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.
SEC-registered adviser
Schaeffer Financial LLC
Latest filing Jul 14, 2026
First filing on the tape Mar 19, 2012 · 27 filings
SEC status approved since Jan 3, 2005
RAUM
$258M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$258M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$51.5M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$258M as of Jul 14, 2026
Mar 19, 2012$100.0M then
HNW client RAUM$185M as of Jul 14, 2026
Mar 12, 2018$108M then
State-registered IARs (5.B.3)4 as of Jul 14, 2026
Mar 19, 20120 then
Employees (5.A)7 as of Jul 14, 2026
Mar 1, 20134 then
Private funds: no history
RAUM +15% over the last fiscal year+13% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Jul 14, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $51.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 1.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.2%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $59.9M, 70 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$185M72%
- Individuals$73.0M28%
- Individual clients
- 171reported
- HNW clients
- 76reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 247reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $59.9M for 70 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Karen Patricia SchaefferCertified Financial Planner | Rockville, Md | Jan 3, 2005 | 46 y | 1 |
| Richard Wayne SchaefferCertified Financial Planner | Rockville, Md | Jan 3, 2005 | 42 y | 1 |
| Kaitlin YardleyCertified Financial Planner | Houston, Tx | Jan 12, 2015 | 16 y | 2 |
| Claire Ramzy DwyerCertified Financial Planner | Jacksonville, Fl | Jan 1, 2025 | 11 y | 0 |
| Brandon KeehrCertified Financial Planner | Rockville, Md | Jan 1, 2025 | 27 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
- Kaitlin Yardley to Yeske Buie Inc.Jul 21, 2010 · Other
Joined, latest
- Kaitlin Yardley from Yeske Buie Inc.Jan 12, 2015 · Other
- Richard Wayne Schaeffer from Fsa Wealth PartnersJan 3, 2005 · Other
- Karen Patricia Schaeffer from Fsa Wealth PartnersJan 3, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Patricia Karen Schaeffer · Managing Membercontrolsince 12/2004 · owns 75% or more
- Kaitlin Yardley · Chief Compliance Officercontrolsince 05/2019 · 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 |
|---|---|---|---|---|---|
| Rockville, Md · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Mar 2, 2026accounts (Item 5.F.2.f) moved from 435.0 to 247.0 (-43.0%) between the annual amendments of 2025-04-11 and 2026-03-02; the peer median change was +5.0% (3688 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,688) · 3.6% percentile
What changed
consecutive filings, newest first
- Accounts · 435 to 247Jun 2, 2025 to Mar 2, 2026
- Advisory employees · 5 to 4Jun 2, 2025 to Mar 2, 2026
- BD registered reps · 2 to 1Jun 2, 2025 to Mar 2, 2026
- HNW clients · 184 to 76Jun 2, 2025 to Mar 2, 2026
- Individual clients · 53 to 171Jun 2, 2025 to Mar 2, 2026
- Assets in custody · $49.6M to $59.9MJun 2, 2025 to Mar 2, 2026
- State-registered IARs · 5 to 4Jun 2, 2025 to Mar 2, 2026
- Discretionary RAUM · $223M to $258MJun 2, 2025 to Mar 2, 2026
- HNW RAUM · $146M to $185MJun 2, 2025 to Mar 2, 2026
- Individual RAUM · $77.6M to $73.0MJun 2, 2025 to Mar 2, 2026
- RAUM · $223M to $258MJun 2, 2025 to Mar 2, 2026
- Financial planning clients · 101-250 to 101-250Apr 11, 2025 to Jun 2, 2025
- Accounts · 414 to 435Nov 19, 2024 to Feb 28, 2025
- Advisory employees · 4 to 5Nov 19, 2024 to Feb 28, 2025
- HNW clients · 67 to 184Nov 19, 2024 to Feb 28, 2025
- Individual clients · 167 to 53Nov 19, 2024 to Feb 28, 2025
- Assets in custody · $49.3M to $49.6MNov 19, 2024 to Feb 28, 2025
- Financial planning clients · 251-500 to 101-250Nov 19, 2024 to Feb 28, 2025
- State-registered IARs · 4 to 5Nov 19, 2024 to Feb 28, 2025
- Discretionary RAUM · $199M to $223MNov 19, 2024 to Feb 28, 2025
- HNW RAUM · $131M to $146MNov 19, 2024 to Feb 28, 2025
- Individual RAUM · $68.0M to $77.6MNov 19, 2024 to Feb 28, 2025
- RAUM · $199M to $223MNov 19, 2024 to Feb 28, 2025
- Other offices · 2 to 3Mar 5, 2024 to Nov 19, 2024
- Accounts · 437 to 414Mar 15, 2023 to Mar 5, 2024
- HNW clients · 65 to 67Mar 15, 2023 to Mar 5, 2024
- Individual clients · 225 to 167Mar 15, 2023 to Mar 5, 2024
- Assets in custody · $37.2M to $49.3MMar 15, 2023 to Mar 5, 2024
- Employees · 6 to 7Mar 15, 2023 to Mar 5, 2024
- Discretionary RAUM · $178M to $199MMar 15, 2023 to Mar 5, 2024
- HNW RAUM · $113M to $131MMar 15, 2023 to Mar 5, 2024
- Individual RAUM · $65.4M to $68.0MMar 15, 2023 to Mar 5, 2024
- RAUM · $178M to $199MMar 15, 2023 to Mar 5, 2024
- Other offices · 1 to 2Feb 10, 2023 to Mar 15, 2023
- Accounts · 425 to 437Nov 17, 2022 to Feb 10, 2023
- Individual clients · 226 to 225Nov 17, 2022 to Feb 10, 2023
- Assets in custody · $48.1M to $37.2MNov 17, 2022 to Feb 10, 2023
- Employees · 5 to 6Nov 17, 2022 to Feb 10, 2023
- Discretionary RAUM · $213M to $178MNov 17, 2022 to Feb 10, 2023
- HNW RAUM · $135M to $113MNov 17, 2022 to Feb 10, 2023
Signals
2 dated events
- A Carole Byrd (Chief Compliance Officer (Cco)) no longer on Schedule A of Schaeffer Financial Llc (listed 2019-02-27, absent 2019-06-11)Jun 11, 2019 · Control person left · inference
- Kaitlin Yardley (Chief Compliance Officer) appeared on Schedule A of Schaeffer Financial LlcJun 11, 2019 · 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.
How to reach
public business contact points only, each with its source
- Business email
- info@schaefferfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 301-861-0789reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 301-933-5550reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- SCHAEFFERFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 301-933-5550reportedpublic record, Form ADV, Jul 14, 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
- $51.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026