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••••••••• F••••••••• I•••
Latest filing Feb 5, 2024
First filing on the tape Mar 30, 2012 · 32 filings
RAUM
$425M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
100%
$425M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$425M as of Feb 5, 2024
Mar 30, 2012$135M then
HNW client RAUM$362M as of Feb 5, 2024
Mar 13, 2018$282M then
State-registered IARs (5.B.3)6 as of Feb 5, 2024
Mar 30, 20120 then
Employees (5.A)8 as of Feb 5, 2024
Mar 27, 20135 then
Private funds: no history
RAUM +14% over the last fiscal year+4.1% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Feb 5, 2024; every figure names its basis
- RAUM per advisor
- $70.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $457,194derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- 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 securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$362M85%
- Individuals$63.3M15%
- Individual clients
- 62reported
- HNW clients
- 122reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 930reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- S••••• M••• A••••••• to A••••• W•••••May 3, 2024 · RIA to RIA
- S•••• S•••• to A••••• W•••••May 3, 2024 · RIA to RIA
- J•••• R•••••• B•••••• to A••••• W•••••May 3, 2024 · RIA to RIA
- A••••• D•••• C•••••• to A••••• W•••••May 3, 2024 · RIA to RIA
- B•••••• L••••• R•••••• to A••••• W•••••May 3, 2024 · RIA to RIA
- S•••••••• S••••• M••••• to A••••• W•••••May 3, 2024 · RIA to RIA
- K•••• B•••• L•••• to O••••• F••••••••• L••Jul 19, 2018 · RIA to a state-registered adviser
Joined, latest
- B•••••• L••••• R•••••• from A••••••••• F•••••••• A••••••••• L•••Jun 21, 2023 · Other
- S••••• M••• A••••••• from T•••••• F••••••••• I•••Aug 28, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for A••••• W•••••May 3, 2024 · Reston, Va · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• S•••••• M••• · Presidentcontrolsince 10/2004 · owns 75% or more
- M•••••• S••••••••• S••••• · Financial Planner, Director Of Operations & Chief Compliance Officercontrolsince 07/2021 · 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 |
|---|---|---|---|---|---|
| Reston, Va · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 935 to 930Mar 15, 2023 to Feb 5, 2024
- Advisory employees · 5 to 6Mar 15, 2023 to Feb 5, 2024
- HNW clients · 118 to 122Mar 15, 2023 to Feb 5, 2024
- Individual clients · 67 to 62Mar 15, 2023 to Feb 5, 2024
- Assets in custody · $118M to $128MMar 15, 2023 to Feb 5, 2024
- Custody of client assets · true to falseMar 15, 2023 to Feb 5, 2024
- State-registered IARs · 5 to 6Mar 15, 2023 to Feb 5, 2024
- Discretionary RAUM · $329M to $383MMar 15, 2023 to Feb 5, 2024
- HNW RAUM · $319M to $362MMar 15, 2023 to Feb 5, 2024
- Individual RAUM · $53.8M to $63.3MMar 15, 2023 to Feb 5, 2024
- Non-discretionary RAUM · $42.9M to $41.7MMar 15, 2023 to Feb 5, 2024
- RAUM · $372M to $425MMar 15, 2023 to Feb 5, 2024
- Accounts · 911 to 935Nov 4, 2022 to Mar 15, 2023
- Advisory employees · 6 to 5Nov 4, 2022 to Mar 15, 2023
- HNW clients · 124 to 118Nov 4, 2022 to Mar 15, 2023
- Individual clients · 57 to 67Nov 4, 2022 to Mar 15, 2023
- Assets in custody · $125M to $118MNov 4, 2022 to Mar 15, 2023
- Employees · 7 to 8Nov 4, 2022 to Mar 15, 2023
- State-registered IARs · 4 to 5Nov 4, 2022 to Mar 15, 2023
- Discretionary RAUM · $364M to $329MNov 4, 2022 to Mar 15, 2023
- HNW RAUM · $365M to $319MNov 4, 2022 to Mar 15, 2023
- Individual RAUM · $47.3M to $53.8MNov 4, 2022 to Mar 15, 2023
- Non-discretionary RAUM · $47.8M to $42.9MNov 4, 2022 to Mar 15, 2023
- RAUM · $412M to $372MNov 4, 2022 to Mar 15, 2023
- Advisory employees · 3 to 6Mar 3, 2022 to Nov 4, 2022
- State-registered IARs · 3 to 4Mar 3, 2022 to Nov 4, 2022
- Accounts · 904 to 911Nov 16, 2021 to Mar 3, 2022
- HNW clients · 123 to 124Nov 16, 2021 to Mar 3, 2022
- Individual clients · 61 to 57Nov 16, 2021 to Mar 3, 2022
- Assets in custody · $113M to $125MNov 16, 2021 to Mar 3, 2022
- Discretionary RAUM · $328M to $364MNov 16, 2021 to Mar 3, 2022
- HNW RAUM · $339M to $365MNov 16, 2021 to Mar 3, 2022
- Individual RAUM · $38.1M to $47.3MNov 16, 2021 to Mar 3, 2022
- Non-discretionary RAUM · $48.8M to $47.8MNov 16, 2021 to Mar 3, 2022
- RAUM · $377M to $412MNov 16, 2021 to Mar 3, 2022
- Employees · 6 to 7Aug 25, 2021 to Nov 16, 2021
- Accounts · 869 to 904Sep 14, 2020 to Mar 10, 2021
- HNW clients · 116 to 123Sep 14, 2020 to Mar 10, 2021
- Individual clients · 68 to 61Sep 14, 2020 to Mar 10, 2021
- Assets in custody · $203M to $113MSep 14, 2020 to Mar 10, 2021
Signals
8 dated events
- S•••• S•••• left C••••••••• F••••••••• I••• for A••••• W••••• (registered 2024-04-22)May 3, 2024 · Advisor changed firm · fact
- S•••••••• S••••• M••••• left C••••••••• F••••••••• I••• for A••••• W••••• (registered 2024-04-18)May 3, 2024 · Advisor changed firm · fact
- J•••• R•••••• B•••••• left C••••••••• F••••••••• I••• for A••••• W••••• (registered 2024-04-22)May 3, 2024 · Advisor changed firm · fact
- A••••• D•••• C•••••• left C••••••••• F••••••••• I••• for A••••• W••••• (registered 2024-04-22)May 3, 2024 · Advisor changed firm · fact
- B•••••• L••••• R•••••• left C••••••••• F••••••••• I••• for A••••• W••••• (registered 2024-04-22)May 3, 2024 · Advisor changed firm · fact
- S••••• M••• A••••••• left C••••••••• F••••••••• I••• for A••••• W••••• (registered 2024-04-18)May 3, 2024 · Advisor changed firm · fact
- C••••••••• F••••••••• I•••'s advisors moved to A••••• W••••• (Reston, VA): 6 of 6 registered, on the same dayMay 3, 2024 · Firm absorbed (people side) · derived
- Screen Stephanie Murphy (Chief Compliance Officer) appeared on Schedule A of C••••••••• F••••••••• I•••Aug 25, 2021 · Control person joined · fact
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