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
C••••• F•••••••• G••••• L••
Latest filing Jan 24, 2024
First filing on the tape Mar 22, 2012 · 25 filings
RAUM
$368M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$363M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$368M as of Jan 23, 2024
Mar 22, 2012$118M then
HNW client RAUM$324M as of Jan 23, 2024
Mar 24, 2018$153M then
State-registered IARs (5.B.3)2 as of Jan 23, 2024
Mar 22, 20120 then
Employees (5.A)6 as of Jan 23, 2024
Mar 26, 20134 then
Private funds: no history
RAUM +26% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 24, 2024; every figure names its basis
- RAUM per advisor
- $184MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 84derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $341,277derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $28.2M, 38 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$324M88%
- Individuals$39.0M11%
- Pension and profit-sharing plans$4.7M1.3%
- Individual clients
- 54reported
- HNW clients
- 113reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,077reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $28.2M for 38 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
Left, latest
- M••••••• M••• C••••• to C••••••••• W•••••• L••Mar 11, 2024 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• M•••••••• M••• · Managing Member, President, And Chief Compliance Officercontrolsince 01/2002 · owns 75% or more
Related persons
Schedule D 7.A
- E•••••• I••••••••• G••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Clarksville, Md | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,093 to 1,077Aug 31, 2023 to Jan 23, 2024
- Individual clients · 53 to 54Aug 31, 2023 to Jan 23, 2024
- Assets in custody · $27.8M to $28.2MAug 31, 2023 to Jan 23, 2024
- Discretionary RAUM · $290M to $365MAug 31, 2023 to Jan 23, 2024
- HNW RAUM · $254M to $324MAug 31, 2023 to Jan 23, 2024
- Individual RAUM · $36.2M to $39.0MAug 31, 2023 to Jan 23, 2024
- Non-discretionary RAUM · $2.4M to $2.5MAug 31, 2023 to Jan 23, 2024
- Pension RAUM · $2.4M to $4.7MAug 31, 2023 to Jan 23, 2024
- RAUM · $293M to $368MAug 31, 2023 to Jan 23, 2024
- Accounts · 988 to 1,093Nov 2, 2022 to Mar 28, 2023
- HNW clients · 109 to 113Nov 2, 2022 to Mar 28, 2023
- Assets in custody · $20.7M to $27.8MNov 2, 2022 to Mar 28, 2023
- Discretionary RAUM · $319M to $290MNov 2, 2022 to Mar 28, 2023
- HNW RAUM · $284M to $254MNov 2, 2022 to Mar 28, 2023
- Individual RAUM · $35.1M to $36.2MNov 2, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $2.5M to $2.4MNov 2, 2022 to Mar 28, 2023
- Pension RAUM · $1.9M to $2.4MNov 2, 2022 to Mar 28, 2023
- RAUM · $321M to $293MNov 2, 2022 to Mar 28, 2023
- Accounts · 970 to 988Oct 7, 2021 to Mar 23, 2022
- HNW clients · 106 to 109Oct 7, 2021 to Mar 23, 2022
- Individual clients · 50 to 53Oct 7, 2021 to Mar 23, 2022
- Assets in custody · $18.5M to $20.7MOct 7, 2021 to Mar 23, 2022
- Employees · 5 to 6Oct 7, 2021 to Mar 23, 2022
- Other offices · 3 to 4Oct 7, 2021 to Mar 23, 2022
- Discretionary RAUM · $255M to $319MOct 7, 2021 to Mar 23, 2022
- HNW RAUM · $228M to $284MOct 7, 2021 to Mar 23, 2022
- Individual RAUM · $28.4M to $35.1MOct 7, 2021 to Mar 23, 2022
- Non-discretionary RAUM · $2.5M to $2.5MOct 7, 2021 to Mar 23, 2022
- Pension RAUM · $1.2M to $1.9MOct 7, 2021 to Mar 23, 2022
- RAUM · $258M to $321MOct 7, 2021 to Mar 23, 2022
- Assets in custody · unset to 18540305.0Mar 22, 2021 to Oct 5, 2021
- Custody of client assets · false to trueMar 22, 2021 to Oct 5, 2021
- Accounts · 1,023 to 970Jun 11, 2020 to Mar 19, 2021
- HNW clients · 114 to 106Jun 11, 2020 to Mar 19, 2021
- Individual clients · 52 to 50Jun 11, 2020 to Mar 19, 2021
- Employees · 4 to 5Jun 11, 2020 to Mar 19, 2021
- Discretionary RAUM · $213M to $255MJun 11, 2020 to Mar 19, 2021
- HNW RAUM · $191M to $228MJun 11, 2020 to Mar 19, 2021
- Individual RAUM · $23.7M to $28.4MJun 11, 2020 to Mar 19, 2021
- Non-discretionary RAUM · $4.7M to $2.5MJun 11, 2020 to Mar 19, 2021
Signals
1 dated events
- M••••••• M••• C••••• left C••••• F•••••••• G••••• L•• for C••••••••• W•••••• L•• (registered 2024-03-05)Mar 11, 2024 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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