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.

Former SEC-registered adviser

Eaglestone Wealth Advisors, Inc.

Former SEC-registered adviserRockville, MarylandCRD 141014SEC 801-68116website IAPD

Latest filing Nov 12, 2025

First filing on the tape Mar 19, 2012 · 37 filings

SEC status approved since Jul 13, 2007

RAUM

$198M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

93%

$184M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

37 filings and snapshots on the tape

RAUM$198M as of Nov 12, 2025

Mar 19, 2012$104M then

HNW client RAUM$142M as of Nov 12, 2025

Mar 28, 2018$90.0M then

State-registered IARs (5.B.3)5 as of Nov 12, 2025

Mar 19, 20120 then

Employees (5.A)6 as of Nov 12, 2025

Mar 20, 20137 then

Private funds: no history

RAUM +2.0% over the last fiscal year-6.1% a year over threeIARs 5 to 5

Practice profile

derived from the filing of Nov 12, 2025; every figure names its basis

RAUM per advisor: $39.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 38derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.5MderivedHNW RAUM over HNW clients
Average account: $474,130derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 7.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.2derivedItem 5.A over advisors
Advisors per office: 5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +2.0%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -58%derived
Compensation: percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Custody: $160M, 192 clientsreportedItem 9.A
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

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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
the adviser acts as qualified custodian (9.D.1)
a related person acts as qualified custodian (9.D.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$142M72%
Individuals$41.9M21%
Pension and profit-sharing plans$13.9M7.0%

Individual clients: 132reported
HNW clients: 56reported
Pension plan clients: 22reported
Charitable clients: n/areported
Accounts: 417reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: $160M for 192 clientsreported
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

3 left, 0 joined in 12 months

net -3 in 12 months0 left in 90 days0 joined in 90 days4 left over 36 months

Left, latest

Tarun Mehta to Onyx Bridge Wealth Group LLC
Dec 19, 2025 · RIA to RIA
Daniel James Reeves to Onyx Bridge Wealth Group LLC
Dec 19, 2025 · RIA to RIA
Kevin C Moody to Onyx Bridge Wealth Group LLC
Dec 19, 2025 · RIA to RIA
Joseph William Kantakevich to Jwk Financial Group
Nov 13, 2023 · Other
Kimberly Anne Vielhaber Greiwe to Principal Securities, Inc.
Nov 16, 2022 · RIA to affiliated broker-dealer or bank
Tamara Haskins to Eagle Strategies LLC
Jul 11, 2014 · Other
Paula Anne Landau to Triton Wealth Management
Mar 17, 2014 · Other

Joined, latest

Kevin C Moody from Merrill Lynch, Pierce, Fenner & Smith Incorporated
Jan 27, 2022 · Wirehouse to independent RIA
Tamara Haskins from The Retirement Group, LLC
Oct 18, 2013 · Other
Joseph William Kantakevich from Triad Advisors, LLC
Jan 8, 2013 · Other
Paula Anne Landau from Triton Wealth Management
Jan 8, 2013 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

3 left for Onyx Bridge Wealth Group LLC
Dec 19, 2025 · Rockville, Md · Firm absorbed

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Dale James Warring · Founder & Ceocontrol
since 08/2006 · owns 50% to 75%
Dale James Warring · Trusteecontrol
since 01/2022 · owns F of The James D. Warring: Revocable Trust
Joseph Lager · Shareholder
since 01/2017 · owns 10% to 25%
W John Martin · Chief Operating Officer
since 01/2022 · owns 10% to 25%
Tarun Mehta · President/Chief Compliance Officer
since 11/2010 · owns 10% to 25%

Entity owners

Eaglestone Tax & Wealth Advisors, Inc. · Owner
direct · owns 75% or more
The James D. Warring: Revocable Trust · Owner
indirect · owns 50% to 75% of Eaglestone Tax & Wealth Advisors, Inc.

Related persons

Schedule D 7.A

Eaglestone Tax & Wealth Advisors, Inc.
insurancecustodiann

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Rockville, Md · principal	0	0	3

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 474 to 417
Dec 6, 2024 to Mar 23, 2025
HNW clients · 93 to 56
Dec 6, 2024 to Mar 23, 2025
Individual clients · 356 to 132
Dec 6, 2024 to Mar 23, 2025
Pension plan clients · 25 to 22
Dec 6, 2024 to Mar 23, 2025
Assets in custody · $137M to $160M
Dec 6, 2024 to Mar 23, 2025
Financial planning clients · 101-250 to 101-250
Dec 6, 2024 to Mar 23, 2025
Discretionary RAUM · $194M to $198M
Dec 6, 2024 to Mar 23, 2025
HNW RAUM · $102M to $142M
Dec 6, 2024 to Mar 23, 2025
Individual RAUM · $67.8M to $41.9M
Dec 6, 2024 to Mar 23, 2025
Pension RAUM · $24.1M to $13.9M
Dec 6, 2024 to Mar 23, 2025
RAUM · $194M to $198M
Dec 6, 2024 to Mar 23, 2025
Accounts · 452 to 474
Dec 1, 2023 to Mar 29, 2024
Advisory employees · 6 to 5
Dec 1, 2023 to Mar 29, 2024
HNW clients · 24 to 93
Dec 1, 2023 to Mar 29, 2024
Individual clients · 208 to 356
Dec 1, 2023 to Mar 29, 2024
Pension plan clients · 22 to 25
Dec 1, 2023 to Mar 29, 2024
Assets in custody · $38.8M to $137M
Dec 1, 2023 to Mar 29, 2024
Employees · 7 to 6
Dec 1, 2023 to Mar 29, 2024
Discretionary RAUM · $198M to $194M
Dec 1, 2023 to Mar 29, 2024
HNW RAUM · $73.7M to $102M
Dec 1, 2023 to Mar 29, 2024
Individual RAUM · $90.1M to $67.8M
Dec 1, 2023 to Mar 29, 2024
Pension RAUM · $33.8M to $24.1M
Dec 1, 2023 to Mar 29, 2024
RAUM · $198M to $194M
Dec 1, 2023 to Mar 29, 2024
Accounts · 416 to 452
Mar 29, 2022 to Mar 29, 2023
BD registered reps · 6 to 4
Mar 29, 2022 to Mar 29, 2023
HNW clients · 95 to 24
Mar 29, 2022 to Mar 29, 2023
Individual clients · 155 to 208
Mar 29, 2022 to Mar 29, 2023
Pension plan clients · 13 to 22
Mar 29, 2022 to Mar 29, 2023
Assets in custody · $40.2M to $38.8M
Mar 29, 2022 to Mar 29, 2023
Discretionary RAUM · $206M to $198M
Mar 29, 2022 to Mar 29, 2023
HNW RAUM · $178M to $73.7M
Mar 29, 2022 to Mar 29, 2023
Individual RAUM · $28.9M to $90.1M
Mar 29, 2022 to Mar 29, 2023
Non-discretionary RAUM · $32.6M to $0
Mar 29, 2022 to Mar 29, 2023
Pension RAUM · $32.6M to $33.8M
Mar 29, 2022 to Mar 29, 2023
RAUM · $239M to $198M
Mar 29, 2022 to Mar 29, 2023
Accounts · 405 to 416
Mar 29, 2021 to Mar 29, 2022
Advisory employees · 4 to 6
Mar 29, 2021 to Mar 29, 2022
BD registered reps · 3 to 6
Mar 29, 2021 to Mar 29, 2022
HNW clients · 78 to 95
Mar 29, 2021 to Mar 29, 2022
Individual clients · 175 to 155
Mar 29, 2021 to Mar 29, 2022

Signals

7 dated events

Eaglestone Wealth Advisors, Inc. no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $197.7M)
Jan 2, 2026 · Left the SEC roster · derived
Daniel James Reeves left Eaglestone Wealth Advisors, Inc. for Onyx Bridge Wealth Group Llc (registered 2025-09-17)
Dec 19, 2025 · Advisor changed firm · fact
Eaglestone Wealth Advisors, Inc.'s advisors moved to Onyx Bridge Wealth Group LLC (Rockville, MD): 3 of 3 registered, on the same day
Dec 19, 2025 · Firm absorbed (people side) · derived
Kevin C Moody left Eaglestone Wealth Advisors, Inc. for Onyx Bridge Wealth Group Llc (registered 2025-09-18)
Dec 19, 2025 · Advisor changed firm · fact
Tarun Mehta left Eaglestone Wealth Advisors, Inc. for Onyx Bridge Wealth Group Llc (registered 2025-09-22)
Dec 19, 2025 · Advisor changed firm · fact
Joseph William Kantakevich left Eaglestone Wealth Advisors, Inc. for Jwk Financial Group (registered 2014-03-11)
Nov 13, 2023 · Advisor changed firm · fact
Kimberly Anne Vielhaber Greiwe left Eaglestone Wealth Advisors, Inc. for Principal Securities, Inc. (registered 2022-12-12)
Nov 16, 2022 · Advisor changed firm · 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