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
F••••• F•••••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Dec 18, 2019 · 27 filings
SEC status approved since Jan 21, 2020
RAUM
$248M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$247M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$248M as of Mar 31, 2026
Mar 26, 2020$108M then
HNW client RAUM$234M as of Mar 31, 2026
Mar 26, 2020$80.7M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 26, 20202 then
Employees (5.A)2 as of Mar 31, 2026
Mar 26, 20202 then
Private funds: no history
RAUM +4.7% over the last fiscal year+17% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $124MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $625,477derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.2%derived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$234M95%
- Individuals$12.6M5.1%
- Charitable organizations$811,8790.3%
- Corporations and businesses$93,0600.0%
- Individual clients
- 22reported
- HNW clients
- 69reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 396reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- S•••••• M•••••• W••••••••• to L••• I••••••••• A•••••••• L••May 11, 2026 · RIA to RIA
- C•••••• B•••• C••••• to L••• I••••••••• A•••••••• L••Mar 31, 2026 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••••• S••••••• M•••••• · Managing Principal, Chief Compliance Officercontrolsince 02/2006 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Arlington, Va · principal | 0 | 0 | 2 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 377 to 396Aug 25, 2025 to Mar 31, 2026
- Charity clients · unset to 1.0Aug 25, 2025 to Mar 31, 2026
- Corporate clients · unset to 1.0Aug 25, 2025 to Mar 31, 2026
- HNW clients · 66 to 69Aug 25, 2025 to Mar 31, 2026
- Individual clients · 29 to 22Aug 25, 2025 to Mar 31, 2026
- Financial planning clients · 101-250 to 51-100Aug 25, 2025 to Mar 31, 2026
- HNW RAUM · $222M to $234MAug 25, 2025 to Mar 31, 2026
- Individual RAUM · $13.5M to $12.6MAug 25, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $237M to $248MAug 25, 2025 to Mar 31, 2026
- RAUM · $237M to $248MAug 25, 2025 to Mar 31, 2026
- Financial planning clients · 101-250 to 101-250Apr 25, 2025 to Jul 15, 2025
- Accounts · 385 to 377Nov 13, 2024 to Jan 27, 2025
- HNW clients · 57 to 66Nov 13, 2024 to Jan 27, 2025
- Individual clients · 31 to 29Nov 13, 2024 to Jan 27, 2025
- Financial planning clients · 51-100 to 101-250Nov 13, 2024 to Jan 27, 2025
- Other offices · 0 to 1Nov 13, 2024 to Jan 27, 2025
- HNW RAUM · $166M to $222MNov 13, 2024 to Jan 27, 2025
- Individual RAUM · $18.3M to $13.5MNov 13, 2024 to Jan 27, 2025
- Non-discretionary RAUM · $185M to $237MNov 13, 2024 to Jan 27, 2025
- RAUM · $185M to $237MNov 13, 2024 to Jan 27, 2025
- Accounts · 363 to 385Nov 8, 2023 to Feb 7, 2024
- HNW clients · 52 to 57Nov 8, 2023 to Feb 7, 2024
- Individual clients · 38 to 31Nov 8, 2023 to Feb 7, 2024
- HNW RAUM · $143M to $166MNov 8, 2023 to Feb 7, 2024
- Individual RAUM · $12.6M to $18.3MNov 8, 2023 to Feb 7, 2024
- Non-discretionary RAUM · $156M to $185MNov 8, 2023 to Feb 7, 2024
- RAUM · $156M to $185MNov 8, 2023 to Feb 7, 2024
- HQ city · BOSTON to ARLINGTONMar 24, 2023 to Apr 5, 2023
- HQ state · MA to VAMar 24, 2023 to Apr 5, 2023
- Accounts · 332 to 363Feb 7, 2023 to Mar 24, 2023
- HNW clients · 53 to 52Feb 7, 2023 to Mar 24, 2023
- Individual clients · 27 to 38Feb 7, 2023 to Mar 24, 2023
- HNW RAUM · $151M to $143MFeb 7, 2023 to Mar 24, 2023
- Individual RAUM · $15.2M to $12.6MFeb 7, 2023 to Mar 24, 2023
- Non-discretionary RAUM · $167M to $156MFeb 7, 2023 to Mar 24, 2023
- RAUM · $167M to $156MFeb 7, 2023 to Mar 24, 2023
- Accounts · 287 to 332Jan 11, 2022 to Mar 18, 2022
- Charity clients · 1.0 to unsetJan 11, 2022 to Mar 18, 2022
- HNW clients · 43 to 53Jan 11, 2022 to Mar 18, 2022
- Individual clients · 29 to 27Jan 11, 2022 to Mar 18, 2022
Signals
5 dated events
- F••••• F•••••••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2026-05-01, RAUM $247.7M)Jun 1, 2026 · Left the SEC roster · derived
- S•••••• M•••••• W••••••••• left F••••• F•••••••• A•••••••• L•• for L••• I••••••••• A•••••••• L•• (registered 2026-05-12)May 11, 2026 · Advisor changed firm · fact
- C•••••• B•••• C••••• left F••••• F•••••••• A•••••••• L•• for L••• I••••••••• A•••••••• L•• (registered 2026-04-01)Mar 31, 2026 · Advisor changed firm · fact
- Bella Carolyn Catlin (Principal) no longer on Schedule A of F••••• F•••••••• A•••••••• L•• (listed 2023-11-08, absent 2024-02-07)Feb 7, 2024 · Control person left · inference
- F••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Dec 18, 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.
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