DFX Intelligence
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SEC-registered adviser
C•••••• F••••••••• L••
Latest filing Aug 20, 2026
First filing on the tape May 5, 2025 · 3 filings
SEC status approved since Jun 4, 2025
RAUM
$159M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
23%
$35.9M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$79.7M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$159M as of Aug 20, 2026
May 5, 2025$141M then
HNW client RAUM$23.7M as of Aug 20, 2026
May 5, 2025$11.9M then
State-registered IARs (5.B.3)2 as of Aug 20, 2026
May 5, 20251 then
Employees (5.A)2 as of Aug 20, 2026
May 5, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 20, 2026; every figure names its basis
- RAUM per advisor
- $79.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $741,841derivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 3.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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
- portfolio management for individuals, portfolio management for businesses and institutions, 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$23.7M57%
- Individuals$12.2M29%
- Pension and profit-sharing plans$5.8M14%
- Individual clients
- 23reported
- HNW clients
- 32reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 82reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.23 fund_share=0.0 institutional_share=0.04 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 |
|---|---|---|---|---|
| J•••• H••• W••• | Olney, Md | May 23, 1991 | 40 y | 0 |
| B•••• K••••••• W••• | Olney, Md | Jun 26, 2025 | 13 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
- S••••• G••• G••••• to L••• M•••• W••• W•••••• I•••••••••Feb 3, 2004 · Other
Joined, latest
none on the tape
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 |
|---|---|---|---|---|---|
| Olney, Md · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Corporate clients · 2 to 0May 5, 2025 to Mar 31, 2026
- Accounts · 85 to 82May 5, 2025 to Mar 31, 2026
- Advisory employees · 1 to 2May 5, 2025 to Mar 31, 2026
- HNW clients · 10 to 32May 5, 2025 to Mar 31, 2026
- Individual clients · 56 to 23May 5, 2025 to Mar 31, 2026
- Pension plan clients · 0 to 2May 5, 2025 to Mar 31, 2026
- Employees · 1 to 2May 5, 2025 to Mar 31, 2026
- State-registered IARs · 1 to 2May 5, 2025 to Mar 31, 2026
- Discretionary RAUM · $119M to $140MMay 5, 2025 to Mar 31, 2026
- HNW RAUM · $11.9M to $23.7MMay 5, 2025 to Mar 31, 2026
- Individual RAUM · $30.9M to $12.2MMay 5, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $21.9M to $19.9MMay 5, 2025 to Mar 31, 2026
- Pension RAUM · $0 to $5.8MMay 5, 2025 to Mar 31, 2026
- RAUM · $141M to $159MMay 5, 2025 to Mar 31, 2026
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
- 301-260-7783reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 301-260-8575reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 877-527-5966reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.c••••••••.comreportedpublic record, Form ADV, Aug 20, 2026
- Principal office phone
- 301-260-8575reportedpublic record, Form ADV, Aug 20, 2026
- Contact form
- c••••••••.comreportedpublished 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $79.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026