DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

R•••••• W••••• M••••••••• L••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $134M of regulatory assets across 2 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-04-15 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $134M
Advisors: 2
Net advisor flow, 12 months: 0
Private clients: 100%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-04-15 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 125254 · SEC 801-135754 · 1 filingShow

CRD 125254SEC 801-135754First filing on the tape Apr 15, 2026, latest Apr 15, 2026SEC status approved since Apr 3, 2026IAPD

RAUM

$134M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

100%

$134M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$66.8M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

1 filing and snapshots on the tape

Filed figures over time · the tape starts Apr 15, 2026

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM: $134M

HNW client RAUM: $122M

State-registered IARs (5.B.3): 2

Employees (5.A): 2

Private funds: no history

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Apr 15, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $66.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 29derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.3MderivedHNW RAUM over HNW clients
Average account: $741,687derivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%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: 2.0derived1 office 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 assets, hourly, fixed feesreportedItem 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

receives research or other products from a broker-dealer, soft dollars (8.E)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

91% high-net-worth individuals, 8.8% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$122M91%
Individuals$11.7M8.8%

Individual clients: 20reported
HNW clients: 37reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 180reported
Financial planning clients: 11-25reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

P•••• J•••• R•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Apr 7, 2003 · Wirehouse to independent RIA

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
P•••• J•••• R••••••Certified Financial Planner	Clifton, Va	Apr 7, 2003	31 y	1
S••• A•••••••• P•••••	Clifton, Va	Jan 9, 2024	13 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

P•••••• S•••• A•••••••• · Chief Compliance Officercontrol
since 01/2026 · owns less than 5%

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
Clifton, Va	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

low discretionary shareStatic outlier · filing Apr 15, 2026
discretionary share of RAUM of 0% against a peer median of 100% (5683 comparable advisers, 0.0th percentile, 33.7 robust deviations)
peers: independent wealth managers, $100M to $500M (5,683) · 0.0% percentile

How anomalies are measured

What changed

consecutive filings, newest first

One filing, no change to show.

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 email: ••• Lockedreportedpublished by the firm, firm site, Sep 24, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Apr 15, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Apr 15, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $66.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: RAUM change, 1 year.