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
G••• W••••• A•••••••• I•••
Latest filing Mar 30, 2016
First filing on the tape Jul 31, 2013 · 4 filings
RAUM
$16.8M
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
5
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$16.8M as of Mar 30, 2016
Mar 27, 2014$499M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 30, 2016
Mar 27, 20148 then
Employees (5.A)5 as of Mar 30, 2016
Mar 27, 201420 then
Private funds: no history
RAUM -90% over the last fiscal yearIARs 5 to 5
Practice profile
derived from the filing of Mar 30, 2016; every figure names its basis
- RAUM per advisor
- $3.4MderivedRAUM 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
- $135,815derivedRAUM 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
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -90%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 assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 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)
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
- 124reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
Left, latest
- J••••••• E••••• M•••••• to C••• L••Jul 1, 2016 · Other
- J•• L•••• G•••••• to C••• L••Jul 1, 2016 · Other
- M•••••• K•••• D•••• to C••• L••Jul 1, 2016 · Other
- J•••••• P••• K•••••• to C••• L••Nov 30, 2015 · Other
- M•••••• A•••••• S••••••• to C••• L••Sep 11, 2014 · Other
- A•• W••••• E•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 6, 2013 · Other
- D••••• K•••••• D••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 6, 2013 · Other
- M•••••• D• B••• to L•• F•••••••• L••Sep 6, 2013 · Other
- P••••• A•••••• R••••• to I•••••••• C•••••• M•••••••••Jan 24, 2007 · Other
- J••• C••••••••• A••••• to I•••••••• C•••••• M•••••••••Jan 22, 2007 · Other
- J••••• B•••• B••••• to I•••••••• C•••••• M•••••••••Dec 13, 2006 · Other
Joined, latest
- J••••••• E••••• M•••••• from L•• F•••••••• L••Feb 18, 2014 · Other
- M•••••• A•••••• S••••••• from L•• F•••••••• L••Dec 6, 2013 · Other
- D••••• K•••••• D••••••• from L•• F•••••••• L••Jun 3, 2013 · Other
- A•• W••••• E•••••• from L•• F•••••••• L••Jan 17, 2008 · Other
- M•••••• D• B••• from O•••• F•• I•••Jan 17, 2008 · Other
- M•••••• K•••• D•••• from L•• F•••••••• L••Jan 17, 2008 · Other
- J•••••• P••• K•••••• from L•• F•••••••• L••Jan 17, 2008 · Other
- J••••• B•••• B••••• from G•••••• A••••••• A•••• M••••••••• I•••Nov 2, 2006 · Other
- P••••• A•••••• R••••• from G•••••• A••••••• A•••• M••••••••• I•••Nov 2, 2006 · Other
- J••• C••••••••• A••••• from L•• F•••••••• L••Nov 2, 2006 · Other
- J•• L•••• G•••••• from G•••••• A••••••• A•••• M••••••••• I•••Nov 2, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• P•••••• A•• · Presidentcontrolsince 06/1997 · owns 75% or more
- J••••• R•••••••• D••• · Chief Compliance Officercontrolsince 06/2013 · owns less than 5%
- W••••••••• S•••••• S•••• · Secretarycontrolsince 11/2015 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Abingdon,, VA
What changed
consecutive filings, newest first
- Accounts · 953 to 124Mar 30, 2015 to Mar 30, 2016
- Employees · 20 to 5Mar 30, 2015 to Mar 30, 2016
- Insurance-licensed employees · 4 to 5Mar 30, 2015 to Mar 30, 2016
- Discretionary RAUM · $167M to $16.8MMar 30, 2015 to Mar 30, 2016
- RAUM · $167M to $16.8MMar 30, 2015 to Mar 30, 2016
- Accounts · 3,388 to 953Mar 27, 2014 to Mar 30, 2015
- Advisory employees · 8 to 5Mar 27, 2014 to Mar 30, 2015
- BD registered reps · 8 to 5Mar 27, 2014 to Mar 30, 2015
- Insurance-licensed employees · 6 to 4Mar 27, 2014 to Mar 30, 2015
- Financial planning clients · 11-25 to 0Mar 27, 2014 to Mar 30, 2015
- State-registered IARs · 8 to 5Mar 27, 2014 to Mar 30, 2015
- Discretionary RAUM · $412M to $167MMar 27, 2014 to Mar 30, 2015
- Non-discretionary RAUM · $87.5M to $0Mar 27, 2014 to Mar 30, 2015
- RAUM · $499M to $167MMar 27, 2014 to Mar 30, 2015
- Accounts · 1,844 to 3,388Jul 31, 2013 to Mar 27, 2014
- Advisory employees · 10 to 8Jul 31, 2013 to Mar 27, 2014
- BD registered reps · 9 to 8Jul 31, 2013 to Mar 27, 2014
- Employees · 22 to 20Jul 31, 2013 to Mar 27, 2014
- Insurance-licensed employees · 9 to 6Jul 31, 2013 to Mar 27, 2014
- State-registered IARs · 10 to 8Jul 31, 2013 to Mar 27, 2014
- Discretionary RAUM · $354M to $412MJul 31, 2013 to Mar 27, 2014
- Non-discretionary RAUM · $0 to $87.5MJul 31, 2013 to Mar 27, 2014
- RAUM · $354M to $499MJul 31, 2013 to Mar 27, 2014
- Related insurance company · true to falseJul 31, 2013 to Mar 27, 2014
Signals
1 dated events
- G••• W••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Jul 31, 2013 · 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