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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SEC-registered adviser
W•••••••••
Legal name S•• F••••••••• I•••
Latest filing Mar 25, 2026
First filing on the tape Mar 28, 2012 · 29 filings
SEC status approved since May 9, 2005
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$1.5B individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$192M
derived; firm RAUM over IAPD count
Employees
18
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$1.5B as of Mar 25, 2026
Mar 28, 2012$299M then
HNW client RAUM$1.5B as of Mar 25, 2026
Mar 28, 2018$546M then
State-registered IARs (5.B.3)8 as of Mar 25, 2026
Mar 28, 20120 then
Employees (5.A)18 as of Mar 25, 2026
Apr 1, 20139 then
Private funds: no history
RAUM +28% over the last fiscal year+16% a year over threeIARs 7 to 8
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $192MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.6MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $804M, 318 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
- 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)
- 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
- High-net-worth individuals$1.5B97%
- Charitable organizations$24.9M1.6%
- Individuals$24.6M1.6%
- Individual clients
- 69reported
- HNW clients
- 197reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 1,318reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $804M for 318 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• K•••• K•••Certified Financial Planner | Richmond, Va | Jun 17, 2005 | 22 y | 0 |
| A••••• L••• B•••••••• | Richmond, Va | Jul 20, 2005 | 23 y | 1 |
| S•••••••• F•••• S•••••Certified Financial Planner, Personal Financial Specialist | Richmond, Va | Dec 1, 2006 | 20 y | 0 |
| C••••• E••••• C••••••••Certified Financial Planner | Richmond, Va | May 14, 2007 | 38 y | 1 |
| J••••••• B•••••Certified Financial Planner | Richmond, Va | Jan 22, 2019 | 11 y | 0 |
| K•••• B•••••• H•••••• | Richmond, Va | Sep 1, 2020 | 13 y | 0 |
| M••••••• J•••• C••••••Certified Financial Planner | Richmond, Va | Aug 24, 2022 | 13 y | 0 |
| J••• C••••••••• W•••••••Certified Financial Planner | Richmond, Va | Sep 9, 2022 | 12 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 headcount1 left over 36 months
Left, latest
- M•••••• C••••• R•••• to E••••••• A•••••Jul 15, 2024 · RIA to a state-registered adviser
- S•••• F••••••• H••••• to H•••••••• W••••• A•••••••• L••Sep 1, 2021 · RIA to RIA
- N••••• C•••••••• H••••• to W••••••• I••••••••• C••••••• L••Feb 16, 2021 · RIA to RIA
- C•••••••• E•••••• M•••••• to S••• F•••••••• A•••••••Apr 15, 2020 · RIA to RIA
- N••••••• R•••• B••••••• to C••••• B•••••• W••••• M••••••••• L••Oct 17, 2018 · RIA to RIA
- M•••••• C••••• R•••• to A•••• F••••••••Jun 9, 2017 · Other
Joined, latest
- M•••••• C••••• R•••• from A•••• F••••••••Dec 4, 2018 · Other
- N••••••• R•••• B••••••• from C••••• B•••••• W••••• M••••••••• L••Sep 12, 2018 · RIA to RIA
- S•••• F••••••• H••••• from S••••••• I••••••••• S•••••••• I•••Apr 19, 2018 · Other
- C•••••••• E•••••• M•••••• from M••••• S••••••Sep 27, 2017 · Other
- C••••• E••••• C•••••••• from S••••••• I••••••••• S•••••••• I•••May 14, 2007 · Other
- A••••• L••• B•••••••• from E•••• • Y•••• I••••••••• A••••••• L••Jul 20, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• J••••••• · Partnercontrolsince 03/2024 · owns less than 5%
- B••••••••• A•••••• L••• · Chief Executive Officer / Partnercontrolsince 04/2005 · owns 25% to 50%
- C••••••••• C•••••• E••••• · Director / Partnercontrolsince 03/2014 · owns 5% to 10%
- K•••• J•••• K•••• · Presidentcontrolsince 04/2005 · owns 25% to 50%
- P••••• C••••••••• A••••• · Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
- S•••••• S••••••••• F•••• · Director / Partnercontrolsince 03/2014 · owns 25% to 50%
- W•••••••• J•••• C••••••••• · Senior Tax Advisor / Partner Officersince 01/2020 · owns 5% to 10%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Richmond, Va · principal | 7 | 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
- control person changedChange between filings · filing Mar 25, 2026P••••• C••••••••• A••••• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-03-27 and 2026-03-25peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,289 to 1,318Jan 7, 2026 to Mar 25, 2026
- Advisory employees · 10 to 13Jan 7, 2026 to Mar 25, 2026
- HNW clients · 169 to 197Jan 7, 2026 to Mar 25, 2026
- Individual clients · 83 to 69Jan 7, 2026 to Mar 25, 2026
- Assets in custody · $8.3M to $804MJan 7, 2026 to Mar 25, 2026
- Employees · 19 to 18Jan 7, 2026 to Mar 25, 2026
- State-registered IARs · 7 to 8Jan 7, 2026 to Mar 25, 2026
- Discretionary RAUM · $1.2B to $1.5BJan 7, 2026 to Mar 25, 2026
- HNW RAUM · $1.1B to $1.5BJan 7, 2026 to Mar 25, 2026
- Individual RAUM · $43.8M to $24.6MJan 7, 2026 to Mar 25, 2026
- RAUM · $1.2B to $1.5BJan 7, 2026 to Mar 25, 2026
- Accounts · 1,315 to 1,289Feb 26, 2025 to Mar 14, 2025
- Advisory employees · 8 to 10Feb 26, 2025 to Mar 14, 2025
- HNW clients · 162 to 169Feb 26, 2025 to Mar 14, 2025
- Individual clients · 99 to 83Feb 26, 2025 to Mar 14, 2025
- Assets in custody · $504M to $8.3MFeb 26, 2025 to Mar 14, 2025
- Employees · 18 to 19Feb 26, 2025 to Mar 14, 2025
- Financial planning clients · 251-500 to 251-500Feb 26, 2025 to Mar 14, 2025
- State-registered IARs · 9 to 7Feb 26, 2025 to Mar 14, 2025
- Discretionary RAUM · $1.1B to $1.2BFeb 26, 2025 to Mar 14, 2025
- HNW RAUM · $1.1B to $1.1BFeb 26, 2025 to Mar 14, 2025
- Individual RAUM · $37.4M to $43.8MFeb 26, 2025 to Mar 14, 2025
- RAUM · $1.1B to $1.2BFeb 26, 2025 to Mar 14, 2025
- Business name · S•• F••••••••• I••• to W•••••••••Oct 16, 2024 to Feb 26, 2025
- Accounts · 1,303 to 1,315Jul 6, 2023 to Mar 27, 2024
- Charity clients · unset to 1.0Jul 6, 2023 to Mar 27, 2024
- HNW clients · 182 to 162Jul 6, 2023 to Mar 27, 2024
- Individual clients · 85 to 99Jul 6, 2023 to Mar 27, 2024
- Assets in custody · $512M to $504MJul 6, 2023 to Mar 27, 2024
- Financial planning clients · 101-250 to 251-500Jul 6, 2023 to Mar 27, 2024
- State-registered IARs · 8 to 9Jul 6, 2023 to Mar 27, 2024
- Discretionary RAUM · $994M to $1.1BJul 6, 2023 to Mar 27, 2024
- HNW RAUM · $952M to $1.1BJul 6, 2023 to Mar 27, 2024
- Individual RAUM · $23.3M to $37.4MJul 6, 2023 to Mar 27, 2024
- RAUM · $994M to $1.1BJul 6, 2023 to Mar 27, 2024
- Accounts · 1,264 to 1,303Mar 7, 2022 to Mar 29, 2023
- Advisory employees · 7 to 8Mar 7, 2022 to Mar 29, 2023
- HNW clients · 168 to 182Mar 7, 2022 to Mar 29, 2023
- Individual clients · 86 to 85Mar 7, 2022 to Mar 29, 2023
- Assets in custody · $550M to $512MMar 7, 2022 to Mar 29, 2023
Signals
6 dated events
- K•••• B•••••• H•••••• no longer holds an investment adviser registration (last listed at Wealthcrossing on the 2026-09-17 feed)Sep 17, 2026 · Advisor registration ended · derived
- Wealthcrossing reported RAUM $1.5B, up 28% from $1.2B (2026-01-07 to 2026-03-25)Mar 25, 2026 · RAUM change · derived
- M•••••• C••••• R•••• left Wealthcrossing for E••••••• A••••• (registered 2024-10-07)Jul 15, 2024 · Advisor changed firm · fact
- J••••••• B••••• (Partner) appeared on Schedule A of WealthcrossingMar 27, 2024 · Control person joined · fact
- Andrew Constantine Pelos (Chief Compliance Officer) appeared on Schedule A of WealthcrossingJul 6, 2023 · Control person joined · fact
- Wealthcrossing reported RAUM $793.9M, up 38% from $574.3M (2020-02-07 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
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
- info@wealth-crossing.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 804-237-1700reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- WEALTH-CROSSING.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 804-237-1700reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- wealth-crossing.com/contact-consult-with-financial-advisorreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- wealth-crossing.com/about/our-team-personal-financial-advisoreportedpublished by the firm, firm site, Sep 15, 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
- $192Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026