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
A••••••• A•••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 19, 2012 · 16 filings
SEC status approved since Mar 27, 2019
RAUM
$794M
reported, Item 5.F
Discretionary
22%
of RAUM
Private clients
22%
$171M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$794M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$794M as of Mar 30, 2026
Mar 19, 2012$34.8M then
HNW client RAUM$159M as of Mar 30, 2026
Mar 30, 2020$53.3M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 19, 20120 then
Employees (5.A)1 as of Mar 30, 2026
Mar 30, 20201 then
Private funds: no history
RAUM +23% over the last fiscal year+20% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $794MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $3.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 22%derivedof RAUM
- Institutional
- 78%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 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
- Pension and profit-sharing plans$622M78%
- High-net-worth individuals$159M20%
- Individuals$11.7M1.5%
- Charitable organizations$781,7170.1%
- Individual clients
- 25reported
- HNW clients
- 40reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 211reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.22 fund_share=0.0 institutional_share=0.78 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• D•••• A••••••• | Rockville, Md | Jun 7, 2006 | 28 y | 1 |
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
none on the tape
Joined, latest
- J•••• D•••• A••••••• from C•••••••• G••••• M•••••• I•••Jun 7, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• J••••• D•••• · President, Chief Compliance Officer & Membercontrolsince 11/2005 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 30, 2026institutional share of RAUM of 78% against a peer median of 2% (1482 comparable advisers, 100.0th percentile, 25.9 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 209 to 211Mar 21, 2025 to Mar 30, 2026
- HNW clients · 38 to 40Mar 21, 2025 to Mar 30, 2026
- Individual clients · 28 to 25Mar 21, 2025 to Mar 30, 2026
- Discretionary RAUM · $135M to $172MMar 21, 2025 to Mar 30, 2026
- HNW RAUM · $124M to $159MMar 21, 2025 to Mar 30, 2026
- Individual RAUM · $11.0M to $11.7MMar 21, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $509M to $622MMar 21, 2025 to Mar 30, 2026
- Pension RAUM · $509M to $622MMar 21, 2025 to Mar 30, 2026
- RAUM · $645M to $794MMar 21, 2025 to Mar 30, 2026
- Accounts · 193 to 209Oct 1, 2024 to Mar 21, 2025
- Individual clients · 27 to 28Oct 1, 2024 to Mar 21, 2025
- Financial planning clients · 0 to 0Oct 1, 2024 to Mar 21, 2025
- HQ city · unset to Oct 1, 2024 to Mar 21, 2025
- HQ state · unset to Oct 1, 2024 to Mar 21, 2025
- Discretionary RAUM · $128M to $135MOct 1, 2024 to Mar 21, 2025
- HNW RAUM · $116M to $124MOct 1, 2024 to Mar 21, 2025
- Individual RAUM · $11.2M to $11.0MOct 1, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $431M to $509MOct 1, 2024 to Mar 21, 2025
- Pension RAUM · $431M to $509MOct 1, 2024 to Mar 21, 2025
- RAUM · $559M to $645MOct 1, 2024 to Mar 21, 2025
- Accounts · 199 to 193Mar 23, 2023 to Mar 15, 2024
- HNW clients · 39 to 38Mar 23, 2023 to Mar 15, 2024
- Individual clients · 28 to 27Mar 23, 2023 to Mar 15, 2024
- Discretionary RAUM · $113M to $128MMar 23, 2023 to Mar 15, 2024
- HNW RAUM · $105M to $116MMar 23, 2023 to Mar 15, 2024
- Individual RAUM · $7.9M to $11.2MMar 23, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $346M to $431MMar 23, 2023 to Mar 15, 2024
- Pension RAUM · $345M to $431MMar 23, 2023 to Mar 15, 2024
- RAUM · $459M to $559MMar 23, 2023 to Mar 15, 2024
- Accounts · 211 to 199Mar 30, 2022 to Mar 21, 2023
- HNW clients · 37 to 39Mar 30, 2022 to Mar 21, 2023
- Individual clients · 25 to 28Mar 30, 2022 to Mar 21, 2023
- Pension plan clients · 4 to 2Mar 30, 2022 to Mar 21, 2023
- Discretionary RAUM · $113M to $113MMar 30, 2022 to Mar 21, 2023
- HNW RAUM · $90.1M to $105MMar 30, 2022 to Mar 21, 2023
- Individual RAUM · $8.2M to $7.9MMar 30, 2022 to Mar 21, 2023
- Non-discretionary RAUM · $329M to $346MMar 30, 2022 to Mar 21, 2023
- Pension RAUM · $344M to $345MMar 30, 2022 to Mar 21, 2023
- RAUM · $443M to $459MMar 30, 2022 to Mar 21, 2023
- Accounts · 151 to 211Mar 31, 2021 to Mar 30, 2022
Signals
1 dated events
- A••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 25, 2019 · 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 email
- j•@a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 240-599-1184reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 301-230-2088reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- A•••••••ASSET.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 301-230-2088reportedpublic record, Form ADV, Mar 30, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $794Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026