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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Former SEC-registered adviser
D•••••• A•••••••• L••
Latest filing Feb 29, 2016
First filing on the tape Mar 19, 2012 · 15 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$14.4M as of Feb 12, 2015
Mar 19, 2012$56.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 29, 2016
Mar 19, 20120 then
Employees (5.A)7 as of Feb 29, 2016
Mar 13, 20138 then
Private funds1 as of Feb 12, 2015
Mar 19, 20122 then
RAUM n/a over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 29, 2016; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- n/areported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- G••••• J••••••• M•••• to P••••••• A••••••••• L•••May 17, 2016 · Other
- J••• H••••• B••••• to P••••••• A••••••••• L•••May 17, 2016 · Other
- M••• A••••• L•••• to I••••••••• M••••••••• O• V•••••••• L••Feb 13, 2009 · Other
Joined, latest
- G••••• J••••••• M•••• from I••••••••• M••••••••• O• V•••••••• L••Mar 23, 2007 · Other
- J••• H••••• B••••• from I••••••••• M••••••••• O• V•••••••• L••Mar 23, 2007 · Other
- M••• A••••• L•••• from D•••••••• • C•••••• L••Mar 13, 2007 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for P••••••• A••••••••• L•••May 17, 2016 · Richmond, Va
- 2 joined from I••••••••• M••••••••• O• V•••••••• L••Dec 11, 2023 · Richmond, Va
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D•••••• E••••• F•••• L•no longer reported | Hedge Fund | $39.3M | 61 | Mar 19, 2012 |
| D•••••• V•••••• P•••••••• L• | Private Equity Fund | $0 | 0 | Mar 19, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• A••••••••• H••••••• · Membercontrolsince 09/1998 · owns 25% to 50%
- B•••••• J•••• H••••• · Membercontrolsince 07/1997 · owns 25% to 50%
- B•••••• A••••••••• H••••••• · Trusteecontrolsince 09/2010 · owns F of F••••••• S• B••••• M•••••• T•••• O••
- B•••••• J•••• H••••• · Trusteecontrolsince 09/2010 · owns F of F••••••• S• B••••• M•••••• T•••• O••
- M••••• G•••••• J••••••• · Cfo, Chief Compliance Officersince 07/2000 · owns less than 5%
- D••••• M•••••••• B••••• · Trusteesince 09/2010 · owns F of F••••••• S• B••••• M•••••• T•••• O••
- T••••••• N••••••• B••••• · Trusteesince 09/2010 · owns F of F••••••• S• B••••• M•••••• T•••• O••
Entity owners
- F••••••• S• B••••• M•••••• T•••• O•• · Trustdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- I••••••••• M••••••••• O• V•••••••• L••investment advisernRAUM $571M
Offices
Schedule D 1.F, the 25 largest
- Charlottesville, VA
What changed
consecutive filings, newest first
- Accounts · 0.0 to unsetNov 11, 2015 to Feb 29, 2016
- Employees · 8 to 7Nov 11, 2015 to Feb 29, 2016
- Private funds · 1 to unsetNov 11, 2015 to Feb 29, 2016
- Discretionary RAUM · 0.0 to unsetNov 11, 2015 to Feb 29, 2016
- Non-discretionary RAUM · 0.0 to unsetNov 11, 2015 to Feb 29, 2016
- RAUM · 0.0 to unsetNov 11, 2015 to Feb 29, 2016
- Accounts · 1 to 0May 1, 2015 to Nov 11, 2015
- Assets in custody · $14.4M to $0May 1, 2015 to Nov 11, 2015
- Custody of client assets · true to falseMay 1, 2015 to Nov 11, 2015
- Discretionary RAUM · $14.4M to $0May 1, 2015 to Nov 11, 2015
- RAUM · $14.4M to $0May 1, 2015 to Nov 11, 2015
- Assets in custody · $24.8M to $14.4MAug 1, 2014 to Feb 12, 2015
- Discretionary RAUM · $24.8M to $14.4MAug 1, 2014 to Feb 12, 2015
- RAUM · $24.8M to $14.4MAug 1, 2014 to Feb 12, 2015
- Assets in custody · $24.8M to $24.8MOct 23, 2013 to Feb 20, 2014
- Employees · 7 to 8Oct 23, 2013 to Feb 20, 2014
- Discretionary RAUM · $24.7M to $24.8MOct 23, 2013 to Feb 20, 2014
- RAUM · $24.7M to $24.8MOct 23, 2013 to Feb 20, 2014
- Advisory employees · 3 to 2Mar 26, 2013 to Oct 23, 2013
- Employees · 8 to 7Mar 26, 2013 to Oct 23, 2013
- Insurance-licensed employees · 3 to 2Mar 26, 2013 to Oct 23, 2013
- State-registered IARs · 3 to 2Mar 26, 2013 to Oct 23, 2013
- Discretionary RAUM · $24.8M to $24.7MMar 26, 2013 to Oct 23, 2013
- RAUM · $24.8M to $24.7MMar 26, 2013 to Oct 23, 2013
- Advisory employees · unset to 3.0Apr 23, 2012 to Mar 13, 2013
- Assets in custody · $16.9M to $24.8MApr 23, 2012 to Mar 13, 2013
- Employees · unset to 8.0Apr 23, 2012 to Mar 13, 2013
- State-registered IARs · 0 to 3Apr 23, 2012 to Mar 13, 2013
- Discretionary RAUM · $16.9M to $24.8MApr 23, 2012 to Mar 13, 2013
- RAUM · $16.9M to $24.8MApr 23, 2012 to Mar 13, 2013
- RAUM · $56.2M to $16.9MMar 19, 2012 to Apr 23, 2012
- Accounts · 2 to 1Mar 19, 2012 to Apr 23, 2012
- Assets in custody · $56.2M to $16.9MMar 19, 2012 to Apr 23, 2012
- Insurance-licensed employees · 4 to 3Mar 19, 2012 to Apr 23, 2012
- Private funds · 2 to 1Mar 19, 2012 to Apr 23, 2012
- Discretionary RAUM · $56.2M to $16.9MMar 19, 2012 to Apr 23, 2012
Signals
1 dated events
- 2 advisors left I••••••••• M••••••••• O• V•••••••• L•• (Richmond, VA) for D•••••• A•••••••• L•• on the same dayDec 11, 2023 · Team lift-out · derived
Across DFX
shared identifiers only, never a name match
- D•••••• A•••••••• L•• · Private Equityshared crd · organization
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026