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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
R•••••• A•••• M••••••••• L••
Latest filing Apr 1, 2026
First filing on the tape Feb 29, 2012 · 24 filings
SEC status approved since Dec 21, 2005
RAUM
$537M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
81%
$433M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$269M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$537M as of Apr 1, 2026
Feb 29, 2012$120M then
HNW client RAUM$374M as of Apr 1, 2026
Mar 29, 2018$189M then
State-registered IARs (5.B.3)3 as of Apr 1, 2026
Feb 29, 20120 then
Employees (5.A)6 as of Apr 1, 2026
Jan 25, 20136 then
Private funds: no history
RAUM -3.6% over the last fiscal year+16% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $269MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 146derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $737,952derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $18.5M, 37 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$374M70%
- Individuals$58.6M11%
- Insurance companies$57.1M11%
- Corporations and businesses$29.4M5.5%
- Charitable organizations$14.7M2.7%
- Pension and profit-sharing plans$3.0M0.6%
- Individual clients
- 178reported
- HNW clients
- 114reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 728reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $18.5M for 37 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• S•••• R••••••Chartered Financial Analyst | Henrico, Va | Dec 21, 2005 | 28 y | 1 |
| J••••• B•••• K•••••••Chartered Financial Analyst | Henrico, Va | Mar 31, 2011 | 20 y | 0 |
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
- M•••••• S••••• G••••••• to E•••••••• C•••••• M••••••••• L••Aug 15, 2008 · Other
Joined, latest
- M•••••• S••••• G••••••• from W•••• F•••• A•••••••Apr 6, 2006 · Other
- R••••• S•••• R•••••• from T•• C•••••• M••••••••• C•••••••••Dec 21, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• R•••••• S•••• · Managing Membercontrolsince 11/2005 · owns 75% or more
- K•••••••• J•••••• B•••• · Membersince 01/2014 · owns 10% to 25%
- L••••• A••••• M•••• · Chief Compliance Officer And Chief Operating Officersince 09/2017 · owns less than 5%
Related persons
Schedule D 7.A
- N••••• C•••••• M••••••••• I•••investment adviseryRAUM $137M
Advisers that list R•••••• A•••• M••••••••• L•• as a related person
- 110398 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Henrico, Va · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 749 to 728Mar 31, 2025 to Apr 1, 2026
- Advisory activities · 4 to 3Mar 31, 2025 to Apr 1, 2026
- HNW clients · 111 to 114Mar 31, 2025 to Apr 1, 2026
- Individual clients · 196 to 178Mar 31, 2025 to Apr 1, 2026
- Assets in custody · $11.9M to $18.5MMar 31, 2025 to Apr 1, 2026
- Employees · 5 to 6Mar 31, 2025 to Apr 1, 2026
- State-registered IARs · 2 to 3Mar 31, 2025 to Apr 1, 2026
- Discretionary RAUM · $525M to $508MMar 31, 2025 to Apr 1, 2026
- HNW RAUM · $384M to $374MMar 31, 2025 to Apr 1, 2026
- Individual RAUM · $66.7M to $58.6MMar 31, 2025 to Apr 1, 2026
- Non-discretionary RAUM · $32.7M to $28.8MMar 31, 2025 to Apr 1, 2026
- Pension RAUM · $5.8M to $3.0MMar 31, 2025 to Apr 1, 2026
- RAUM · $557M to $537MMar 31, 2025 to Apr 1, 2026
- Accounts · 390 to 749Nov 21, 2024 to Mar 31, 2025
- Charity clients · unset to 6.0Nov 21, 2024 to Mar 31, 2025
- HNW clients · 66 to 111Nov 21, 2024 to Mar 31, 2025
- Individual clients · 96 to 196Nov 21, 2024 to Mar 31, 2025
- Assets in custody · $9.6M to $11.9MNov 21, 2024 to Mar 31, 2025
- Employees · 4 to 5Nov 21, 2024 to Mar 31, 2025
- Financial planning clients · 11-25 to 11-25Nov 21, 2024 to Mar 31, 2025
- Discretionary RAUM · $360M to $525MNov 21, 2024 to Mar 31, 2025
- HNW RAUM · $260M to $384MNov 21, 2024 to Mar 31, 2025
- Individual RAUM · $29.1M to $66.7MNov 21, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $18.6M to $32.7MNov 21, 2024 to Mar 31, 2025
- Pension RAUM · $6.2M to $5.8MNov 21, 2024 to Mar 31, 2025
- RAUM · $378M to $557MNov 21, 2024 to Mar 31, 2025
- Related adviser · false to trueApr 3, 2024 to Nov 21, 2024
- Accounts · 387 to 390Mar 31, 2023 to Mar 28, 2024
- HNW clients · 62 to 66Mar 31, 2023 to Mar 28, 2024
- Assets in custody · $4.1M to $9.6MMar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $306M to $360MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $239M to $260MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $26.5M to $29.1MMar 31, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $35.4M to $18.6MMar 31, 2023 to Mar 28, 2024
- Pension RAUM · $5.4M to $6.2MMar 31, 2023 to Mar 28, 2024
- RAUM · $342M to $378MMar 31, 2023 to Mar 28, 2024
- Accounts · 389 to 387Apr 1, 2022 to Mar 30, 2023
- Advisory employees · 3 to 2Apr 1, 2022 to Mar 30, 2023
- HNW clients · 64 to 62Apr 1, 2022 to Mar 30, 2023
- Individual clients · 98 to 96Apr 1, 2022 to Mar 30, 2023
Signals
1 dated events
- R•••••• A•••• M••••••••• L•• reported RAUM $557.2M, up 47% from $378.5M (2024-11-21 to 2025-03-31)Mar 31, 2025 · 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
- Business phone
- 804-288-6080reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/R••••••-ASSET-MANAGEMENT-LLCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- R••••••ASSETMANAGEMENT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 804-288-6080reportedpublic record, Form ADV, Apr 1, 2026
- Team page
- r•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $269Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026