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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

SEC-registered adviser

C•••••• A•••••••• I•••

Independent wealth managerCRD 121820SEC 801-120993IAPD
Latest filing Mar 16, 2026
First filing on the tape Jun 18, 2012 · 13 filings
SEC status approved since Jul 7, 2021
RAUM
$145M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$145M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$145M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$145M as of Mar 16, 2026
Jun 28, 2012$22.0M then
HNW client RAUM$144M as of Mar 16, 2026
Apr 4, 2022$85.0M then
State-registered IARs (5.B.3)0 as of Mar 16, 2026
Jun 28, 20120 then
Employees (5.A)1 as of Mar 16, 2026
Apr 4, 20221 then
Private funds: no history
RAUM +12% over the last fiscal year+10.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$145MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
50derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.6MderivedHNW RAUM over HNW clients
Average account
$2.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+12%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-9.1%derived
Compensation
percentage of assetsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$144M99%
  • Individuals$1.0M0.7%
Individual clients
10reported
HNW clients
40reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
50reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
S•••••• E••••• M••••Falls Church, VaMay 10, 200435 y0
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M••••• S••••••• E••••• · Managing Director/Chief Compliance Officercontrol
        since 04/1993 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 55 to 50
        Apr 2, 2025 to Mar 16, 2026
      • HNW clients · 45 to 40
        Apr 2, 2025 to Mar 16, 2026
      • Discretionary RAUM · $130M to $144M
        Apr 2, 2025 to Mar 16, 2026
      • HNW RAUM · $129M to $144M
        Apr 2, 2025 to Mar 16, 2026
      • Non-discretionary RAUM · $0 to $1.0M
        Apr 2, 2025 to Mar 16, 2026
      • RAUM · $130M to $145M
        Apr 2, 2025 to Mar 16, 2026
      • Accounts · 170 to 55
        Apr 1, 2024 to Apr 2, 2025
      • HNW clients · 60 to 45
        Apr 1, 2024 to Apr 2, 2025
      • Individual clients · 15 to 10
        Apr 1, 2024 to Apr 2, 2025
      • Financial planning clients · 0 to 0
        Apr 1, 2024 to Apr 2, 2025
      • HQ city · unset to
        Apr 1, 2024 to Apr 2, 2025
      • HQ state · unset to
        Apr 1, 2024 to Apr 2, 2025
      • Discretionary RAUM · $120M to $130M
        Apr 1, 2024 to Apr 2, 2025
      • HNW RAUM · $110M to $129M
        Apr 1, 2024 to Apr 2, 2025
      • Individual RAUM · $10.0M to $1.0M
        Apr 1, 2024 to Apr 2, 2025
      • RAUM · $120M to $130M
        Apr 1, 2024 to Apr 2, 2025
      • Accounts · 140 to 170
        May 1, 2023 to Apr 1, 2024
      • HNW clients · 25 to 60
        May 1, 2023 to Apr 1, 2024
      • Individual clients · 40 to 15
        May 1, 2023 to Apr 1, 2024
      • Discretionary RAUM · $109M to $120M
        May 1, 2023 to Apr 1, 2024
      • HNW RAUM · $86.0M to $110M
        May 1, 2023 to Apr 1, 2024
      • Individual RAUM · $23.0M to $10.0M
        May 1, 2023 to Apr 1, 2024
      • RAUM · $109M to $120M
        May 1, 2023 to Apr 1, 2024
      • Accounts · 155 to 140
        Apr 4, 2022 to Apr 6, 2023
      • Advisory employees · 0 to 1
        Apr 4, 2022 to Apr 6, 2023
      • HNW clients · 55 to 25
        Apr 4, 2022 to Apr 6, 2023
      • Individual clients · 10 to 40
        Apr 4, 2022 to Apr 6, 2023
      • Discretionary RAUM · $125M to $109M
        Apr 4, 2022 to Apr 6, 2023
      • HNW RAUM · $85.0M to $86.0M
        Apr 4, 2022 to Apr 6, 2023
      • Individual RAUM · $40.0M to $23.0M
        Apr 4, 2022 to Apr 6, 2023
      • RAUM · $125M to $109M
        Apr 4, 2022 to Apr 6, 2023
      • Accounts · 125 to 155
        Jul 6, 2021 to Apr 4, 2022
      • Advisory employees · 1 to 0
        Jul 6, 2021 to Apr 4, 2022
      • HNW clients · 70 to 55
        Jul 6, 2021 to Apr 4, 2022
      • Individual clients · 35 to 10
        Jul 6, 2021 to Apr 4, 2022
      • State-registered IARs · 1 to 0
        Jul 6, 2021 to Apr 4, 2022
      • Discretionary RAUM · $110M to $125M
        Jul 6, 2021 to Apr 4, 2022
      • HNW RAUM · $70.0M to $85.0M
        Jul 6, 2021 to Apr 4, 2022
      • RAUM · $110M to $125M
        Jul 6, 2021 to Apr 4, 2022
      • Accounts · 98 to 125
        Jun 28, 2012 to Mar 29, 2021
      Signals
      1 dated events
      • C•••••• A•••••••• I••• filed its initial SEC registration (Form ADV)
        Mar 29, 2021 · First SEC registration · fact
      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
      Principal office phone
      978-369-6060reportedpublic record, Form ADV, Mar 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
      $145Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026