DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

G•••••• F•••••••• A•••••••• I•••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $169M of regulatory assets across 2 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$169M
Form ADV
Advisors
2
IAPD
Net advisor flow, 12 months
0
0 joined, 0 left
IAPD registration history
RAUM change, 1 year
+16%
Form ADV, consecutive annual filings
Private clients
100%
of RAUM, $169M
Form ADV
See where advisers wentSee teams that moved
More
Advisors (2)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 22 Jan 2026, RAUM $146M to $169M (+15.8%) on the Form ADV filed 22 Jan 2026.

Every filed figure, and the identifiersCRD 135544 · SEC 801-131574 · 7 filingsShow
CRD 135544SEC 801-131574First filing on the tape Nov 4, 2024, latest Jan 22, 2026SEC status approved since Dec 4, 2024IAPD
RAUM
$169M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
100%
$169M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$84.5M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape

RAUM +16% over the last fiscal year · the tape starts Nov 4, 2024

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$169M as of Jan 22, 2026
Feb 19, 2025$146M then
HNW client RAUM$143M as of Jan 22, 2026
Feb 19, 2025$121M then
State-registered IARs (5.B.3)0 as of Jan 22, 2026
Feb 19, 20250 then
Employees (5.A)3 as of Jan 22, 2026
Feb 19, 20252 then
Private funds: no history
RAUM +16% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 22, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure3 rulesShow
  • 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)
RAUM per advisor
$84.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
49derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$469,444derivedRAUM over accounts (5.F.2.f)
Discretionary
88%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 office incl. principal (1.F.5)
RAUM growth, one year
+16%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, hourlyreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing

85% high-net-worth individuals, 15% individuals

The breakdown by client type, and the client counts2 client typesShow
  • High-net-worth individuals$143M85%
  • Individuals$26.1M15%
Individual clients
51reported
HNW clients
47reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
360reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
0 left over 36 months
0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount
Left, latest
none on the tape
    Every departureEvery arrival
    Advisors registered through the firm
    2 on IAPD today; the longest tenured first
    NameBranchHere sinceIn industryPrior firms
    T•••••• T••••••• M•••••Certified Financial PlannerChantilly, VaJun 14, 200524 y1
    R••••• J••••• M•••••Chantilly, Va Sep 30, 202412 y0
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M•••••• P••••• A•• · Vice Presidentcontrol
      since 01/2004 · owns 50% to 75%
    • M•••••• T••••••• T••••••• · President, Ccocontrol
      since 01/2004 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Chantilly, Va200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 363 to 360
      Aug 26, 2025 to Jan 22, 2026
    • HNW clients · 53 to 47
      Aug 26, 2025 to Jan 22, 2026
    • Individual clients · 45 to 51
      Aug 26, 2025 to Jan 22, 2026
    • Employees · 2 to 3
      Aug 26, 2025 to Jan 22, 2026
    • Discretionary RAUM · $129M to $149M
      Aug 26, 2025 to Jan 22, 2026
    Full history · 21 changes
    • HNW RAUM · $121M to $143M
      Aug 26, 2025 to Jan 22, 2026
    • Individual RAUM · $25.0M to $26.1M
      Aug 26, 2025 to Jan 22, 2026
    • Non-discretionary RAUM · $17.0M to $19.9M
      Aug 26, 2025 to Jan 22, 2026
    • RAUM · $146M to $169M
      Aug 26, 2025 to Jan 22, 2026
    • Accounts · 98 to 363
      Dec 11, 2024 to Feb 19, 2025
    • Advisory employees · 1 to 2
      Dec 11, 2024 to Feb 19, 2025
    • Employees · 1 to 2
      Dec 11, 2024 to Feb 19, 2025
    • Financial planning clients · 1-10 to 1-10
      Dec 11, 2024 to Feb 19, 2025
    • HQ city · unset to
      Dec 11, 2024 to Feb 19, 2025
    • HQ state · unset to
      Dec 11, 2024 to Feb 19, 2025
    • State-registered IARs · 1 to 0
      Dec 11, 2024 to Feb 19, 2025
    • Discretionary RAUM · $126M to $129M
      Dec 11, 2024 to Feb 19, 2025
    • HNW RAUM · $126M to $121M
      Dec 11, 2024 to Feb 19, 2025
    • Individual RAUM · $15.5M to $25.0M
      Dec 11, 2024 to Feb 19, 2025
    • Non-discretionary RAUM · $16.1M to $17.0M
      Dec 11, 2024 to Feb 19, 2025
    • RAUM · $142M to $146M
      Dec 11, 2024 to Feb 19, 2025
    Signals
    1 dated events
    • ••• Locked
      Nov 4, 2024 · 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
    Business phone
    ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
    Website
    ••• Lockedreportedpublic record, Form ADV, Jan 22, 2026
    Principal office phone
    ••• Lockedreportedpublic record, Form ADV, Jan 22, 2026
    Team page
    ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
    Provenance
    Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
    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
    $84.5Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026