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

C••••• P••••••• S•••••••• M••••••• L••

Former SEC-registered adviserBaltimore, MarylandCRD 130540SEC 801-62855IAPD
Latest filing Mar 31, 2017
First filing on the tape Dec 21, 2011 · 9 filings
RAUM
$396M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$396M as of Mar 31, 2017
Mar 29, 2012$307M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 29, 20120 then
Employees (5.A)19 as of Mar 31, 2017
Mar 26, 201321 then
Private funds: no history
RAUM +11% over the last fiscal year+5.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2017; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$49.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$396M, 8 clientsreportedItem 9.A
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$396M for 8 clientsreported
Compensation
n/areported
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
      • H•••••• D•••••• W• · Managing Membercontrol
        since 02/2004 · owns 25% to 50%
      • S••••••• J•••••• T••• · Managing Member & Chief Compliance Officercontrol
        since 06/2013 · owns less than 5%
      • T•••••• J••••• R• · Managing Membercontrol
        since 06/2013 · owns less than 5%
      • W••••••• D••••• L••• · Managing Membercontrol
        since 02/2004 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $356M to $396M
        Apr 28, 2016 to Mar 31, 2017
      • Employees · 20 to 19
        Apr 28, 2016 to Mar 31, 2017
      • Discretionary RAUM · $356M to $396M
        Apr 28, 2016 to Mar 31, 2017
      • RAUM · $356M to $396M
        Apr 28, 2016 to Mar 31, 2017
      • Advisory employees · 11 to 10
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · $294M to $356M
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 21 to 20
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $294M to $356M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $294M to $356M
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · $342M to $294M
        Mar 28, 2014 to Mar 31, 2015
      • Discretionary RAUM · $342M to $294M
        Mar 28, 2014 to Mar 31, 2015
      • RAUM · $342M to $294M
        Mar 28, 2014 to Mar 31, 2015
      • Advisory employees · 7 to 11
        Jul 30, 2013 to Mar 28, 2014
      • Assets in custody · unset to 342452067.0
        Jul 30, 2013 to Mar 28, 2014
      • Custody of client assets · false to true
        Jul 30, 2013 to Mar 28, 2014
      • Discretionary RAUM · $380M to $342M
        Jul 30, 2013 to Mar 28, 2014
      • RAUM · $380M to $342M
        Jul 30, 2013 to Mar 28, 2014
      • Discretionary RAUM · $374M to $380M
        Mar 26, 2013 to Jul 30, 2013
      • RAUM · $374M to $380M
        Mar 26, 2013 to Jul 30, 2013
      • Accounts · 4 to 8
        Mar 29, 2012 to Mar 26, 2013
      • Advisory employees · unset to 7.0
        Mar 29, 2012 to Mar 26, 2013
      • BD registered reps · unset to 0.0
        Mar 29, 2012 to Mar 26, 2013
      • Employees · unset to 21.0
        Mar 29, 2012 to Mar 26, 2013
      • Discretionary RAUM · $307M to $374M
        Mar 29, 2012 to Mar 26, 2013
      • RAUM · $307M to $374M
        Mar 29, 2012 to Mar 26, 2013
      • Insurance-licensed employees · unset to 0.0
        Dec 21, 2011 to Mar 29, 2012
      • Discretionary RAUM · $248M to $307M
        Dec 21, 2011 to Mar 29, 2012
      • RAUM · $248M to $307M
        Dec 21, 2011 to Mar 29, 2012
      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.
      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