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
R•••• I••••••••• A•••••••
Legal name R•••• W••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 13, 2012 · 27 filings
SEC status approved since Mar 30, 2007
RAUM
$1.7B
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
19%
$324M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$283M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$1.7B as of Mar 31, 2026
Mar 13, 2012$231M then
HNW client RAUM$313M as of Mar 31, 2026
Mar 20, 2018$154M then
State-registered IARs (5.B.3)6 as of Mar 31, 2026
Mar 13, 20120 then
Employees (5.A)9 as of Mar 31, 2026
Mar 28, 20135 then
Private funds: no history
RAUM +10% over the last fiscal year+18% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $283MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 12derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.3MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 80%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 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)
- compensates persons for client referrals (8.G.1)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$1.1B67%
- High-net-worth individuals$313M18%
- Pension and profit-sharing plans$236M14%
- Individuals$10.9M0.6%
- Corporations and businesses$8.0M0.5%
- Individual clients
- 21reported
- HNW clients
- 50reported
- Pension plan clients
- 26reported
- Charitable clients
- 153reported
- Accounts
- 708reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.19 fund_share=0.0 institutional_share=0.8 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• P••••• M•••••Chartered Financial Analyst | Washington, Dc | Dec 15, 2020 | 16 y | 0 |
| J••••• D••••• G•••• | Washington, Dc | Feb 11, 2021 | 12 y | 1 |
| M•••••• J••••• O••••• | Washington, Dc | Sep 28, 2022 | 12 y | 0 |
| D••••• P•••••• G••••••Certified Financial Planner | Washington, Dc | Jan 1, 2025 | 23 y | 2 |
| R••• A••••• F••••••••• | Leadville, Co | Jan 1, 2025 | 11 y | 0 |
| J•••••• M•••••• F•••••••• R• S•••••••Certified Financial Planner | Naples, Fl | Apr 6, 2026 | 14 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- K••••••• S••••• to W•••••• B•••• • C•••••• L•••••Feb 18, 2022 · Other
- J••• P•••••• M•••••••• to O•••• W•••••• I•••Dec 7, 2020 · RIA to affiliated broker-dealer or bank
- C•••• A••• S•••• D••••• to V••••••• A•••••••• I•••May 7, 2018 · RIA to affiliated broker-dealer or bank
- D•••• M•••••• B•••••• to F•••• A•••••••Jun 25, 2010 · Other
Joined, latest
- J•••••• M•••••• F•••••••• R• S••••••• from S•••••••• A••••••• L••Apr 6, 2026 · Other
- D••••• P•••••• G•••••• from I•••••••• S••••••• C••••••• I•••Jan 1, 2025 · Other
- J••••• D••••• G•••• from F•••••••• W••••• M••••••••• L••Feb 11, 2021 · RIA to RIA
- K••••••• S••••• from F••••••• P••••••• A•• W•••••••• A•••••••Jul 7, 2020 · Affiliated broker-dealer or bank to independent RIA
- J••• P•••••• M•••••••• from C••••••••• F•••••••• N••••••May 18, 2018 · Affiliated broker-dealer or bank to independent RIA
- C•••• A••• S•••• D••••• from S•••• W••••• M••••••••• L••Jul 15, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• D•••••• P•••••• · Chief Compliance Officercontrolsince 07/2005 · owns 50% to 75%
- R••••• T•••••• J• · Membercontrolsince 07/2005 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Washington, Dc | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Washington, DC5 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 618 to 708Mar 25, 2025 to Mar 31, 2026
- Advisory employees · 5 to 6Mar 25, 2025 to Mar 31, 2026
- Charity clients · 131 to 153Mar 25, 2025 to Mar 31, 2026
- Corporate clients · 1 to 2Mar 25, 2025 to Mar 31, 2026
- HNW clients · 47 to 50Mar 25, 2025 to Mar 31, 2026
- Individual clients · 19 to 21Mar 25, 2025 to Mar 31, 2026
- Pension plan clients · 22 to 26Mar 25, 2025 to Mar 31, 2026
- Assets in custody · $880,563 to $2.8MMar 25, 2025 to Mar 31, 2026
- Employees · 7 to 9Mar 25, 2025 to Mar 31, 2026
- State-registered IARs · 5 to 6Mar 25, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.4B to $1.5BMar 25, 2025 to Mar 31, 2026
- HNW RAUM · $278M to $313MMar 25, 2025 to Mar 31, 2026
- Individual RAUM · $9.4M to $10.9MMar 25, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $155M to $186MMar 25, 2025 to Mar 31, 2026
- Pension RAUM · $196M to $236MMar 25, 2025 to Mar 31, 2026
- RAUM · $1.5B to $1.7BMar 25, 2025 to Mar 31, 2026
- Accounts · 539 to 618Apr 16, 2024 to Mar 25, 2025
- Charity clients · 119 to 131Apr 16, 2024 to Mar 25, 2025
- HNW clients · 38 to 47Apr 16, 2024 to Mar 25, 2025
- Individual clients · 22 to 19Apr 16, 2024 to Mar 25, 2025
- Pension plan clients · 23 to 22Apr 16, 2024 to Mar 25, 2025
- Assets in custody · $23.7M to $880,563Apr 16, 2024 to Mar 25, 2025
- Financial planning clients · unset to Apr 16, 2024 to Mar 25, 2025
- HQ city · unset to Apr 16, 2024 to Mar 25, 2025
- HQ state · unset to Apr 16, 2024 to Mar 25, 2025
- Discretionary RAUM · $1.1B to $1.4BApr 16, 2024 to Mar 25, 2025
- HNW RAUM · $237M to $278MApr 16, 2024 to Mar 25, 2025
- Individual RAUM · $12.6M to $9.4MApr 16, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $151M to $155MApr 16, 2024 to Mar 25, 2025
- Pension RAUM · $173M to $196MApr 16, 2024 to Mar 25, 2025
- RAUM · $1.3B to $1.5BApr 16, 2024 to Mar 25, 2025
- Accounts · 475 to 539Dec 22, 2023 to Mar 12, 2024
- Charity clients · 110 to 119Dec 22, 2023 to Mar 12, 2024
- HNW clients · 42 to 38Dec 22, 2023 to Mar 12, 2024
- Individual clients · 18 to 22Dec 22, 2023 to Mar 12, 2024
- Pension plan clients · 22 to 23Dec 22, 2023 to Mar 12, 2024
- Assets in custody · $13.7M to $23.7MDec 22, 2023 to Mar 12, 2024
- Employees · 8 to 7Dec 22, 2023 to Mar 12, 2024
- Other offices · 6 to 5Dec 22, 2023 to Mar 12, 2024
- Discretionary RAUM · $897M to $1.1BDec 22, 2023 to Mar 12, 2024
Signals
3 dated events
- K••••••• S••••• left R•••• I••••••••• A••••••• for W•••••• B•••• • C•••••• L••••• (registered 2022-04-08)Feb 18, 2022 · Advisor changed firm · fact
- R•••• I••••••••• A••••••• reported 5 offices beyond its principal office, up from 0 (2020-10-16 to 2020-12-15)Dec 15, 2020 · Office count change · derived
- R•••• I••••••••• A••••••• reported RAUM $910.0M, up 34% from $678.5M (2019-05-17 to 2020-03-20)Mar 20, 2020 · RAUM change · derived
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
- Firm profile
- linkedin.com/company/raffa-investment-advisersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- raffaadvisers.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 202-955-6734reportedpublic 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $283Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026