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
B••••••• O••• C•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2012 · 28 filings
SEC status approved since Oct 19, 2004
RAUM
$406M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$388M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$203M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$406M as of Mar 31, 2026
Mar 29, 2012$148M then
HNW client RAUM$367M as of Mar 31, 2026
Mar 29, 2018$227M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20120 then
Employees (5.A)6 as of Mar 31, 2026
Mar 28, 20131 then
Private funds: no history
RAUM +10% over the last fiscal year+8.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $203MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $586,298derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Wrap fee program
- $402MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$367M90%
- Individuals$20.6M5.1%
- Pension and profit-sharing plans$9.0M2.2%
- Corporations and businesses$8.9M2.2%
- Individual clients
- 62reported
- HNW clients
- 91reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 692reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| O••••• A•••• B••••••• | Bethesda, Md | Oct 28, 2004 | 35 y | 2 |
| J••• F••••• O••• | Bethesda, Md | Oct 28, 2004 | 31 y | 2 |
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
none on the tape
Joined, latest
- O••••• A•••• B••••••• from W•••• F•••• A•••••••Oct 28, 2004 · Other
- J••• F••••• O••• from W•••• F•••• A•••••••Oct 28, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• O•••••• A•••• · President/Chief Compliance Officer/Membercontrolsince 10/2004 · owns 75% or more
- O•••• J•••• F••••• · Vice President/CFP/Membercontrolsince 10/2004 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Bethesda, Md · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 652 to 692May 16, 2025 to Mar 31, 2026
- HNW clients · 85 to 91May 16, 2025 to Mar 31, 2026
- Individual clients · 66 to 62May 16, 2025 to Mar 31, 2026
- Pension plan clients · 4.0 to unsetMay 16, 2025 to Mar 31, 2026
- Employees · 5 to 6May 16, 2025 to Mar 31, 2026
- Discretionary RAUM · $368M to $406MMay 16, 2025 to Mar 31, 2026
- HNW RAUM · $328M to $367MMay 16, 2025 to Mar 31, 2026
- Individual RAUM · $23.7M to $20.6MMay 16, 2025 to Mar 31, 2026
- Pension RAUM · $8.0M to $9.0MMay 16, 2025 to Mar 31, 2026
- RAUM · $368M to $406MMay 16, 2025 to Mar 31, 2026
- Financial planning clients · 26-50 to 26-50Mar 28, 2025 to May 16, 2025
- Accounts · 677 to 652Mar 28, 2024 to Mar 28, 2025
- HNW clients · 89 to 85Mar 28, 2024 to Mar 28, 2025
- Individual clients · 63 to 66Mar 28, 2024 to Mar 28, 2025
- Pension plan clients · 5 to 4Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · 11-25 to 26-50Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $353M to $368MMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $314M to $328MMar 28, 2024 to Mar 28, 2025
- Individual RAUM · $20.8M to $23.7MMar 28, 2024 to Mar 28, 2025
- Pension RAUM · $9.4M to $8.0MMar 28, 2024 to Mar 28, 2025
- RAUM · $353M to $368MMar 28, 2024 to Mar 28, 2025
- Accounts · 669 to 677Mar 31, 2023 to Mar 28, 2024
- HNW clients · 80 to 89Mar 31, 2023 to Mar 28, 2024
- Individual clients · 69 to 63Mar 31, 2023 to Mar 28, 2024
- Financial planning clients · 26-50 to 11-25Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $315M to $353MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $276M to $314MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $23.1M to $20.8MMar 31, 2023 to Mar 28, 2024
- Pension RAUM · $8.4M to $9.4MMar 31, 2023 to Mar 28, 2024
- RAUM · $315M to $353MMar 31, 2023 to Mar 28, 2024
- Accounts · 617 to 669Nov 9, 2022 to Mar 31, 2023
- HNW clients · 68 to 80Nov 9, 2022 to Mar 31, 2023
- Individual clients · 56 to 69Nov 9, 2022 to Mar 31, 2023
- Discretionary RAUM · $333M to $315MNov 9, 2022 to Mar 31, 2023
- HNW RAUM · $291M to $276MNov 9, 2022 to Mar 31, 2023
- Individual RAUM · $23.9M to $23.1MNov 9, 2022 to Mar 31, 2023
- Pension RAUM · $9.1M to $8.4MNov 9, 2022 to Mar 31, 2023
- RAUM · $333M to $315MNov 9, 2022 to Mar 31, 2023
- Accounts · 560 to 617Mar 31, 2021 to Mar 31, 2022
- Corporate clients · 6 to 5Mar 31, 2021 to Mar 31, 2022
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
- Principal office phone
- 240-497-1300reportedpublic record, Form ADV, Mar 31, 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
- $203Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026