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
F••••• O••••• R•••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Aug 14, 2014 · 25 filings
SEC status approved since Aug 27, 2014
RAUM
$648M
reported, Item 5.F
Discretionary
61%
of RAUM
Private clients
85%
$553M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$216M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$648M as of Mar 19, 2026
Mar 18, 2015$180M then
HNW client RAUM$549M as of Mar 19, 2026
Mar 13, 2018$264M then
State-registered IARs (5.B.3)3 as of Mar 19, 2026
Mar 18, 20152 then
Employees (5.A)5 as of Mar 19, 2026
Mar 18, 20152 then
Private funds: no history
RAUM +12% over the last fiscal year+17% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 19, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $216MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $4.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 61%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.5%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
- Custody
- $335M, 76 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)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$549M85%
- Pension and profit-sharing plans$66.8M10%
- Corporations and businesses$15.7M2.4%
- Charitable organizations$12.3M1.9%
- Individuals$4.8M0.7%
- Individual clients
- 12reported
- HNW clients
- 103reported
- Pension plan clients
- 16reported
- Charitable clients
- 1reported
- Accounts
- 136reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $335M for 76 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• M•••••• F••••• | Bethesda, Md | Mar 28, 2024 | 31 y | 7 |
| M••••• A•••••••• F••••• | Bethesda, Md | Aug 22, 2025 | 12 y | 0 |
| S••• M•••••••• M••••••••Certified Financial Planner | Bethesda, Md | Oct 13, 2025 | 18 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- D••••• A•••• G•••• to G••••••• W••••• S•••••••• L••May 20, 2022 · RIA to RIA
- A•••••• F••••••••• D••••• to W••••••••• A••••••• P••••••• L••Apr 30, 2018 · RIA to RIA
- S•••• M•••••• F••••• to G•• F••••• W••••• M••••••••• C•••••••••Jul 14, 2008 · Other
Joined, latest
- S••• M•••••••• M•••••••• from F••••••• P••••••• A•• W•••••••• A•••••••Oct 13, 2025 · Affiliated broker-dealer or bank to independent RIA
- S•••• M•••••• F••••• from G••••• A•••• I••••••••• M••••••••• L••Mar 28, 2024 · Other
- S•••• M•••••• F••••• from P••••••• I••••••••• A•••••••• L••Aug 15, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• S••••• M•••••• · Managing Member & Chief Compliance Officercontrolsince 01/2010 · owns 75% or more
- F•••••• E••••• A•• · Managing Membersince 02/2013 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Bethesda, Md · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 118 to 136Mar 21, 2025 to Mar 19, 2026
- HNW clients · 92 to 103Mar 21, 2025 to Mar 19, 2026
- Individual clients · 16 to 12Mar 21, 2025 to Mar 19, 2026
- Pension plan clients · 9 to 16Mar 21, 2025 to Mar 19, 2026
- Assets in custody · $219M to $335MMar 21, 2025 to Mar 19, 2026
- State-registered IARs · 2 to 3Mar 21, 2025 to Mar 19, 2026
- Discretionary RAUM · $341M to $394MMar 21, 2025 to Mar 19, 2026
- HNW RAUM · $496M to $549MMar 21, 2025 to Mar 19, 2026
- Individual RAUM · $6.9M to $4.8MMar 21, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $240M to $255MMar 21, 2025 to Mar 19, 2026
- Pension RAUM · $51.2M to $66.8MMar 21, 2025 to Mar 19, 2026
- RAUM · $581M to $648MMar 21, 2025 to Mar 19, 2026
- Accounts · 103 to 118Mar 11, 2024 to Mar 21, 2025
- Corporate clients · 2 to 1Mar 11, 2024 to Mar 21, 2025
- HNW clients · 83 to 92Mar 11, 2024 to Mar 21, 2025
- Individual clients · 10 to 16Mar 11, 2024 to Mar 21, 2025
- Pension plan clients · 7 to 9Mar 11, 2024 to Mar 21, 2025
- Assets in custody · $243M to $219MMar 11, 2024 to Mar 21, 2025
- Financial planning clients · 0 to 0Mar 11, 2024 to Mar 21, 2025
- Discretionary RAUM · $214M to $341MMar 11, 2024 to Mar 21, 2025
- HNW RAUM · $402M to $496MMar 11, 2024 to Mar 21, 2025
- Individual RAUM · $5.2M to $6.9MMar 11, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $265M to $240MMar 11, 2024 to Mar 21, 2025
- Pension RAUM · $46.1M to $51.2MMar 11, 2024 to Mar 21, 2025
- RAUM · $479M to $581MMar 11, 2024 to Mar 21, 2025
- Accounts · 90 to 103Sep 7, 2023 to Mar 11, 2024
- Charity clients · unset to 1.0Sep 7, 2023 to Mar 11, 2024
- Corporate clients · unset to 2.0Sep 7, 2023 to Mar 11, 2024
- HNW clients · 66 to 83Sep 7, 2023 to Mar 11, 2024
- Individual clients · 14 to 10Sep 7, 2023 to Mar 11, 2024
- Pension plan clients · 10 to 7Sep 7, 2023 to Mar 11, 2024
- Assets in custody · $110M to $243MSep 7, 2023 to Mar 11, 2024
- Discretionary RAUM · $158M to $214MSep 7, 2023 to Mar 11, 2024
- HNW RAUM · $351M to $402MSep 7, 2023 to Mar 11, 2024
- Individual RAUM · $5.2M to $5.2MSep 7, 2023 to Mar 11, 2024
- Non-discretionary RAUM · $242M to $265MSep 7, 2023 to Mar 11, 2024
- Pension RAUM · $43.4M to $46.1MSep 7, 2023 to Mar 11, 2024
- RAUM · $400M to $479MSep 7, 2023 to Mar 11, 2024
- Accounts · 78 to 90Sep 26, 2022 to Mar 16, 2023
- HNW clients · 53 to 66Sep 26, 2022 to Mar 16, 2023
Signals
2 dated events
- D••••• A•••• G•••• left F••••• O••••• R•••••••• L•• for G••••••• W••••• S•••••••• L•• (registered 2022-06-22)May 20, 2022 · Advisor changed firm · fact
- F••••• O••••• R•••••••• L•• filed its initial SEC registration (Form ADV)Aug 14, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- F••••• O••••• R•••••••• L•• · Family Officesshared crd · office
- F••••• O••••• R•••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- info@familyofficeresearch.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 301-684-1765reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 301-684-1765reportedpublic record, Form ADV, Mar 19, 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
- $216Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026