DFX Intelligence

RIA Intelligence

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SEC-registered adviser

H••••••• C•••••• M••••••••• L••

Independent wealth managerCRD 140752SEC 801-68248IAPD
Latest filing Mar 30, 2026
First filing on the tape Apr 3, 2012 · 17 filings
SEC status approved since Aug 27, 2007
RAUM
$141M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$120M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$141M as of Mar 30, 2026
Apr 3, 2012$106M then
HNW client RAUM$120M as of Mar 30, 2026
Mar 30, 2018$103M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Apr 3, 20120 then
Employees (5.A)1 as of Mar 30, 2026
Mar 21, 20131 then
Private funds: no history
RAUM +6.6% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
  • UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
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
$17.1MderivedHNW RAUM over HNW clients
Average account
$11.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
15%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
+6.6%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
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$120M85%
  • Charitable organizations$20.9M15%
  • Pension and profit-sharing plans$700,0000.5%
Individual clients
n/areported
HNW clients
7reported
Pension plan clients
4reported
Charitable clients
1reported
Accounts
12reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.85 fund_share=0.0 institutional_share=0.15 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L••••••• B•••• · Chief Compliance Officercontrol
        since 06/2000 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 18 to 12
        Mar 30, 2025 to Mar 30, 2026
      • HNW clients · 11 to 7
        Mar 30, 2025 to Mar 30, 2026
      • Pension plan clients · 6 to 4
        Mar 30, 2025 to Mar 30, 2026
      • Discretionary RAUM · $132M to $141M
        Mar 30, 2025 to Mar 30, 2026
      • HNW RAUM · $112M to $120M
        Mar 30, 2025 to Mar 30, 2026
      • Pension RAUM · $1.8M to $700,000
        Mar 30, 2025 to Mar 30, 2026
      • RAUM · $132M to $141M
        Mar 30, 2025 to Mar 30, 2026
      • Accounts · 17 to 18
        Mar 29, 2024 to Mar 30, 2025
      • HNW clients · 12 to 11
        Mar 29, 2024 to Mar 30, 2025
      • Pension plan clients · 4 to 6
        Mar 29, 2024 to Mar 30, 2025
      • Financial planning clients · 1-10 to 1-10
        Mar 29, 2024 to Mar 30, 2025
      • HQ city · unset to
        Mar 29, 2024 to Mar 30, 2025
      • HQ state · unset to
        Mar 29, 2024 to Mar 30, 2025
      • Discretionary RAUM · $119M to $132M
        Mar 29, 2024 to Mar 30, 2025
      • HNW RAUM · $102M to $112M
        Mar 29, 2024 to Mar 30, 2025
      • Pension RAUM · $1.6M to $1.8M
        Mar 29, 2024 to Mar 30, 2025
      • RAUM · $119M to $132M
        Mar 29, 2024 to Mar 30, 2025
      • Accounts · 20 to 17
        Mar 30, 2023 to Mar 29, 2024
      • HNW clients · 13 to 12
        Mar 30, 2023 to Mar 29, 2024
      • Pension plan clients · 6 to 4
        Mar 30, 2023 to Mar 29, 2024
      • Discretionary RAUM · $104M to $119M
        Mar 30, 2023 to Mar 29, 2024
      • HNW RAUM · $89.9M to $102M
        Mar 30, 2023 to Mar 29, 2024
      • Pension RAUM · $1.4M to $1.6M
        Mar 30, 2023 to Mar 29, 2024
      • RAUM · $104M to $119M
        Mar 30, 2023 to Mar 29, 2024
      • Discretionary RAUM · $115M to $104M
        Mar 30, 2022 to Mar 30, 2023
      • HNW RAUM · $101M to $89.9M
        Mar 30, 2022 to Mar 30, 2023
      • Pension RAUM · $1.5M to $1.4M
        Mar 30, 2022 to Mar 30, 2023
      • RAUM · $115M to $104M
        Mar 30, 2022 to Mar 30, 2023
      • Accounts · 35 to 20
        Mar 31, 2021 to Mar 30, 2022
      • HNW clients · 20 to 13
        Mar 31, 2021 to Mar 30, 2022
      • Pension plan clients · 14 to 6
        Mar 31, 2021 to Mar 30, 2022
      • Assets in custody · 5316000.0 to unset
        Mar 31, 2021 to Mar 30, 2022
      • Custody of client assets · true to false
        Mar 31, 2021 to Mar 30, 2022
      • Discretionary RAUM · $117M to $115M
        Mar 31, 2021 to Mar 30, 2022
      • HNW RAUM · $97.7M to $101M
        Mar 31, 2021 to Mar 30, 2022
      • Pension RAUM · $6.8M to $1.5M
        Mar 31, 2021 to Mar 30, 2022
      • RAUM · $117M to $115M
        Mar 31, 2021 to Mar 30, 2022
      • Accounts · 36 to 35
        Jun 30, 2020 to Mar 31, 2021
      • HNW clients · 21 to 20
        Jun 30, 2020 to Mar 31, 2021
      • Assets in custody · unset to 5316000.0
        Jun 30, 2020 to Mar 31, 2021
      Signals
      No event on the tape.
      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
      410-216-6633reportedpublic 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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026