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
I••••••••• W••••• A••••••• I•••
Latest filing Mar 18, 2025
First filing on the tape Feb 16, 2012 · 29 filings
SEC status approved since Dec 8, 2006
RAUM
$220M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
95%
$209M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$220M as of Mar 18, 2025
Mar 24, 2012$90.6M then
HNW client RAUM$25.6M as of Mar 18, 2025
Mar 26, 2018$124M then
State-registered IARs (5.B.3)1 as of Mar 18, 2025
Mar 24, 20120 then
Employees (5.A)4 as of Mar 18, 2025
Mar 18, 20133 then
Private funds: no history
RAUM +8.6% over the last fiscal year+3.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 18, 2025; every figure names its basis
- RAUM per advisor
- $220MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 134derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $387,729derivedHNW RAUM over HNW clients
- Average account
- $462,811derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 5.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
- Individuals$183M83%
- High-net-worth individuals$25.6M12%
- Pension and profit-sharing plans$11.2M5.1%
- Individual clients
- 68reported
- HNW clients
- 66reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 475reported
- Financial planning clients
- 1-10reported
- 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
- K••••••• E•••••••• D•••• to I••••• F••••••••• L••Sep 5, 2025 · Other
- E•••••••• S•••••• C••••• to H••••••• W••••• M••••••••• L••Apr 4, 2011 · Other
Joined, latest
- K••••••• E•••••••• D•••• from A••••••••• F•••••••• S•••••••• L••Jan 5, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• K•••••••• E•••••••• · President & Chief Compliance Officercontrolsince 01/2007 · 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 |
|---|---|---|---|---|---|
| Mclean, Va · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- RAUM · $202M to $220MMay 3, 2024 to Mar 18, 2025
- Accounts · 469 to 475May 3, 2024 to Mar 18, 2025
- HNW clients · 69 to 66May 3, 2024 to Mar 18, 2025
- Individual clients · 62 to 68May 3, 2024 to Mar 18, 2025
- Financial planning clients · 1-10 to 1-10May 3, 2024 to Mar 18, 2025
- Discretionary RAUM · $188M to $204MMay 3, 2024 to Mar 18, 2025
- HNW RAUM · $163M to $25.6MMay 3, 2024 to Mar 18, 2025
- Individual RAUM · $29.4M to $183MMay 3, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $14.3M to $16.2MMay 3, 2024 to Mar 18, 2025
- Pension RAUM · $9.6M to $11.2MMay 3, 2024 to Mar 18, 2025
- Accounts · 475 to 469Sep 5, 2023 to Mar 20, 2024
- Advisory employees · 3 to 1Sep 5, 2023 to Mar 20, 2024
- HNW clients · 65 to 69Sep 5, 2023 to Mar 20, 2024
- Individual clients · 77 to 62Sep 5, 2023 to Mar 20, 2024
- Discretionary RAUM · $174M to $188MSep 5, 2023 to Mar 20, 2024
- HNW RAUM · $155M to $163MSep 5, 2023 to Mar 20, 2024
- Individual RAUM · $25.3M to $29.4MSep 5, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $14.3M to $14.3MSep 5, 2023 to Mar 20, 2024
- Pension RAUM · $8.0M to $9.6MSep 5, 2023 to Mar 20, 2024
- RAUM · $188M to $202MSep 5, 2023 to Mar 20, 2024
- Accounts · 442 to 475Oct 12, 2022 to Mar 21, 2023
- HNW clients · 71 to 65Oct 12, 2022 to Mar 21, 2023
- Individual clients · 62 to 77Oct 12, 2022 to Mar 21, 2023
- Employees · 3 to 4Oct 12, 2022 to Mar 21, 2023
- Financial planning clients · 11-25 to 1-10Oct 12, 2022 to Mar 21, 2023
- Discretionary RAUM · $184M to $174MOct 12, 2022 to Mar 21, 2023
- HNW RAUM · $167M to $155MOct 12, 2022 to Mar 21, 2023
- Individual RAUM · $23.8M to $25.3MOct 12, 2022 to Mar 21, 2023
- Non-discretionary RAUM · $16.6M to $14.3MOct 12, 2022 to Mar 21, 2023
- Pension RAUM · $10.4M to $8.0MOct 12, 2022 to Mar 21, 2023
- RAUM · $201M to $188MOct 12, 2022 to Mar 21, 2023
- Accounts · 434 to 442Dec 3, 2021 to Mar 25, 2022
- Advisory employees · 2 to 3Dec 3, 2021 to Mar 25, 2022
- HNW clients · 64 to 71Dec 3, 2021 to Mar 25, 2022
- Individual clients · 66 to 62Dec 3, 2021 to Mar 25, 2022
- Employees · 2 to 3Dec 3, 2021 to Mar 25, 2022
- Financial planning clients · 1-10 to 11-25Dec 3, 2021 to Mar 25, 2022
- Discretionary RAUM · $166M to $184MDec 3, 2021 to Mar 25, 2022
- HNW RAUM · $146M to $167MDec 3, 2021 to Mar 25, 2022
- Individual RAUM · $25.9M to $23.8MDec 3, 2021 to Mar 25, 2022
Signals
2 dated events
- I••••••••• W••••• A••••••• I••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $219.8M)Dec 20, 2025 · Left the SEC roster · derived
- K••••••• E•••••••• D•••• left I••••••••• W••••• A••••••• I••• for I••••• F••••••••• L•• (registered 2011-05-23)Sep 5, 2025 · 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