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

R••••••• C•••••• A•••••••• L••

Former SEC-registered adviserRichmond, VirginiaCRD 137604SEC 801-64868IAPD
Latest filing May 19, 2014
First filing on the tape Mar 20, 2012 · 5 filings
RAUM
$66.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$22.0M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$67.1M as of Mar 21, 2014
Mar 20, 2012$117M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 21, 2014
Mar 20, 20120 then
Employees (5.A)6 as of Mar 21, 2014
Mar 13, 20136 then
Private funds: no history
RAUM -31% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of May 19, 2014; every figure names its basis
RAUM per advisor
$22.0MderivedRAUM 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
$1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-30%derivedbetween 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, hourly, fixed feesreportedItem 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
  • 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)
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
44reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••• E•••• F••••••••Richmond, VaFeb 8, 200623 y1
J•••• V••••••• D•••Certified Financial PlannerRichmond, VaFeb 8, 200630 y1
B••• P• B••••••••Certified Financial PlannerRichmond, VaJul 27, 201921 y1
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C•••••• J••••• W••••• · Managing Membercontrol
    since 06/2006 · owns 25% to 50%
  • D•••• J••••• V••••••• · Managing Membercontrol
    since 10/2005 · owns 25% to 50%
  • F••••••••• J•••• E•••• · Managing Membercontrol
    since 10/2005 · owns 25% to 50%
  • W••••••••• L••••• W•••• · Chief Compliance Officercontrol
    since 03/2012 · owns less than 5%
  • B••••••••• B•••• P• · Member
    since 10/2005 · owns 25% to 50% of R••••••• Financial Group
Entity owners
  • R••••••• F•••••••• G••••• L•• · Member
    direct · owns 10% to 25%
Related persons
Schedule D 7.A
  • R••••••• T•• A•••••••• P•••
    insurancen
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Richmond, Va · principal300
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 4 to 3
    Mar 21, 2014 to May 1, 2014
  • Employees · 6 to 5
    Mar 21, 2014 to May 1, 2014
  • Discretionary RAUM · $67.1M to $66.1M
    Mar 21, 2014 to May 1, 2014
  • RAUM · $67.1M to $66.1M
    Mar 21, 2014 to May 1, 2014
  • Accounts · 182 to 44
    Mar 13, 2013 to Mar 21, 2014
  • Discretionary RAUM · $95.6M to $67.1M
    Mar 13, 2013 to Mar 21, 2014
  • RAUM · $95.6M to $67.1M
    Mar 13, 2013 to Mar 21, 2014
  • Accounts · 193 to 182
    Mar 20, 2012 to Mar 13, 2013
  • Advisory employees · unset to 4.0
    Mar 20, 2012 to Mar 13, 2013
  • Employees · unset to 6.0
    Mar 20, 2012 to Mar 13, 2013
  • State-registered IARs · 0 to 3
    Mar 20, 2012 to Mar 13, 2013
  • Discretionary RAUM · $117M to $95.6M
    Mar 20, 2012 to Mar 13, 2013
  • RAUM · $117M to $95.6M
    Mar 20, 2012 to Mar 13, 2013
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
Firm profile
linkedin.com/company/the-roseline-financial-group-llcreportedpublic record, Form ADV, Sep 18, 2026
Website
THER•••••••GROUP.COMreportedpublic record, Form ADV, Sep 18, 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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
$22.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026