary RAUM · $331M to $428M
      Mar 21, 2016 to Mar 2, 2017
    • RAUM · $331M to $428M
      Mar 21, 2016 to Mar 2, 2017
    • Accounts · 631 to 660
      Dec 1, 2015 to Mar 21, 2016
    • Assets in custody · unset to 17804953.0
      Dec 1, 2015 to Mar 21, 2016
    • Custody of client assets · false to true
      Dec 1, 2015 to Mar 21, 2016
    • Discretionary RAUM · $252M to $331M
      Dec 1, 2015 to Mar 21, 2016
    • RAUM · $252M to $331M
      Dec 1, 2015 to Mar 21, 2016
    • Related adviser · true to false
      Dec 1, 2015 to Mar 21, 2016
    • HQ city · SEVERNA PARK to ARNOLD
      Jul 1, 2015 to Nov 16, 2015
    • Accounts · 535 to 631
      Oct 2, 2014 to Feb 27, 2015
    • Discretionary RAUM · $210M to $252M
      Oct 2, 2014 to Feb 27, 2015
    • RAUM · $210M to $252M
      Oct 2, 2014 to Feb 27, 2015
    • Accounts · 500 to 535
      Mar 14, 2013 to Jan 28, 2014
    • Discretionary RAUM · $200M to $210M
      Mar 14, 2013 to Jan 28, 2014
    • RAUM · $200M to $210M
      Mar 14, 2013 to Jan 28, 2014
    • Accounts · 414 to 500
      Jun 22, 2012 to Feb 7, 2013
    • Advisory employees · unset to 1.0
      Jun 22, 2012 to Feb 7, 2013
    • Employees · unset to 4.0
      Jun 22, 2012 to Feb 7, 2013
    • State-registered IARs · 0 to 1
      Jun 22, 2012 to Feb 7, 2013
    • Discretionary RAUM · $147M to $200M
      Jun 22, 2012 to Feb 7, 2013
    • RAUM · $147M to $200M
      Jun 22, 2012 to Feb 7, 2013
    • Accounts · 465 to 414
      Nov 16, 2011 to Jan 18, 2012
    • Advisory activities · 3 to 2
      Nov 16, 2011 to Jan 18, 2012
    • Insurance-licensed employees · unset to 1.0
      Nov 16, 2011 to Jan 18, 2012
    • Discretionary RAUM · $130M to $147M
      Nov 16, 2011 to Jan 18, 2012
    • RAUM · $130M to $147M
      Nov 16, 2011 to Jan 18, 2012
    • Related adviser · false to true
      Nov 16, 2011 to Jan 18, 2012
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026