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
A•••• W•••••
Legal name A•••• W••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Dec 6, 2011 · 29 filings
SEC status approved since Feb 28, 2005
RAUM
$744M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$744M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$149M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$744M as of Mar 31, 2026
Mar 20, 2012$429M then
HNW client RAUM$732M as of Mar 31, 2026
Mar 28, 2018$491M then
State-registered IARs (5.B.3)6 as of Mar 31, 2026
Mar 20, 20120 then
Employees (5.A)6 as of Mar 31, 2026
Mar 28, 20137 then
Private funds: no history
RAUM +5.1% over the last fiscal year+7.3% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $149MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.2MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $459M, 103 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$732M98%
- Individuals$11.2M1.5%
- Charitable organizations$606,5170.1%
- Individual clients
- 21reported
- HNW clients
- 102reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 516reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $459M for 103 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| V••••• M••••••• R•• | Bethesda, Md | Mar 2, 2005 | 24 y | 1 |
| E•• H•• K••Certified Financial Planner | Vienna, Va | Mar 2, 2005 | 25 y | 1 |
| M•••••• A••• T••••••Certified Financial Planner | Bethesda, Md | Jan 1, 2025 | 12 y | 0 |
| A••••• T••••• M•••••••••Certified Financial Planner | Bethesda, Md | Jan 1, 2025 | 24 y | 0 |
| J••• M•••• H••• | Bethesda, Md | Sep 3, 2026 | 19 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
- E•••• S••• to T••• H•••••• L••Mar 13, 2019 · RIA to RIA
- R•••••• E•••••• H••••• to W••• F•••••••• S•••••••• I•••Aug 15, 2017 · Other
- A•• O•••••••• to A••• A•••• M••••••••• I•••Aug 5, 2009 · Other
- L•••• L• M••••• to G••••• G•••• L••Nov 27, 2007 · Other
Joined, latest
- V••••• M••••••• R•• from E•••• • Y•••• I••••••••• A••••••• L••Mar 2, 2005 · Other
- E•• H•• K•• from E•••• • Y•••• I••••••••• A••••••• L••Mar 2, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••• E••• H•• · Membercontrolsince 04/2005 · owns 25% to 50%
- M•••••• P•••• A•••• · Member/Chief Compliance Officercontrolsince 07/2005 · owns 25% to 50%
- R••• V•••••• M••••••• · Membercontrolsince 04/2005 · owns 25% to 50%
- H•••• J•••• M•••• · Membersince 01/2020 · owns less than 5%
- T••••••• M••••••• A••• · Membersince 01/2020 · owns less than 5%
Related persons
Schedule D 7.A
- E•• H•• K••insurancey
- P••• A•••• M•••••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bethesda, Md · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 31, 2026hourly charges (Item 5.E.2): yes on the filing of 2025-03-31, no on the filing of 2026-03-31peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 525 to 516Mar 31, 2025 to Mar 31, 2026
- Advisory activities · 5 to 4Mar 31, 2025 to Mar 31, 2026
- HNW clients · 101 to 102Mar 31, 2025 to Mar 31, 2026
- Individual clients · 20 to 21Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $432M to $459MMar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $708M to $744MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $697M to $732MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $10.7M to $11.2MMar 31, 2025 to Mar 31, 2026
- RAUM · $708M to $744MMar 31, 2025 to Mar 31, 2026
- Accounts · 498 to 525Mar 29, 2024 to Mar 31, 2025
- HNW clients · 112 to 101Mar 29, 2024 to Mar 31, 2025
- Individual clients · 24 to 20Mar 29, 2024 to Mar 31, 2025
- Assets in custody · $5.9M to $432MMar 29, 2024 to Mar 31, 2025
- Financial planning clients · 51-100 to 51-100Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $699M to $708MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $688M to $697MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $10.1M to $10.7MMar 29, 2024 to Mar 31, 2025
- RAUM · $699M to $708MMar 29, 2024 to Mar 31, 2025
- Accounts · 480 to 498Feb 5, 2024 to Mar 29, 2024
- HNW clients · 107 to 112Feb 5, 2024 to Mar 29, 2024
- Individual clients · 23 to 24Feb 5, 2024 to Mar 29, 2024
- Assets in custody · $7.0M to $5.9MFeb 5, 2024 to Mar 29, 2024
- Discretionary RAUM · $603M to $699MFeb 5, 2024 to Mar 29, 2024
- HNW RAUM · $594M to $688MFeb 5, 2024 to Mar 29, 2024
- Individual RAUM · $8.7M to $10.1MFeb 5, 2024 to Mar 29, 2024
- RAUM · $603M to $699MFeb 5, 2024 to Mar 29, 2024
- Accounts · 479 to 480Mar 21, 2023 to Mar 31, 2023
- Charity clients · 2.0 to unsetMar 21, 2023 to Mar 31, 2023
- Corporate clients · 0.0 to unsetMar 21, 2023 to Mar 31, 2023
- HNW clients · 92 to 107Mar 21, 2023 to Mar 31, 2023
- Individual clients · 14 to 23Mar 21, 2023 to Mar 31, 2023
- Pension plan clients · 0.0 to unsetMar 21, 2023 to Mar 31, 2023
- Pooled vehicle clients · 0.0 to unsetMar 21, 2023 to Mar 31, 2023
- Assets in custody · $6.3M to $7.0MMar 21, 2023 to Mar 31, 2023
- Employees · 8 to 6Mar 21, 2023 to Mar 31, 2023
- Discretionary RAUM · $658M to $603MMar 21, 2023 to Mar 31, 2023
- HNW RAUM · $645M to $594MMar 21, 2023 to Mar 31, 2023
- Individual RAUM · $14.2M to $8.7MMar 21, 2023 to Mar 31, 2023
- Non-discretionary RAUM · $1.8M to $0Mar 21, 2023 to Mar 31, 2023
- Pension RAUM · 0.0 to unsetMar 21, 2023 to Mar 31, 2023
Signals
No event on the tape.
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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 301-664-2313reportedpublic record, Form ADV, Mar 31, 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
- $149Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026