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

M••••••••• C•••••• S••••••••• L••

Former SEC-registered adviserReston, VirginiaCRD 142911SEC 801-69359IAPD
Latest filing Aug 7, 2015
First filing on the tape Jan 19, 2012 · 21 filings
RAUM
$62.5M
reported, Item 5.F
Discretionary
50%
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$62.5M as of Mar 30, 2015
Mar 6, 2012$90.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 30, 2015
Mar 18, 20134 then
Employees (5.A)4 as of Mar 30, 2015
Mar 18, 20135 then
Private funds1 as of Mar 30, 2015
Mar 18, 20131 then
RAUM -33% over the last fiscal year-12% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Aug 7, 2015; every figure names its basis
RAUM per advisor
$15.6MderivedRAUM 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
$410,939derivedRAUM over accounts (5.F.2.f)
Discretionary
50%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
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-33%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehicles, otherreportedItem 5.G
Custody
$62.5M, 152 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
152reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$62.5M for 152 clientsreported
Compensation
% of AUM, performancereported
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
Every departureEvery arrival
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
S• S•••••• C•••••• P••••••• L•Hedge Fund$00Mar 18, 2013
Owners and control persons
Schedule A and B, latest filing
  • S••••••••• D••••• A•••• · President/Chief Investment Officercontrol
    since 12/2006 · owns 25% to 50%
  • S•••• S•••••• M• · Chief Executive Officer/Chief Compliance Officercontrol
    since 06/2008 · owns 50% to 75%
Related persons
Schedule D 7.A
  • S• S•••••• C•••••• G• L••
    pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 240 to 152
    Mar 31, 2014 to Mar 30, 2015
  • Advisory employees · 4 to 3
    Mar 31, 2014 to Mar 30, 2015
  • Assets in custody · $65.1M to $62.5M
    Mar 31, 2014 to Mar 30, 2015
  • Employees · 5 to 4
    Mar 31, 2014 to Mar 30, 2015
  • Discretionary RAUM · $64.0M to $31.1M
    Mar 31, 2014 to Mar 30, 2015
  • Non-discretionary RAUM · $29.5M to $31.4M
    Mar 31, 2014 to Mar 30, 2015
  • RAUM · $93.5M to $62.5M
    Mar 31, 2014 to Mar 30, 2015
  • Accounts · 257 to 240
    Dec 18, 2013 to Mar 31, 2014
  • Discretionary RAUM · $69.8M to $64.0M
    Dec 18, 2013 to Mar 31, 2014
  • Non-discretionary RAUM · $1.6M to $29.5M
    Dec 18, 2013 to Mar 31, 2014
  • RAUM · $71.3M to $93.5M
    Dec 18, 2013 to Mar 31, 2014
  • Advisory activities · 2 to 3
    Mar 27, 2013 to Mar 28, 2013
  • Assets in custody · unset to 65066338.0
    Mar 18, 2013 to Mar 25, 2013
  • Custody of client assets · false to true
    Mar 18, 2013 to Mar 25, 2013
  • Financial planning clients · 1-10 to 0
    Dec 21, 2012 to Mar 18, 2013
  • State-registered IARs · 0 to 4
    Dec 21, 2012 to Mar 18, 2013
  • Private funds · unset to 1
    Dec 21, 2012 to Mar 18, 2013
  • Discretionary RAUM · $65.5M to $69.8M
    Dec 21, 2012 to Mar 18, 2013
  • Non-discretionary RAUM · $1.2M to $1.6M
    Dec 21, 2012 to Mar 18, 2013
  • RAUM · $66.7M to $71.3M
    Dec 21, 2012 to Mar 18, 2013
  • Accounts · 273 to 257
    Nov 7, 2012 to Dec 21, 2012
  • HQ city · MANASSAS to RESTON
    Nov 7, 2012 to Dec 21, 2012
  • Discretionary RAUM · $90.2M to $65.5M
    Nov 7, 2012 to Dec 21, 2012
  • Non-discretionary RAUM · $660,967 to $1.2M
    Nov 7, 2012 to Dec 21, 2012
  • RAUM · $90.8M to $66.7M
    Nov 7, 2012 to Dec 21, 2012
  • Advisory employees · unset to 4.0
    May 3, 2012 to Nov 7, 2012
  • Employees · unset to 5.0
    May 3, 2012 to Nov 7, 2012
  • State-registered IARs · unset to 0.0
    May 3, 2012 to Nov 7, 2012
  • Accounts · 274 to 273
    Jan 19, 2012 to Mar 6, 2012
  • Non-discretionary RAUM · $659,999 to $660,967
    Jan 19, 2012 to Mar 6, 2012
  • RAUM · $90.8M to $90.8M
    Jan 19, 2012 to Mar 6, 2012
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.
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