DFX Intelligence
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I•• L••••• F•••••••• A••••••• L••
Independent wealth manager, based in Rockville, Maryland, reporting $189M of regulatory assets across 3 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $189M
- Advisors
- 3
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +25%
- Private clients
- 98% of RAUM, $184M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $151MRAUM now $189M
- Contact points 8
Every filed figure, and the identifiersCRD 119145 · SEC 801-66562 · 26 filingsShowHide
CRD 119145SEC 801-66562First filing on the tape Feb 14, 2012, latest Mar 24, 2026SEC status approved since Apr 10, 2006IAPD
RAUM
$189M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$184M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$62.9M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$189M as of Mar 24, 2026
Feb 14, 2012$92.6M then
HNW client RAUM$171M as of Mar 24, 2026
Mar 27, 2018$97.1M then
State-registered IARs (5.B.3)3 as of Mar 24, 2026
Feb 25, 20131 then
Employees (5.A)4 as of Mar 24, 2026
Feb 25, 20133 then
Private funds: no history
RAUM +25% over the last fiscal year+18% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 24, 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
- $62.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $546,863derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.2%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
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminars, otherreportedItem 5.G
- Custody
- $113M, 87 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$171M91%
- Individuals$13.6M7.2%
- Pension and profit-sharing plans$4.2M2.2%
- Individual clients
- 38reported
- HNW clients
- 64reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 345reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $113M for 87 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| C••••••••• N••• B••••Certified Financial Planner | Rockville, Md | Jan 7, 2003 | 29 y | 0 |
| M•••••• S••••••Certified Financial Planner | Rockville, Md | Jan 18, 2021 | 12 y | 0 |
| L••• A••• C•••••••Certified Financial Planner | Rockville, Md | Nov 17, 2023 | 20 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
- B••••• C••••••••• N••• · Managing Member & Chief Compliance Officercontrolsince 01/1999 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Rockville, Md · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 331 to 345Mar 8, 2025 to Mar 24, 2026
- HNW clients · 57 to 64Mar 8, 2025 to Mar 24, 2026
- Pension plan clients · unset to 1.0Mar 8, 2025 to Mar 24, 2026
- Assets in custody · $110M to $113MMar 8, 2025 to Mar 24, 2026
- Discretionary RAUM · $151M to $189MMar 8, 2025 to Mar 24, 2026
- HNW RAUM · $136M to $171MMar 8, 2025 to Mar 24, 2026
- Individual RAUM · $10.7M to $13.6MMar 8, 2025 to Mar 24, 2026
- Pension RAUM · unset to 4213915.0Mar 8, 2025 to Mar 24, 2026
- RAUM · $151M to $189MMar 8, 2025 to Mar 24, 2026
- Accounts · 304 to 331Mar 7, 2024 to Mar 8, 2025
- HNW clients · 50 to 57Mar 7, 2024 to Mar 8, 2025
- Individual clients · 32 to 38Mar 7, 2024 to Mar 8, 2025
- Assets in custody · $94.6M to $110MMar 7, 2024 to Mar 8, 2025
- Financial planning clients · 51-100 to 51-100Mar 7, 2024 to Mar 8, 2025
- Discretionary RAUM · $134M to $151MMar 7, 2024 to Mar 8, 2025
- HNW RAUM · $119M to $136MMar 7, 2024 to Mar 8, 2025
- Individual RAUM · $10.9M to $10.7MMar 7, 2024 to Mar 8, 2025
- Pension RAUM · 3838887.0 to unsetMar 7, 2024 to Mar 8, 2025
- RAUM · $134M to $151MMar 7, 2024 to Mar 8, 2025
- Accounts · 321 to 304Dec 19, 2023 to Mar 6, 2024
- HNW clients · 47 to 50Dec 19, 2023 to Mar 6, 2024
- Individual clients · 44 to 32Dec 19, 2023 to Mar 6, 2024
- Assets in custody · $77.1M to $94.6MDec 19, 2023 to Mar 6, 2024
- Discretionary RAUM · $115M to $134MDec 19, 2023 to Mar 6, 2024
- HNW RAUM · $98.6M to $119MDec 19, 2023 to Mar 6, 2024
- Individual RAUM · $13.3M to $10.9MDec 19, 2023 to Mar 6, 2024
- Pension RAUM · $3.2M to $3.8MDec 19, 2023 to Mar 6, 2024
- RAUM · $115M to $134MDec 19, 2023 to Mar 6, 2024
- State-registered IARs · 2 to 3Mar 15, 2023 to Dec 19, 2023
- Other offices · 1 to 0Mar 15, 2023 to Dec 19, 2023
- Accounts · 323 to 321Nov 4, 2022 to Mar 14, 2023
- HNW clients · 52 to 47Nov 4, 2022 to Mar 14, 2023
- Individual clients · 41 to 44Nov 4, 2022 to Mar 14, 2023
- Assets in custody · $84.3M to $77.1MNov 4, 2022 to Mar 14, 2023
- Discretionary RAUM · $134M to $115MNov 4, 2022 to Mar 14, 2023
- HNW RAUM · $119M to $98.6MNov 4, 2022 to Mar 14, 2023
- Individual RAUM · $11.9M to $13.3MNov 4, 2022 to Mar 14, 2023
- Pension RAUM · $3.5M to $3.2MNov 4, 2022 to Mar 14, 2023
- RAUM · $134M to $115MNov 4, 2022 to Mar 14, 2023
- Accounts · 349 to 323Mar 30, 2021 to Mar 29, 2022
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
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 24, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- ••• Lockedreportedpublished 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
- $62.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026