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
W••••• F••••••••• I••
Latest filing Feb 9, 2026
First filing on the tape Mar 13, 2012 · 31 filings
SEC status approved since Apr 22, 2005
RAUM
$852M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
97%
$825M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$213M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$852M as of Feb 9, 2026
Mar 13, 2012$117M then
HNW client RAUM$782M as of Feb 9, 2026
Mar 9, 2018$289M then
State-registered IARs (5.B.3)4 as of Feb 9, 2026
Mar 13, 20120 then
Employees (5.A)4 as of Feb 9, 2026
Mar 26, 20135 then
Private funds: no history
RAUM +14% over the last fiscal year+16% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 9, 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
- $213MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $264M, 199 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)
- compensates persons for client referrals (8.G.1)
- 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$782M92%
- Individuals$42.7M5.0%
- Charitable organizations$25.6M3.0%
- Pension and profit-sharing plans$1.5M0.2%
- Individual clients
- 82reported
- HNW clients
- 174reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 747reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $264M for 199 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• S•••••• W•••••Chartered Financial Analyst | Bethesda, Md | May 9, 2005 | 25 y | 2 |
| B•••••• A••• W•••••Certified Financial Planner | Bethesda, Md | Jan 10, 2014 | 43 y | 2 |
| K•••• S•••• J•••••Certified Financial Planner | Bethesda, Md | Nov 22, 2021 | 14 y | 0 |
| C••••••••• M•••••• W•••••Certified Financial Planner, Chartered Financial Analyst | Bethesda, Md | Oct 28, 2024 | 18 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
- M•••••• G•••••• S•••••• to H•••••• F••••••••• I•••Nov 13, 2013 · Other
Joined, latest
- B•••••• A••• W••••• from W•••••• F••••••••• L••Jan 10, 2014 · Other
- D•••• S•••••• W••••• from W•••••• F••••••••• L••May 9, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••• B••••••• A••• · President & Chief Compliance Officercontrolsince 02/2008 · owns 50% to 75%
- W•••••• C••••••••• M•••••• · Vice Presidentcontrolsince 02/2017 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Bethesda, Md · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 749 to 747Mar 5, 2025 to Feb 9, 2026
- HNW clients · 166 to 174Mar 5, 2025 to Feb 9, 2026
- Individual clients · 88 to 82Mar 5, 2025 to Feb 9, 2026
- Assets in custody · $108M to $264MMar 5, 2025 to Feb 9, 2026
- Discretionary RAUM · $735M to $841MMar 5, 2025 to Feb 9, 2026
- HNW RAUM · $676M to $782MMar 5, 2025 to Feb 9, 2026
- Individual RAUM · $45.1M to $42.7MMar 5, 2025 to Feb 9, 2026
- Non-discretionary RAUM · $10.0M to $11.0MMar 5, 2025 to Feb 9, 2026
- Pension RAUM · $1.4M to $1.5MMar 5, 2025 to Feb 9, 2026
- RAUM · $745M to $852MMar 5, 2025 to Feb 9, 2026
- Accounts · 699 to 749Mar 29, 2024 to Mar 5, 2025
- HNW clients · 154 to 166Mar 29, 2024 to Mar 5, 2025
- Individual clients · 97 to 88Mar 29, 2024 to Mar 5, 2025
- Assets in custody · $186M to $108MMar 29, 2024 to Mar 5, 2025
- Financial planning clients · 26-50 to 26-50Mar 29, 2024 to Mar 5, 2025
- Discretionary RAUM · $613M to $735MMar 29, 2024 to Mar 5, 2025
- HNW RAUM · $557M to $676MMar 29, 2024 to Mar 5, 2025
- Individual RAUM · $49.0M to $45.1MMar 29, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $14.2M to $10.0MMar 29, 2024 to Mar 5, 2025
- Pension RAUM · $1.2M to $1.4MMar 29, 2024 to Mar 5, 2025
- RAUM · $628M to $745MMar 29, 2024 to Mar 5, 2025
- Accounts · 685 to 699Mar 23, 2023 to Mar 21, 2024
- HNW clients · 136 to 154Mar 23, 2023 to Mar 21, 2024
- Individual clients · 117 to 97Mar 23, 2023 to Mar 21, 2024
- Assets in custody · $165M to $186MMar 23, 2023 to Mar 21, 2024
- Discretionary RAUM · $528M to $613MMar 23, 2023 to Mar 21, 2024
- HNW RAUM · $467M to $557MMar 23, 2023 to Mar 21, 2024
- Individual RAUM · $54.8M to $49.0MMar 23, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $12.0M to $14.2MMar 23, 2023 to Mar 21, 2024
- Pension RAUM · $925,114 to $1.2MMar 23, 2023 to Mar 21, 2024
- RAUM · $540M to $628MMar 23, 2023 to Mar 21, 2024
- Accounts · 661 to 685Apr 15, 2022 to Mar 23, 2023
- HNW clients · 147 to 136Apr 15, 2022 to Mar 23, 2023
- Individual clients · 99 to 117Apr 15, 2022 to Mar 23, 2023
- Assets in custody · $167M to $165MApr 15, 2022 to Mar 23, 2023
- Discretionary RAUM · $590M to $528MApr 15, 2022 to Mar 23, 2023
- HNW RAUM · $528M to $467MApr 15, 2022 to Mar 23, 2023
- Individual RAUM · $54.2M to $54.8MApr 15, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $13.3M to $12.0MApr 15, 2022 to Mar 23, 2023
- Pension RAUM · $1.1M to $925,114Apr 15, 2022 to Mar 23, 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
- 301-961-9505reportedpublic record, Form ADV, Feb 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
- $213Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026