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
A••• F•••••••• M••••••••• C••
Latest filing Jan 30, 2026
First filing on the tape Feb 3, 2025 · 4 filings
SEC status approved since Mar 5, 2025
RAUM
$117M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
99%
$116M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$58.4M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$117M as of Jan 30, 2026
Feb 3, 2025$106M then
HNW client RAUM$81.1M as of Jan 30, 2026
Feb 3, 2025$72.4M then
State-registered IARs (5.B.3)2 as of Jan 30, 2026
Feb 3, 20252 then
Employees (5.A)2 as of Jan 30, 2026
Feb 3, 20252 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jan 30, 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
- RAUM per advisor
- $58.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $412,846derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
- High-net-worth individuals$81.1M69%
- Individuals$34.5M29%
- Corporations and businesses$1.3M1.1%
- Individual clients
- 42reported
- HNW clients
- 42reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 283reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• H•••••• S••••Certified Financial Planner | Eldersburg, Md | Jun 20, 2018 | 11 y | 1 |
| R••• A•••Certified Financial Planner, Personal Financial Specialist | Eldersburg, Md | Jan 1, 2026 | 35 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
- L••••• P•• W••••• to W•• P•••••••• L••Nov 4, 2015 · Other
- C•••• P••• F•••• to B••• I••••••••• S•••••••• I•••Oct 31, 2012 · RIA to a newly registered adviser
Joined, latest
- S••••• H•••••• S•••• from P••••••• S•••••••• G••••• L••Jun 20, 2018 · RIA to RIA
- L••••• P•• W••••• from O•••• F•• I•••Feb 4, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Eldersburg, Md | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 285 to 283Aug 6, 2025 to Jan 30, 2026
- HNW clients · 43 to 42Aug 6, 2025 to Jan 30, 2026
- Individual clients · 45 to 42Aug 6, 2025 to Jan 30, 2026
- Discretionary RAUM · $98.7M to $110MAug 6, 2025 to Jan 30, 2026
- HNW RAUM · $72.4M to $81.1MAug 6, 2025 to Jan 30, 2026
- Individual RAUM · $32.0M to $34.5MAug 6, 2025 to Jan 30, 2026
- Non-discretionary RAUM · $6.9M to $6.5MAug 6, 2025 to Jan 30, 2026
- RAUM · $106M to $117MAug 6, 2025 to Jan 30, 2026
- Financial planning clients · 0 to 0Mar 7, 2025 to Aug 6, 2025
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 phone
- 410-307-1202reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 443-812-5459reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/abel-financial-management-companyreportedpublic record, Form ADV, Sep 18, 2026
- Website
- A•••-FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 443-812-5459reportedpublic record, Form ADV, Jan 30, 2026
- Team page
- abel-financial.com/who-we-arereportedpublished 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
- $58.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026