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
S•••••• • Z••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 19, 2018 · 17 filings
SEC status approved since Apr 19, 2018
RAUM
$242M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$242M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$121M
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
17 filings and snapshots on the tape
RAUM$242M as of Mar 30, 2026
Mar 29, 2018$119M then
HNW client RAUM$203M as of Mar 30, 2026
Mar 29, 2018$80.7M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 29, 20182 then
Employees (5.A)2 as of Mar 30, 2026
Mar 29, 20182 then
Private funds: no history
RAUM +19% over the last fiscal year+18% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 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
- RAUM per advisor
- $121MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $508,278derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$203M84%
- Individuals$38.8M16%
- Individual clients
- 79reported
- HNW clients
- 63reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 476reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| J•••••• J••• Z••••Certified Financial Planner | Mclean, Va | Apr 10, 2006 | 23 y | 1 |
| P••••••••• G••••• S••••••Certified Financial Planner | Mclean, Va | Apr 10, 2006 | 25 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
none on the tape
Joined, latest
- J•••••• J••• Z•••• from S••• F•••••••• A•••••••Apr 10, 2006 · Other
- P••••••••• G••••• S•••••• from S••• F•••••••• A•••••••Apr 10, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• P••••••••• G••••• · Principal, Chief Compliance Officercontrolsince 02/2006 · owns 50% to 75%
- Z••••• J••••••• J••• · Principalcontrolsince 02/2006 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Mclean, Va · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 503 to 476Mar 18, 2025 to Mar 30, 2026
- HNW clients · 51 to 63Mar 18, 2025 to Mar 30, 2026
- Individual clients · 95 to 79Mar 18, 2025 to Mar 30, 2026
- Discretionary RAUM · $203M to $242MMar 18, 2025 to Mar 30, 2026
- HNW RAUM · $155M to $203MMar 18, 2025 to Mar 30, 2026
- Individual RAUM · $48.3M to $38.8MMar 18, 2025 to Mar 30, 2026
- RAUM · $203M to $242MMar 18, 2025 to Mar 30, 2026
- Accounts · 612 to 503Apr 2, 2024 to Mar 18, 2025
- HNW clients · 58 to 51Apr 2, 2024 to Mar 18, 2025
- Individual clients · 69 to 95Apr 2, 2024 to Mar 18, 2025
- Financial planning clients · 51-100 to 51-100Apr 2, 2024 to Mar 18, 2025
- Discretionary RAUM · $175M to $203MApr 2, 2024 to Mar 18, 2025
- HNW RAUM · $154M to $155MApr 2, 2024 to Mar 18, 2025
- Individual RAUM · $21.7M to $48.3MApr 2, 2024 to Mar 18, 2025
- RAUM · $175M to $203MApr 2, 2024 to Mar 18, 2025
- Accounts · 487 to 612Mar 31, 2023 to Mar 25, 2024
- Individual clients · 91 to 69Mar 31, 2023 to Mar 25, 2024
- Discretionary RAUM · $146M to $175MMar 31, 2023 to Mar 25, 2024
- HNW RAUM · $113M to $154MMar 31, 2023 to Mar 25, 2024
- Individual RAUM · $32.6M to $21.7MMar 31, 2023 to Mar 25, 2024
- RAUM · $146M to $175MMar 31, 2023 to Mar 25, 2024
- Accounts · 546 to 487Nov 16, 2022 to Mar 31, 2023
- HNW clients · 73 to 58Nov 16, 2022 to Mar 31, 2023
- Individual clients · 75 to 91Nov 16, 2022 to Mar 31, 2023
- Financial planning clients · 11-25 to 51-100Nov 16, 2022 to Mar 31, 2023
- Discretionary RAUM · $165M to $146MNov 16, 2022 to Mar 31, 2023
- HNW RAUM · $138M to $113MNov 16, 2022 to Mar 31, 2023
- Individual RAUM · $27.5M to $32.6MNov 16, 2022 to Mar 31, 2023
- RAUM · $165M to $146MNov 16, 2022 to Mar 31, 2023
- Accounts · 521 to 546Dec 9, 2021 to Mar 30, 2022
- HNW clients · 49 to 73Dec 9, 2021 to Mar 30, 2022
- Individual clients · 97 to 75Dec 9, 2021 to Mar 30, 2022
- Discretionary RAUM · $140M to $165MDec 9, 2021 to Mar 30, 2022
- HNW RAUM · $105M to $138MDec 9, 2021 to Mar 30, 2022
- Individual RAUM · $35.6M to $27.5MDec 9, 2021 to Mar 30, 2022
- RAUM · $140M to $165MDec 9, 2021 to Mar 30, 2022
- Accounts · 535 to 521Nov 19, 2020 to Mar 24, 2021
- Individual clients · 106 to 97Nov 19, 2020 to Mar 24, 2021
- Financial planning clients · 1-10 to 11-25Nov 19, 2020 to Mar 24, 2021
- Discretionary RAUM · $130M to $140MNov 19, 2020 to Mar 24, 2021
Signals
1 dated events
- S•••••• • Z••••• L•• filed its initial SEC registration (Form ADV)Mar 19, 2018 · 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.
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 703-349-0330reportedpublic record, Form ADV, Mar 30, 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
- $121Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026