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
T•• H•••••• P••••••• G••••• L••
Latest filing Mar 26, 2026
First filing on the tape Mar 29, 2012 · 25 filings
SEC status approved since Apr 18, 2006
RAUM
$1.7B
reported, Item 5.F
Discretionary
54%
of RAUM
Private clients
85%
$1.4B individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$413M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$1.7B as of Mar 26, 2026
Mar 29, 2012$413M then
HNW client RAUM$1.4B as of Mar 26, 2026
Mar 29, 2018$557M then
State-registered IARs (5.B.3)4 as of Mar 26, 2026
Mar 29, 20120 then
Employees (5.A)8 as of Mar 26, 2026
Mar 13, 20134 then
Private funds: no history
RAUM +9.0% over the last fiscal year+14% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $413MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.5MderivedHNW RAUM over HNW clients
- Average account
- $880,578derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 54%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Custody
- $743M, 277 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)
- 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)
- 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$1.4B82%
- Charitable organizations$209M13%
- Individuals$39.5M2.4%
- Corporations and businesses$24.8M1.5%
- Pension and profit-sharing plans$18.8M1.1%
- Individual clients
- 204reported
- HNW clients
- 161reported
- Pension plan clients
- 9reported
- Charitable clients
- 54reported
- Accounts
- 1,877reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $743M for 277 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H•••• R••••• H•••••• | Middleburg, Va | May 18, 2006 | 34 y | 1 |
| S•••• A••••• A••••••••Certified Financial Planner | Middleburg, Va | Apr 28, 2017 | 15 y | 0 |
| C••••••••• P•••• H•••••• | Middleburg, Va | Jan 6, 2020 | 10 y | 1 |
| V••••• T••••• C•••••••••Chartered Financial Analyst | Middleburg, Va | Jul 2, 2024 | 17 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
- J•••••• B••••• L•••••••• to P••••••••• L••Jan 4, 2021 · RIA to RIA
Joined, latest
- V••••• T••••• C••••••••• from L•••• A•••• M••••••••• L••Jul 2, 2024 · Other
- C••••••••• P•••• H•••••• from A••••• C•••••••••Jan 6, 2020 · RIA to RIA
- H•••• R••••• H•••••• from O•••• F•• I•••May 18, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• H••••• R••••• · Managing Membercontrolsince 05/2006 · owns 75% or more
- M••••••• R••••••• N•• · Chief Compliance Officersince 01/2024 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Middleburg, Va · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,654 to 1,877Mar 27, 2025 to Mar 26, 2026
- Charity clients · 49 to 54Mar 27, 2025 to Mar 26, 2026
- HNW clients · 165 to 161Mar 27, 2025 to Mar 26, 2026
- Individual clients · 187 to 204Mar 27, 2025 to Mar 26, 2026
- Pension plan clients · 8 to 9Mar 27, 2025 to Mar 26, 2026
- Assets in custody · $502M to $743MMar 27, 2025 to Mar 26, 2026
- State-registered IARs · 3 to 4Mar 27, 2025 to Mar 26, 2026
- Discretionary RAUM · $829M to $898MMar 27, 2025 to Mar 26, 2026
- HNW RAUM · $1.3B to $1.4BMar 27, 2025 to Mar 26, 2026
- Individual RAUM · $32.5M to $39.5MMar 27, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $687M to $755MMar 27, 2025 to Mar 26, 2026
- Pension RAUM · $20.3M to $18.8MMar 27, 2025 to Mar 26, 2026
- RAUM · $1.5B to $1.7BMar 27, 2025 to Mar 26, 2026
- Accounts · 1,522 to 1,654Nov 15, 2024 to Mar 27, 2025
- Advisory employees · 3 to 4Nov 15, 2024 to Mar 27, 2025
- Charity clients · 47 to 49Nov 15, 2024 to Mar 27, 2025
- HNW clients · 169 to 165Nov 15, 2024 to Mar 27, 2025
- Individual clients · 173 to 187Nov 15, 2024 to Mar 27, 2025
- Pension plan clients · 9 to 8Nov 15, 2024 to Mar 27, 2025
- Employees · 7 to 8Nov 15, 2024 to Mar 27, 2025
- Financial planning clients · 251-500 to 251-500Nov 15, 2024 to Mar 27, 2025
- Discretionary RAUM · $796M to $829MNov 15, 2024 to Mar 27, 2025
- HNW RAUM · $1.1B to $1.3BNov 15, 2024 to Mar 27, 2025
- Individual RAUM · $28.0M to $32.5MNov 15, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $532M to $687MNov 15, 2024 to Mar 27, 2025
- Pension RAUM · $17.4M to $20.3MNov 15, 2024 to Mar 27, 2025
- RAUM · $1.3B to $1.5BNov 15, 2024 to Mar 27, 2025
- Accounts · 1,383 to 1,522Jan 4, 2024 to Mar 26, 2024
- Charity clients · 45 to 47Jan 4, 2024 to Mar 26, 2024
- Corporate clients · 2 to 4Jan 4, 2024 to Mar 26, 2024
- HNW clients · 170 to 169Jan 4, 2024 to Mar 26, 2024
- Individual clients · 164 to 173Jan 4, 2024 to Mar 26, 2024
- Pension plan clients · 8 to 9Jan 4, 2024 to Mar 26, 2024
- Discretionary RAUM · $737M to $796MJan 4, 2024 to Mar 26, 2024
- HNW RAUM · $922M to $1.1BJan 4, 2024 to Mar 26, 2024
- Individual RAUM · $29.6M to $28.0MJan 4, 2024 to Mar 26, 2024
- Non-discretionary RAUM · $367M to $532MJan 4, 2024 to Mar 26, 2024
- Pension RAUM · $11.0M to $17.4MJan 4, 2024 to Mar 26, 2024
- RAUM · $1.1B to $1.3BJan 4, 2024 to Mar 26, 2024
- Advisory employees · 4 to 3May 5, 2023 to Nov 10, 2023
Signals
4 dated events
- Nmn R•••••• M•••••• (Chief Compliance Officer) appeared on Schedule A of T•• H•••••• P••••••• G••••• L••Jan 4, 2024 · Control person joined · fact
- Cecilia Alexandra Lafrankie (Chief Compliance Officer) no longer on Schedule A of T•• H•••••• P••••••• G••••• L•• (listed 2023-05-05, absent 2023-11-10)Nov 10, 2023 · Control person left · inference
- T•• H•••••• P••••••• G••••• L•• reported RAUM $874.7M, up 35% from $650.1M (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Cecilia Alexandra Lafrankie (Chief Compliance Officer) appeared on Schedule A of T•• H•••••• P••••••• G••••• L••Jan 2, 2019 · Control person joined · 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
- Principal office phone
- 540-687-5090reportedpublic record, Form ADV, Mar 26, 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
- $413Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026