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.
SEC-registered adviser
U••••• W••••• M••••••••• L••
Latest filing Mar 9, 2026
First filing on the tape Jun 29, 2020 · 16 filings
SEC status approved since Jul 29, 2020
RAUM
$407M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$407M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$67.8M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$407M as of Mar 9, 2026
Jan 13, 2021$165M then
HNW client RAUM$347M as of Mar 9, 2026
Jan 13, 2021$6.0M then
State-registered IARs (5.B.3)5 as of Mar 9, 2026
Jan 13, 20212 then
Employees (5.A)5 as of Mar 9, 2026
Jan 13, 20213 then
Private funds: no history
RAUM +31% over the last fiscal year+28% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Mar 9, 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
- 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
- $67.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $430,251derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$347M85%
- Individuals$59.2M15%
- Individual clients
- 109reported
- HNW clients
- 148reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 945reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• T••••• B••••• | Charlottesville, Va | Apr 6, 2005 | 30 y | 1 |
| D••••• D•••• L•••••Certified Financial Planner | Charlottesville, Va | Oct 7, 2005 | 29 y | 0 |
| K••••••• V•••• | Nashville, Tn | Oct 30, 2023 | 9 y | 1 |
| E•••••••• M•••• T•••••Chartered Financial Consultant | Williamsburg, Va | Apr 8, 2025 | 10 y | 0 |
| H•••• F•••••••• Z•••••• | Charlottesville, Va | Apr 22, 2025 | 12 y | 2 |
| P•••• T••••• D•••••Certified Financial Planner | Charlottesville, Va | Sep 10, 2026 | 10 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- P•••• T••••• D••••• from F•••• P••••••• W•••••• L••Sep 10, 2026 · RIA to RIA
- H•••• F•••••••• Z•••••• from C••••• I••••••••• A••••••• L••Apr 22, 2025 · Affiliated broker-dealer or bank to independent RIA
- K••••••• V•••• from S•••• S•••••• W••••• G••••Oct 30, 2023 · RIA to RIA
- A••• T••••• B••••• from L••••• F••••••••• I•••Apr 6, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• A•••• T••••• · Managing Member And Chief Compliance Officercontrolsince 12/2004 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Charlottesville, Va | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 9, 2026HNW share of RAUM moved from 15.0% to 85.0% between the annual amendments of 2025-04-09 and 2026-03-09peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 632 to 945Aug 7, 2025 to Jan 22, 2026
- HNW clients · 98 to 148Aug 7, 2025 to Jan 22, 2026
- Individual clients · 126 to 109Aug 7, 2025 to Jan 22, 2026
- Financial planning clients · 101-250 to 51-100Aug 7, 2025 to Jan 22, 2026
- Discretionary RAUM · $311M to $407MAug 7, 2025 to Jan 22, 2026
- HNW RAUM · $45.6M to $347MAug 7, 2025 to Jan 22, 2026
- Individual RAUM · $266M to $59.2MAug 7, 2025 to Jan 22, 2026
- RAUM · $311M to $407MAug 7, 2025 to Jan 22, 2026
- State-registered IARs · 4 to 5Apr 9, 2025 to Aug 7, 2025
- Advisory employees · 3 to 4Jan 22, 2025 to Apr 9, 2025
- Employees · 4 to 5Jan 22, 2025 to Apr 9, 2025
- Financial planning clients · 101-250 to 101-250Jan 22, 2025 to Apr 9, 2025
- State-registered IARs · 3 to 4Jan 22, 2025 to Apr 9, 2025
- Accounts · 522 to 632Feb 12, 2024 to Jan 22, 2025
- HNW clients · 108 to 98Feb 12, 2024 to Jan 22, 2025
- Individual clients · 71 to 126Feb 12, 2024 to Jan 22, 2025
- HQ city · unset to Feb 12, 2024 to Jan 22, 2025
- HQ state · unset to Feb 12, 2024 to Jan 22, 2025
- Discretionary RAUM · $237M to $311MFeb 12, 2024 to Jan 22, 2025
- HNW RAUM · $200M to $45.6MFeb 12, 2024 to Jan 22, 2025
- Individual RAUM · $37.3M to $266MFeb 12, 2024 to Jan 22, 2025
- RAUM · $237M to $311MFeb 12, 2024 to Jan 22, 2025
- Accounts · 395 to 522Oct 31, 2023 to Feb 12, 2024
- HNW clients · 85 to 108Oct 31, 2023 to Feb 12, 2024
- Individual clients · 73 to 71Oct 31, 2023 to Feb 12, 2024
- Discretionary RAUM · $193M to $237MOct 31, 2023 to Feb 12, 2024
- HNW RAUM · $149M to $200MOct 31, 2023 to Feb 12, 2024
- Individual RAUM · $44.2M to $37.3MOct 31, 2023 to Feb 12, 2024
- RAUM · $193M to $237MOct 31, 2023 to Feb 12, 2024
- Advisory employees · 2 to 3Sep 14, 2023 to Oct 31, 2023
- Employees · 3 to 4Sep 14, 2023 to Oct 31, 2023
- State-registered IARs · 2 to 3Sep 14, 2023 to Oct 31, 2023
- Other offices · 1 to 2Jun 20, 2023 to Sep 14, 2023
- Accounts · 326 to 395Mar 16, 2022 to Mar 6, 2023
- HNW clients · 96 to 85Mar 16, 2022 to Mar 6, 2023
- Individual clients · 42 to 73Mar 16, 2022 to Mar 6, 2023
- Other offices · 2 to 1Mar 16, 2022 to Mar 6, 2023
- Discretionary RAUM · $205M to $193MMar 16, 2022 to Mar 6, 2023
- HNW RAUM · $179M to $149MMar 16, 2022 to Mar 6, 2023
- Individual RAUM · $25.9M to $44.2MMar 16, 2022 to Mar 6, 2023
Signals
1 dated events
- U••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 29, 2020 · 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
- Principal office phone
- 434-923-8112reportedpublic record, Form ADV, Mar 9, 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
- $67.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026