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

R••••••••• C••

Former SEC-registered adviserTysons Corner, VirginiaCRD 122774SEC 801-121266IAPD
Legal name A•••• H•••••• G••••• L••
Latest filing Dec 15, 2022
First filing on the tape Jan 23, 2012 · 9 filings
RAUM
$107M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$106M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
9 filings and snapshots on the tape
RAUM$107M as of Mar 18, 2022
Mar 26, 2012$18.8M then
HNW client RAUM: $12.7M
State-registered IARs (5.B.3)1 as of Mar 18, 2022
Mar 26, 20120 then
Employees (5.A): 1
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Dec 15, 2022; every figure names its basis
RAUM per advisor
$107MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
59derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$395,366derivedHNW RAUM over HNW clients
Average account
$680,114derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
1.2%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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 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
  • Individuals$93.5M87%
  • High-net-worth individuals$12.7M12%
  • Pension and profit-sharing plans$1.3M1.2%
Individual clients
27reported
HNW clients
32reported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
158reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
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
      • S••••• F•••• T••••• · Managing Member/Managing Director/Chief Compliance Officercontrol
        since 08/2002 · owns 75% or more
      • S••••• K•••••••• M••••• · Executor Of The Estate Of F••• S••••control
        since 12/2022 · owns less than 5%
      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 · 42 to 158
        Apr 20, 2021 to Mar 18, 2022
      • HNW clients · 28 to 32
        Apr 20, 2021 to Mar 18, 2022
      • Individual clients · 22 to 27
        Apr 20, 2021 to Mar 18, 2022
      • Discretionary RAUM · $100M to $106M
        Apr 20, 2021 to Mar 18, 2022
      • HNW RAUM · $86.0M to $12.7M
        Apr 20, 2021 to Mar 18, 2022
      • Individual RAUM · $14.0M to $93.5M
        Apr 20, 2021 to Mar 18, 2022
      • Non-discretionary RAUM · $2.9M to $1.3M
        Apr 20, 2021 to Mar 18, 2022
      • Pension RAUM · $1.4M to $1.3M
        Apr 20, 2021 to Mar 18, 2022
      • RAUM · $103M to $107M
        Apr 20, 2021 to Mar 18, 2022
      • Accounts · 59 to 42
        Sep 12, 2012 to Apr 20, 2021
      • Advisory employees · unset to 1.0
        Sep 12, 2012 to Apr 20, 2021
      • Advisory activities · 3 to 2
        Sep 12, 2012 to Apr 20, 2021
      • Business name · A•••• H•••••• G••••• L•• to R••••••••• C••
        Sep 12, 2012 to Apr 20, 2021
      • HNW clients · unset to 28.0
        Sep 12, 2012 to Apr 20, 2021
      • Individual clients · unset to 22.0
        Sep 12, 2012 to Apr 20, 2021
      • Pension plan clients · unset to 1.0
        Sep 12, 2012 to Apr 20, 2021
      • Employees · unset to 1.0
        Sep 12, 2012 to Apr 20, 2021
      • HQ city · unset to TYSONS CORNER
        Sep 12, 2012 to Apr 20, 2021
      • HQ state · unset to VA
        Sep 12, 2012 to Apr 20, 2021
      • State-registered IARs · 0 to 1
        Sep 12, 2012 to Apr 20, 2021
      • Other offices · unset to 0.0
        Sep 12, 2012 to Apr 20, 2021
      • Discretionary RAUM · $18.8M to $100M
        Sep 12, 2012 to Apr 20, 2021
      • HNW RAUM · unset to 86048000.0
        Sep 12, 2012 to Apr 20, 2021
      • Individual RAUM · unset to 14031000.0
        Sep 12, 2012 to Apr 20, 2021
      • Non-discretionary RAUM · $0 to $2.9M
        Sep 12, 2012 to Apr 20, 2021
      • Pension RAUM · unset to 1444000.0
        Sep 12, 2012 to Apr 20, 2021
      • RAUM · $18.8M to $103M
        Sep 12, 2012 to Apr 20, 2021
      Signals
      5 dated events
      • Matthew Richard Grennell no longer registered at R••••••••• C••; no later IA registration on IAPD
        Mar 2, 2023 · Advisor departure · fact
      • James Thomas Palermo no longer registered at R••••••••• C••; no later IA registration on IAPD
        Mar 2, 2023 · Advisor departure · fact
      • Daniel Joseph Toledo no longer registered at R••••••••• C••; no later IA registration on IAPD
        Mar 2, 2023 · Advisor departure · fact
      • M••••• K••••••• S•••• (Executor Of The Estate Of Femi S••••) appeared on Schedule A of R••••••••• C••
        Dec 4, 2022 · Control person joined · fact
      • R••••••••• C•• filed its initial SEC registration (Form ADV)
        Apr 20, 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.
      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