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
O•••• W••••• M••••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Dec 14, 2011 · 33 filings
SEC status approved since Jan 19, 2018
RAUM
$310M
reported, Item 5.F
Discretionary
29%
of RAUM
Private clients
99%
$306M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$77.4M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$310M as of Mar 20, 2026
Mar 21, 2012$60.5M then
HNW client RAUM$298M as of Mar 20, 2026
Mar 29, 2018$84.4M then
State-registered IARs (5.B.3)4 as of Mar 20, 2026
Mar 21, 20120 then
Employees (5.A)7 as of Mar 20, 2026
Mar 29, 20185 then
Private funds: no history
RAUM +20% over the last fiscal year+15% a year over threeIARs 6 to 4
Practice profile
derived from the filing of Mar 20, 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
- $77.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $2.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 29%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $5.3M, 53 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$298M96%
- Individuals$8.0M2.6%
- Charitable organizations$3.8M1.2%
- Individual clients
- 24reported
- HNW clients
- 97reported
- Pension plan clients
- n/areported
- Charitable clients
- 31reported
- Accounts
- 121reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.3M for 53 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••• A••• K••••••••• K•••••••••Certified Financial Planner | Arlington, Va | Oct 1, 2004 | 39 y | 2 |
| J•••• A•••••••• J••••Certified Financial Planner | Arlington, Va | May 17, 2017 | 11 y | 0 |
| D•••• B•••• G••••••Certified Financial Planner | Arlington, Va | Aug 21, 2020 | 12 y | 0 |
| E••••• I••••• O••••••••• | Arlington, Va | Jan 5, 2024 | 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
- J••• W•••• to C••• C••••••• L••Jun 28, 2023 · RIA to RIA
- A••••• B••••••••• to W••• F•••••••• C••••••• L••Sep 23, 2021 · RIA to a state-registered adviser
- S••••• G•••••• G••••• to Q•••• C•••••• M••••••••• I•••Jun 17, 2015 · Other
- C••••••• R••• M•••••• to C•••••• S••••• • C••• I•••Mar 10, 2014 · Other
- I•• T••••• M••••••• to L•• F•••••••• L••Jan 10, 2014 · Other
Joined, latest
- A••••• B••••••••• from W••••••••• F•••••••• G••••• I•••Jul 21, 2020 · Other
- S••••• G•••••• G••••• from T•• G•••••• G••••Jun 18, 2014 · Other
- I•• T••••• M••••••• from T•••••• C••••••• L••Jun 17, 2013 · Other
- C••••••• R••• M•••••• from C••••••• W••••• M••••••••• I•••Apr 19, 2013 · Other
- L••• A••• K••••••••• K••••••••• from A••••••• A••••••• S•••••••Oct 1, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••••• L•••• A••• K••••••••• · Managing Member/Presidentcontrolsince 07/2013 · owns 75% or more
- J••••• J••••• A•••••••• · Member, Partner, And Director Of Investmentssince 06/2023 · owns 10% to 25%
- M•••••• E••••••• A•••• · Member, Partner, Chief Compliance Officer And Director Of Operationssince 06/2023 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Arlington, Va · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Mar 20, 2026accounts (Item 5.F.2.f) moved from 637.0 to 121.0 (-81.0%) between the annual amendments of 2025-03-31 and 2026-03-20; the peer median change was +5.0% (3687 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 0.3% percentile
- advisor count dropChange between filings · filing Mar 20, 2026advisory representatives (Item 5.B.3) moved from 6.0 to 4.0 (-33.0%) between the annual amendments of 2025-03-31 and 2026-03-20; the peer median change was 0.0% (965 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 4.1% percentile
What changed
consecutive filings, newest first
- Accounts · 637 to 121Feb 1, 2026 to Mar 20, 2026
- Advisory employees · 5 to 4Feb 1, 2026 to Mar 20, 2026
- Charity clients · unset to 31.0Feb 1, 2026 to Mar 20, 2026
- HNW clients · 79 to 97Feb 1, 2026 to Mar 20, 2026
- Individual clients · 40 to 24Feb 1, 2026 to Mar 20, 2026
- Assets in custody · $4.8M to $5.3MFeb 1, 2026 to Mar 20, 2026
- Employees · 6 to 7Feb 1, 2026 to Mar 20, 2026
- State-registered IARs · 5 to 4Feb 1, 2026 to Mar 20, 2026
- Discretionary RAUM · $79.5M to $91.3MFeb 1, 2026 to Mar 20, 2026
- HNW RAUM · $240M to $298MFeb 1, 2026 to Mar 20, 2026
- Individual RAUM · $18.9M to $8.0MFeb 1, 2026 to Mar 20, 2026
- Non-discretionary RAUM · $180M to $218MFeb 1, 2026 to Mar 20, 2026
- RAUM · $259M to $310MFeb 1, 2026 to Mar 20, 2026
- Advisory employees · 6 to 5Sep 15, 2025 to Feb 1, 2026
- Employees · 7 to 6Sep 15, 2025 to Feb 1, 2026
- State-registered IARs · 6 to 5Sep 15, 2025 to Feb 1, 2026
- Accounts · 642 to 637Jan 28, 2025 to Mar 31, 2025
- HNW clients · 73 to 79Jan 28, 2025 to Mar 31, 2025
- Individual clients · 68 to 40Jan 28, 2025 to Mar 31, 2025
- Assets in custody · $5.3M to $4.8MJan 28, 2025 to Mar 31, 2025
- Financial planning clients · 101-250 to 101-250Jan 28, 2025 to Mar 31, 2025
- Discretionary RAUM · $68.6M to $79.5MJan 28, 2025 to Mar 31, 2025
- HNW RAUM · $228M to $240MJan 28, 2025 to Mar 31, 2025
- Individual RAUM · $25.8M to $18.9MJan 28, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $185M to $180MJan 28, 2025 to Mar 31, 2025
- RAUM · $253M to $259MJan 28, 2025 to Mar 31, 2025
- Advisory activities · 3 to 4Nov 7, 2024 to Jan 28, 2025
- Accounts · 618 to 642Jul 25, 2023 to Mar 26, 2024
- Advisory employees · 5 to 6Jul 25, 2023 to Mar 26, 2024
- HNW clients · 66 to 73Jul 25, 2023 to Mar 26, 2024
- Individual clients · 74 to 68Jul 25, 2023 to Mar 26, 2024
- Assets in custody · $4.9M to $5.3MJul 25, 2023 to Mar 26, 2024
- State-registered IARs · 5 to 6Jul 25, 2023 to Mar 26, 2024
- Discretionary RAUM · $53.8M to $68.6MJul 25, 2023 to Mar 26, 2024
- HNW RAUM · $178M to $228MJul 25, 2023 to Mar 26, 2024
- Individual RAUM · $25.1M to $25.8MJul 25, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $149M to $185MJul 25, 2023 to Mar 26, 2024
- RAUM · $203M to $253MJul 25, 2023 to Mar 26, 2024
- Advisory employees · 6 to 5Mar 23, 2023 to Jul 25, 2023
- Employees · 8 to 7Mar 23, 2023 to Jul 25, 2023
Signals
2 dated events
- J••• W•••• left O•••• W••••• M••••••••• L•• for C••• C••••••• L•• (registered 2024-05-24)Jun 28, 2023 · Advisor changed firm · fact
- O•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 21, 2017 · 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/1014619reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 703-387-0919reportedpublic record, Form ADV, Mar 20, 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
- $77.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026