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
C••••••••• A•••••••
Legal name C••••••••• A•••••••• L••
Latest filing Sep 1, 2026
First filing on the tape Feb 14, 2012 · 69 filings
SEC status approved since Jul 5, 2007
RAUM
$2.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$2.0B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$225M
derived; firm RAUM over IAPD count
Employees
19
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
69 filings and snapshots on the tape
RAUM$2.2B as of Mar 24, 2026
Mar 5, 2012$239M then
HNW client RAUM$1.9B as of Mar 24, 2026
Mar 15, 2018$769M then
State-registered IARs (5.B.3)9 as of Mar 24, 2026
Mar 19, 20134 then
Employees (5.A)19 as of Mar 24, 2026
Mar 19, 20136 then
Private funds1 as of Mar 24, 2026
Mar 13, 20151 then
RAUM +12% over the last fiscal year+14% a year over threeIARs 8 to 9
Practice profile
derived from the filing of Sep 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $225MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 81derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $717,387derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 5.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consultingreportedItem 5.G
- Custody
- $681M, 538 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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$1.9B82%
- Pension and profit-sharing plans$165M7.3%
- Individuals$161M7.1%
- Corporations and businesses$36.7M1.6%
- Pooled investment vehicles$30.4M1.4%
- Charitable organizations$1.0M0.0%
- Individual clients
- 356reported
- HNW clients
- 452reported
- Pension plan clients
- 24reported
- Charitable clients
- n/areported
- Accounts
- 3,135reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $681M for 538 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.01 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• N•••••• B••••••• | Hunt Valley, Md | Jun 14, 2010 | 31 y | 1 |
| M•••••• K•••• L••••• | Hunt Valley, Md | Sep 29, 2015 | 28 y | 1 |
| D••••• S•••••• H•••• | Arnold, Md | Sep 30, 2015 | 31 y | 1 |
| E••• D••••• J•••••• | Arnold, Md | Nov 1, 2018 | 34 y | 1 |
| R••••• M•••••• G••• | Hunt Valley, Md | Nov 1, 2018 | 13 y | 0 |
| J•••• R••• F•••• | Hunt Valley, Md | Nov 16, 2023 | 27 y | 1 |
| P•••••• A•••••••• R•••Certified Financial Planner | Hunt Valley, Md | Jan 26, 2024 | 12 y | 1 |
| C••••••••• P•••••Certified Financial Planner | Hunt Valley, Md | Jan 26, 2024 | 10 y | 1 |
| G•••• J•••••• | Severna Park, Md | Sep 4, 2025 | 12 y | 2 |
| A•••••••• J•••• G•••• | Hunt Valley, Md | Sep 4, 2026 | 11 y | 0 |
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
- J•••• A• P••••••••• to T• R••• P•••• A••••••• S•••••••• I•••Aug 22, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- G•••• J•••••• from S•••••••• A••••••• L••Sep 4, 2025 · Affiliated broker-dealer or bank to independent RIA
- P•••••• A•••••••• R••• from E•• F•••••••• A•••••••Jan 26, 2024 · RIA to RIA
- C••••••••• P••••• from T• R••• P•••• A••••••• S•••••••• I•••Jan 26, 2024 · RIA to RIA
- J•••• R••• F•••• from K••••• A••••••• S•••••••• L••Nov 16, 2023 · Affiliated broker-dealer or bank to independent RIA
- E••• D••••• J•••••• from P•••••• F••• A•••••••• I•••Nov 1, 2018 · Other
- D••••• S•••••• H•••• from E•••••••• A•••••••• L••Sep 30, 2015 · Other
- M•••••• K•••• L••••• from B••••••••• F•••••••• A•••••••Sep 29, 2015 · Other
- T••••• N•••••• B••••••• from E•••••••• A•••••••• L••Jun 14, 2010 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O•••••• D••••• F•••• L••• | Hedge Fund | $30.4M | 61 | Oct 2, 2014 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• T•••••• N•••••• · Membercontrolsince 11/2006 · owns less than 5%
- E••••••••• L••••• S•••• · Chief Compliance Officercontrolsince 06/2024 · owns less than 5%
- H••••• D•••••• S•••••• · Chief Compliance Officer, Managing Membercontrolsince 11/2006 · owns less than 5%
- J••••••• E•••• D••••• · Membercontrolsince 04/2017 · owns less than 5%
- B•••••••• T•••••• N•••••• · Partnercontrolsince 04/2017 · owns 50% to 75% of C••••••••• A••••••• G••••• L••
- H••••• D•••••• S•••••• · Partnercontrolsince 04/2017 · owns 50% to 75% of C••••••••• A••••••• G••••• L••
- J••••••• E•••• D••••• · Principalcontrolsince 04/2017 · owns 75% or more of P•••••• F••• A•••••••• I•••
Entity owners
- C••••••••• A••••••• G••••• L•• · Ownerdirect · owns 50% to 75%
- P•••••• F••• A•••••••• I••• · Ownerdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- C••••••••• M••••••••• P•••••••• L••pooled vehicle sponsory
- O•••••• D••••• S••••••••• L••investment advisernRAUM $360M
Advisers that list C••••••••• A••••••• as a related person
- 311398 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Hunt Valley, Md · principal | 8 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Severna Park, MD3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Sep 1, 2026E••••••••• L••••• S•••• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-06-24 and 2026-09-01peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Financial planning clients · 51-100 to 51-100Mar 24, 2026 to Sep 1, 2026
- Private funds · 1 to unsetMar 24, 2026 to Sep 1, 2026
- Succession · false to unsetMar 24, 2026 to Sep 1, 2026
- Accounts · 2,761 to 3,135Feb 10, 2026 to Mar 24, 2026
- Advisory employees · 8 to 9Feb 10, 2026 to Mar 24, 2026
- Charity clients · 20.0 to unsetFeb 10, 2026 to Mar 24, 2026
- Corporate clients · 8 to 21Feb 10, 2026 to Mar 24, 2026
- HNW clients · 340 to 452Feb 10, 2026 to Mar 24, 2026
- Individual clients · 401 to 356Feb 10, 2026 to Mar 24, 2026
- Pension plan clients · 60 to 24Feb 10, 2026 to Mar 24, 2026
- Assets in custody · $703M to $681MFeb 10, 2026 to Mar 24, 2026
- Employees · 17 to 19Feb 10, 2026 to Mar 24, 2026
- State-registered IARs · 8 to 9Feb 10, 2026 to Mar 24, 2026
- Discretionary RAUM · $2.0B to $2.2BFeb 10, 2026 to Mar 24, 2026
- HNW RAUM · $1.4B to $1.9BFeb 10, 2026 to Mar 24, 2026
- Individual RAUM · $215M to $161MFeb 10, 2026 to Mar 24, 2026
- Pension RAUM · $205M to $165MFeb 10, 2026 to Mar 24, 2026
- Pooled vehicle RAUM · $25.9M to $30.4MFeb 10, 2026 to Mar 24, 2026
- RAUM · $2.0B to $2.2BFeb 10, 2026 to Mar 24, 2026
- Financial planning clients · 51-100 to 51-100May 28, 2025 to Jul 7, 2025
- Accounts · 2,374 to 2,761Jun 24, 2024 to Apr 14, 2025
- Charity clients · unset to 20.0Jun 24, 2024 to Apr 14, 2025
- Corporate clients · 19 to 8Jun 24, 2024 to Apr 14, 2025
- HNW clients · 349 to 340Jun 24, 2024 to Apr 14, 2025
- Individual clients · 345 to 401Jun 24, 2024 to Apr 14, 2025
- Pension plan clients · 168 to 60Jun 24, 2024 to Apr 14, 2025
- Assets in custody · $811M to $703MJun 24, 2024 to Apr 14, 2025
- Employees · 16 to 17Jun 24, 2024 to Apr 14, 2025
- Discretionary RAUM · $1.7B to $2.0BJun 24, 2024 to Apr 14, 2025
- HNW RAUM · $1.2B to $1.4BJun 24, 2024 to Apr 14, 2025
- Individual RAUM · $90.7M to $215MJun 24, 2024 to Apr 14, 2025
- Pension RAUM · $69.4M to $205MJun 24, 2024 to Apr 14, 2025
- Pooled vehicle RAUM · $24.5M to $25.9MJun 24, 2024 to Apr 14, 2025
- RAUM · $1.7B to $2.0BJun 24, 2024 to Apr 14, 2025
- Accounts · 2,343 to 2,374Apr 28, 2023 to Mar 21, 2024
- Advisory employees · 7 to 8Apr 28, 2023 to Mar 21, 2024
- Charity clients · 8.0 to unsetApr 28, 2023 to Mar 21, 2024
- Corporate clients · 12 to 19Apr 28, 2023 to Mar 21, 2024
- HNW clients · 319 to 349Apr 28, 2023 to Mar 21, 2024
- Individual clients · 344 to 345Apr 28, 2023 to Mar 21, 2024
Signals
4 dated events
- S•••• L•••• E•••••••• (Chief Compliance Officer) appeared on Schedule A of C••••••••• A•••••••Jun 24, 2024 · Control person joined · fact
- J•••• A• P••••••••• left C••••••••• A••••••• for T• R••• P•••• A••••••• S•••••••• I••• (registered 2025-10-24)Aug 22, 2023 · Advisor changed firm · fact
- C••••••••• A••••••• reported RAUM $1.3B, up 26% from $1.1B (2019-06-06 to 2020-03-28)Mar 28, 2020 · RAUM change · derived
- C••••••••• A••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 12, 2017 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- C••••••••• A••••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- c••••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- b•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- d••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- e•••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- e•@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- j••••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- j••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- l••••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- m••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- m••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- p••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- t••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $225Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026