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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

L••••••• W••••• P••••••• A•• M••••••••• L••

Former SEC-registered adviserNational Harbor, MarylandCRD 133399SEC 801-117915IAPD
Latest filing Mar 29, 2021
First filing on the tape Mar 22, 2012 · 10 filings
RAUM
$6.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$6.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$115M as of Jan 20, 2020
Mar 22, 2012$49.3M then
HNW client RAUM: $88.1M
State-registered IARs (5.B.3)2 as of Jan 20, 2020
Mar 22, 20120 then
Employees (5.A): 3
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 29, 2021; every figure names its basis
RAUM per advisor
$3.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
4derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$132,046derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$6.3M, 5 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$5.8M90%
  • Individuals$627,3479.7%
Individual clients
5reported
HNW clients
3reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
49reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$6.3M for 5 clientsreported
Compensation
% of AUMreported
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
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
    • B••••••••• D••••• J••• · Member, Chief Executive Officer, Chief Financial Officer, Chief Investment Officer, Chief Compliance Officercontrol
      since 01/2005 · owns 50% to 75%
    • W•••••• C••••••• T••••••• · President And Managing Membercontrol
      since 09/2004 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 398 to 49
      Jun 3, 2020 to Mar 29, 2021
    • HNW clients · 44 to 3
      Jun 3, 2020 to Mar 29, 2021
    • Individual clients · 48 to 5
      Jun 3, 2020 to Mar 29, 2021
    • Assets in custody · $100M to $6.3M
      Jun 3, 2020 to Mar 29, 2021
    • Employees · 3 to 2
      Jun 3, 2020 to Mar 29, 2021
    • Insurance-licensed employees · 0 to 2
      Jun 3, 2020 to Mar 29, 2021
    • Financial planning clients · 51-100 to 1-10
      Jun 3, 2020 to Mar 29, 2021
    • Discretionary RAUM · $115M to $6.5M
      Jun 3, 2020 to Mar 29, 2021
    • HNW RAUM · $88.1M to $5.8M
      Jun 3, 2020 to Mar 29, 2021
    • Individual RAUM · $26.8M to $627,347
      Jun 3, 2020 to Mar 29, 2021
    • RAUM · $115M to $6.5M
      Jun 3, 2020 to Mar 29, 2021
    • Accounts · 443 to 398
      Dec 9, 2019 to Jan 20, 2020
    • HNW clients · 41 to 44
      Dec 9, 2019 to Jan 20, 2020
    • Individual clients · 51 to 48
      Dec 9, 2019 to Jan 20, 2020
    • Discretionary RAUM · $111M to $115M
      Dec 9, 2019 to Jan 20, 2020
    • HNW RAUM · $82.6M to $88.1M
      Dec 9, 2019 to Jan 20, 2020
    • Individual RAUM · $28.5M to $26.8M
      Dec 9, 2019 to Jan 20, 2020
    • RAUM · $111M to $115M
      Dec 9, 2019 to Jan 20, 2020
    • Accounts · 403 to 443
      Jun 26, 2012 to Dec 9, 2019
    • Advisory employees · unset to 2.0
      Jun 26, 2012 to Dec 9, 2019
    • HNW clients · unset to 41.0
      Jun 26, 2012 to Dec 9, 2019
    • Individual clients · unset to 51.0
      Jun 26, 2012 to Dec 9, 2019
    • Assets in custody · $45.1M to $100M
      Jun 26, 2012 to Dec 9, 2019
    • Employees · unset to 3.0
      Jun 26, 2012 to Dec 9, 2019
    • State-registered IARs · 0 to 2
      Jun 26, 2012 to Dec 9, 2019
    • Other offices · unset to 0.0
      Jun 26, 2012 to Dec 9, 2019
    • Discretionary RAUM · $0 to $111M
      Jun 26, 2012 to Dec 9, 2019
    • HNW RAUM · unset to 82596769.0
      Jun 26, 2012 to Dec 9, 2019
    • Individual RAUM · unset to 28473834.0
      Jun 26, 2012 to Dec 9, 2019
    • Non-discretionary RAUM · $49.3M to $0
      Jun 26, 2012 to Dec 9, 2019
    • RAUM · $49.3M to $111M
      Jun 26, 2012 to Dec 9, 2019
    • Assets in custody · unset to 45129149.0
      Mar 22, 2012 to May 15, 2012
    • Custody of client assets · false to true
      Mar 22, 2012 to May 15, 2012
    Signals
    2 dated events
    • L••••••• W••••• P••••••• A•• M••••••••• L•• reported RAUM $6.5M, down 94% from $114.9M (2020-06-03 to 2021-03-29)
      Mar 29, 2021 · RAUM change · derived
    • L••••••• W••••• P••••••• A•• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Dec 9, 2019 · 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.
    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