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•••• I••••••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 23, 2012 · 25 filings
SEC status approved since Apr 24, 2006
RAUM
$377M
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
10
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$377M as of Mar 31, 2026
Mar 23, 2012$804M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 23, 20120 then
Employees (5.A)10 as of Mar 31, 2026
Mar 27, 201323 then
Private funds: no history
RAUM +7.2% over the last fiscal year-1.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- unknownderivedRAUM 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
- $189MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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
- is a broker-dealer (6.A.1)
- 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
- Investment companies$377M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=5.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- V•••••• B•••••• G•••••••• to P••••••Jan 4, 2016 · Other
- J•• G••••• to T• A••••••••• I••••••••• M••••••••• L••Apr 2, 2014 · Other
Joined, latest
- V•••••• B•••••• G•••••••• from F•••••••• E••••• S•••••••• I•••Jun 30, 2015 · Other
- J•• G••••• from E••••• J••••Oct 12, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• J•••••• J••• · Managing Member, Chief Executive Officer, Presidentcontrolsince 12/2007 · owns 75% or more
- L••••• C••••••••• H•••• · Chief Compliance Officercontrolsince 07/2021 · owns less than 5%
- S••••••••• J•••• R•••• · Managing Member, Director Of Researchcontrolsince 02/2007 · owns less than 5%
Related persons
Schedule D 7.A
- A••••• D••••••••• L••broker-dealery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $352M to $377MMar 31, 2025 to Mar 31, 2026
- RAUM · $352M to $377MMar 31, 2025 to Mar 31, 2026
- Advisory employees · 5 to 4Apr 1, 2024 to Mar 31, 2025
- BD registered reps · 3 to 5Apr 1, 2024 to Mar 31, 2025
- Employees · 12 to 10Apr 1, 2024 to Mar 31, 2025
- Financial planning clients · unset to Apr 1, 2024 to Mar 31, 2025
- Discretionary RAUM · $0 to $352MApr 1, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $324M to $0Apr 1, 2024 to Mar 31, 2025
- RAUM · $324M to $352MApr 1, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $400M to $324MJan 29, 2024 to Apr 1, 2024
- RAUM · $400M to $324MJan 29, 2024 to Apr 1, 2024
- Accounts · 8 to 2Apr 1, 2022 to Mar 31, 2023
- BD registered reps · 5 to 3Apr 1, 2022 to Mar 31, 2023
- Employees · 10 to 12Apr 1, 2022 to Mar 31, 2023
- Discretionary RAUM · $325M to $0Apr 1, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $0 to $400MApr 1, 2022 to Mar 31, 2023
- RAUM · $325M to $400MApr 1, 2022 to Mar 31, 2023
- Advisory employees · 4 to 5Aug 17, 2021 to Apr 1, 2022
- Employees · 11 to 10Aug 17, 2021 to Apr 1, 2022
- Discretionary RAUM · $301M to $325MAug 17, 2021 to Apr 1, 2022
- RAUM · $301M to $325MAug 17, 2021 to Apr 1, 2022
- Accounts · 10 to 8Dec 3, 2020 to Mar 30, 2021
- Advisory employees · 5 to 4Dec 3, 2020 to Mar 30, 2021
- Employees · 13 to 11Dec 3, 2020 to Mar 30, 2021
- Discretionary RAUM · $415M to $301MDec 3, 2020 to Mar 30, 2021
- RAUM · $415M to $301MDec 3, 2020 to Mar 30, 2021
- BD registered reps · 7 to 5Mar 29, 2019 to Mar 30, 2020
- Employees · 14 to 13Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $489M to $415MMar 29, 2019 to Mar 30, 2020
- RAUM · $489M to $415MMar 29, 2019 to Mar 30, 2020
- Accounts · 9 to 10Feb 8, 2018 to Mar 29, 2019
- BD registered reps · 11 to 7Feb 8, 2018 to Mar 29, 2019
- Employees · 21 to 14Feb 8, 2018 to Mar 29, 2019
- Discretionary RAUM · $662M to $489MFeb 8, 2018 to Mar 29, 2019
- RAUM · $662M to $489MFeb 8, 2018 to Mar 29, 2019
- Accounts · 8 to 9Apr 17, 2017 to Feb 8, 2018
- BD registered reps · 12 to 11Apr 17, 2017 to Feb 8, 2018
- Employees · 26 to 21Apr 17, 2017 to Feb 8, 2018
- Other offices · unset to 0.0Apr 17, 2017 to Feb 8, 2018
- Discretionary RAUM · $747M to $662MApr 17, 2017 to Feb 8, 2018
Signals
8 dated events
- Barth Scott Widder (President Of Sales) no longer on Schedule A of A•••• I••••••••• A•••••••• L•• (listed 2023-03-31, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- E Kristin Stelljes (Chief Compliance Officer) no longer on Schedule A of A•••• I••••••••• A•••••••• L•• (listed 2021-08-17, absent 2022-04-01)Apr 1, 2022 · Control person left · inference
- Hardy Christopher Lewis (Chief Compliance Officer) appeared on Schedule A of A•••• I••••••••• A•••••••• L••Apr 1, 2022 · Control person joined · fact
- Louis Jacob Griffith (Owner) no longer on Schedule A of A•••• I••••••••• A•••••••• L•• (listed 2021-08-17, absent 2022-04-01)Apr 1, 2022 · Control person left · inference
- A•••• I••••••••• A•••••••• L•• reported RAUM $300.5M, down 28% from $414.7M (2020-12-03 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Ralph John Serrapere (Managing Member, Director Of Research) appeared on Schedule A of A•••• I••••••••• A•••••••• L••Oct 19, 2020 · Control person joined · fact
- Barth Scott Widder (President Of Sales) appeared on Schedule A of A•••• I••••••••• A•••••••• L••Oct 19, 2020 · Control person joined · fact
- A•••• I••••••••• A•••••••• L•• reported RAUM $489.5M, down 26% from $662.4M (2018-02-08 to 2019-03-29)Mar 29, 2019 · 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
- Website
- A••••FUNDS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 301-260-1001reportedpublic record, Form ADV, Mar 31, 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
- Asset manager (funds and pooled vehicles)deriveda 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