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
C•••••• A•••• M••••••••• L••
Latest filing Mar 4, 2026
First filing on the tape Feb 22, 2012 · 31 filings
SEC status approved since Mar 23, 2006
RAUM
$229M
reported, Item 5.F
Discretionary
81%
of RAUM
Private clients
86%
$197M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$76.3M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$229M as of Mar 4, 2026
Feb 22, 2012$90.1M then
HNW client RAUM$180M as of Mar 4, 2026
Jan 12, 2018$138M then
State-registered IARs (5.B.3)3 as of Mar 4, 2026
Feb 22, 20120 then
Employees (5.A)3 as of Mar 4, 2026
Mar 7, 20134 then
Private funds: no history
RAUM +12% over the last fiscal year+10% a year over threeIARs 3 to 3offices 0 to 2
Practice profile
derived from the filing of Mar 4, 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
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $767,795derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 81%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$180M79%
- Charitable organizations$31.9M14%
- Individuals$17.3M7.6%
- Individual clients
- 61reported
- HNW clients
- 45reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 298reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• E••••• B••••Chartered Financial Analyst | Fairfax, Va | May 24, 2005 | 21 y | 0 |
| M•••••• P•••••• B••••Chartered Financial Analyst | Fairfax, Va | Aug 5, 2019 | 11 y | 0 |
| A••••• T•••• | Fairfax, Va | Mar 7, 2025 | 11 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
- A•••• U•••• C••••• to C•••••••• G••••• M•••••• I•••Jan 20, 2022 · RIA to affiliated broker-dealer or bank
- B•••••• M••••• W•••••• to M••••• S••••••May 2, 2017 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• T••••••• E••••• · President/Managing Member/Chief Compliance Officercontrolsince 05/2005 · 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 |
|---|---|---|---|---|---|
| Fairfax, Va · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 266 to 298Dec 5, 2025 to Mar 4, 2026
- HNW clients · 42 to 45Dec 5, 2025 to Mar 4, 2026
- Individual clients · 51 to 61Dec 5, 2025 to Mar 4, 2026
- Discretionary RAUM · $163M to $185MDec 5, 2025 to Mar 4, 2026
- HNW RAUM · $161M to $180MDec 5, 2025 to Mar 4, 2026
- Individual RAUM · $16.7M to $17.3MDec 5, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $40.9M to $43.4MDec 5, 2025 to Mar 4, 2026
- RAUM · $204M to $229MDec 5, 2025 to Mar 4, 2026
- HQ city · FALLS CHURCH to FAIRFAXJul 31, 2025 to Dec 5, 2025
- Other offices · 0 to 2Jul 31, 2025 to Dec 5, 2025
- Financial planning clients · 51-100 to 51-100Apr 7, 2025 to Jul 31, 2025
- Accounts · 273 to 266Mar 19, 2024 to Apr 7, 2025
- Advisory employees · 2 to 3Mar 19, 2024 to Apr 7, 2025
- HNW clients · 41 to 42Mar 19, 2024 to Apr 7, 2025
- Individual clients · 59 to 51Mar 19, 2024 to Apr 7, 2025
- Employees · 2 to 3Mar 19, 2024 to Apr 7, 2025
- Financial planning clients · 26-50 to 51-100Mar 19, 2024 to Apr 7, 2025
- State-registered IARs · 2 to 3Mar 19, 2024 to Apr 7, 2025
- Discretionary RAUM · $151M to $163MMar 19, 2024 to Apr 7, 2025
- HNW RAUM · $146M to $161MMar 19, 2024 to Apr 7, 2025
- Individual RAUM · $17.6M to $16.7MMar 19, 2024 to Apr 7, 2025
- Non-discretionary RAUM · $37.9M to $40.9MMar 19, 2024 to Apr 7, 2025
- RAUM · $189M to $204MMar 19, 2024 to Apr 7, 2025
- Accounts · 271 to 273Feb 7, 2023 to Mar 19, 2024
- Advisory activities · 3 to 2Feb 7, 2023 to Mar 19, 2024
- Charity clients · 4 to 5Feb 7, 2023 to Mar 19, 2024
- HNW clients · 43 to 41Feb 7, 2023 to Mar 19, 2024
- Individual clients · 56 to 59Feb 7, 2023 to Mar 19, 2024
- Employees · 3 to 2Feb 7, 2023 to Mar 19, 2024
- Discretionary RAUM · $133M to $151MFeb 7, 2023 to Mar 19, 2024
- HNW RAUM · $138M to $146MFeb 7, 2023 to Mar 19, 2024
- Individual RAUM · $13.7M to $17.6MFeb 7, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $37.1M to $37.9MFeb 7, 2023 to Mar 19, 2024
- RAUM · $170M to $189MFeb 7, 2023 to Mar 19, 2024
- Accounts · 289 to 271Aug 22, 2022 to Feb 7, 2023
- HNW clients · 50 to 43Aug 22, 2022 to Feb 7, 2023
- Individual clients · 52 to 56Aug 22, 2022 to Feb 7, 2023
- Employees · 2 to 3Aug 22, 2022 to Feb 7, 2023
- Discretionary RAUM · $163M to $133MAug 22, 2022 to Feb 7, 2023
- HNW RAUM · $166M to $138MAug 22, 2022 to Feb 7, 2023
Signals
2 dated events
- A••••• T•••• no longer holds an investment adviser registration (last listed at C•••••• A•••• M••••••••• L•• on the 2026-09-15 feed)Sep 15, 2026 · Advisor registration ended · derived
- A•••• U•••• C••••• left C•••••• A•••• M••••••••• L•• for C•••••••• G••••• M•••••• I••• (registered 2022-02-07)Jan 20, 2022 · Advisor changed firm · 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 phone
- 800-345-6789reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 703-828-1137reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 703-848-0344reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- C••••••AM.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 703-848-0344reportedpublic record, Form ADV, Mar 4, 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
- $76.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026