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

O•••••••• F•••••••• C••••

Former SEC-registered adviserMclean, VirginiaCRD 138923SEC 801-65346IAPD
Latest filing Feb 29, 2016
First filing on the tape Feb 1, 2012 · 10 filings
RAUM
$32.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$32.6M as of Feb 29, 2016
Feb 1, 2012$16.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Feb 29, 2016
Feb 28, 20131 then
Employees (5.A)4 as of Feb 29, 2016
Feb 28, 20132 then
Private funds: no history
RAUM +0.5% over the last fiscal year+23% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 29, 2016; every figure names its basis
RAUM per advisor
$10.9MderivedRAUM 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
$227,803derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.5%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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)
  • compensates non-employees for client referrals (8.G.2)
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
143reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••• M••••• A••••• · Chief Financial Officercontrol
    since 06/2005 · owns 5% to 10%
  • F•••••• A••••• · Shareholdercontrol
    since 03/2006 · owns 10% to 25%
  • K•••••• D••••• A••••• · Executive Vice Presidentcontrol
    since 05/2013 · owns 25% to 50%
  • P•••••• B•••••••• J••••• · President, Chief Compliance Officercontrol
    since 06/2005 · owns 25% to 50%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 124 to 143
    Jun 8, 2015 to Feb 29, 2016
  • Discretionary RAUM · $32.4M to $32.6M
    Jun 8, 2015 to Feb 29, 2016
  • RAUM · $32.4M to $32.6M
    Jun 8, 2015 to Feb 29, 2016
  • Accounts · 32 to 124
    Jul 23, 2014 to Feb 4, 2015
  • Discretionary RAUM · $26.5M to $32.4M
    Jul 23, 2014 to Feb 4, 2015
  • RAUM · $26.5M to $32.4M
    Jul 23, 2014 to Feb 4, 2015
  • Accounts · 22 to 32
    Oct 8, 2013 to Mar 10, 2014
  • BD registered reps · 1 to 0
    Oct 8, 2013 to Mar 10, 2014
  • Discretionary RAUM · $17.7M to $26.5M
    Oct 8, 2013 to Mar 10, 2014
  • RAUM · $17.7M to $26.5M
    Oct 8, 2013 to Mar 10, 2014
  • Advisory employees · 2 to 3
    May 31, 2013 to Oct 8, 2013
  • Employees · 3 to 4
    May 31, 2013 to Oct 8, 2013
  • State-registered IARs · 2 to 3
    May 31, 2013 to Oct 8, 2013
  • Advisory employees · 1 to 2
    Feb 28, 2013 to May 31, 2013
  • BD registered reps · 0 to 1
    Feb 28, 2013 to May 31, 2013
  • Employees · 2 to 3
    Feb 28, 2013 to May 31, 2013
  • Insurance-licensed employees · 1 to 2
    Feb 28, 2013 to May 31, 2013
  • State-registered IARs · 1 to 2
    Feb 28, 2013 to May 31, 2013
  • Advisory employees · 2 to 1
    Nov 21, 2012 to Feb 28, 2013
  • Insurance-licensed employees · 2 to 1
    Nov 21, 2012 to Feb 28, 2013
  • Financial planning clients · 0 to unset
    Nov 21, 2012 to Feb 28, 2013
  • State-registered IARs · 2 to 1
    Nov 21, 2012 to Feb 28, 2013
  • Discretionary RAUM · $16.8M to $17.7M
    Nov 21, 2012 to Feb 28, 2013
  • RAUM · $16.8M to $17.7M
    Nov 21, 2012 to Feb 28, 2013
  • Advisory employees · unset to 2.0
    Feb 1, 2012 to Nov 21, 2012
  • BD registered reps · unset to 0.0
    Feb 1, 2012 to Nov 21, 2012
  • Employees · unset to 2.0
    Feb 1, 2012 to Nov 21, 2012
  • State-registered IARs · unset to 2.0
    Feb 1, 2012 to Nov 21, 2012
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.
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