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RIA Intelligence

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A•• F•••••••• L••

Independent wealth managerSEC-registered1 private fundswebsite

Independent wealth manager, reporting $49.0M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$49.0M
Advisors
1
Net advisor flow, 12 months
0
0 joined, 0 left
Private clients
98%
of RAUM, $48.1M
See where advisers wentSee teams that moved
More
Advisors (1)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 144340 · SEC 801-133870 · 2 filingsShow
CRD 144340SEC 801-133870First filing on the tape Oct 2, 2025, latest Jan 16, 2026SEC status approved since Dec 9, 2025IAPD
RAUM
$49.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$48.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$49.0M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
2 filings and snapshots on the tape

Filed figures over time · the tape starts Oct 2, 2025

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$49.0M as of Jan 16, 2026
Oct 2, 2025$45.1M then
HNW client RAUM$47.0M as of Jan 16, 2026
Oct 2, 2025$41.8M then
State-registered IARs (5.B.3)1 as of Jan 16, 2026
Oct 2, 20251 then
Employees (5.A)1 as of Jan 16, 2026
Oct 2, 20251 then
Private funds1 as of Jan 16, 2026
Oct 2, 20251 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 16, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure2 rulesShow
  • RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)
RAUM per advisor
$49.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
59derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$921,320derivedHNW RAUM over HNW clients
Average account
$816,667derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$940,000, 1 clientreportedItem 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

96% high-net-worth individuals, 2.2% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow
  • High-net-worth individuals$47.0M96%
  • Individuals$1.1M2.2%
  • Pooled investment vehicles$940,0001.9%
Individual clients
8reported
HNW clients
51reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
60reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$940,000 for 1 clientreported
Compensation
% of AUMreported
Class basis
RAUM: 98% private clients, 2% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
0 left over 36 months
0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      1 on IAPD today; the longest tenured first
      NameBranchHere sinceIn industryPrior firms
      A•••••• R•• M•••••••••Annandale, VaApr 7, 200819 y0
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•• F•••••••• O••••••••• F••• L•Other Private Fund$940,00015Jan 16, 2026
      Owners and control persons
      Schedule A and B, latest filing
      • M••••••••• A••••••• R•• · Cco, Principal, Managing Member, Ownercontrol
        since 04/2007 · owns 75% or more
      Who runs the funds
      related persons named most often on the Form D filings of the firm's funds
      No Form D related person is on record for this firm's funds.
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 61 to 60
        Oct 2, 2025 to Jan 16, 2026
      • HNW clients · 50 to 51
        Oct 2, 2025 to Jan 16, 2026
      • Individual clients · 10 to 8
        Oct 2, 2025 to Jan 16, 2026
      • Assets in custody · $1.0M to $940,000
        Oct 2, 2025 to Jan 16, 2026
      • Discretionary RAUM · $45.1M to $49.0M
        Oct 2, 2025 to Jan 16, 2026
      Full history · 9 changes
      • HNW RAUM · $41.8M to $47.0M
        Oct 2, 2025 to Jan 16, 2026
      • Individual RAUM · $2.3M to $1.1M
        Oct 2, 2025 to Jan 16, 2026
      • Pooled vehicle RAUM · $1.0M to $940,000
        Oct 2, 2025 to Jan 16, 2026
      • RAUM · $45.1M to $49.0M
        Oct 2, 2025 to Jan 16, 2026
      Signals
      1 dated events
      • ••• Locked
        Jan 16, 2026 · private fund first reported · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Business phone
      ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Jan 16, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Jan 16, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      $49.0Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: RAUM change, 1 year.