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
P•••••••• R••••••••• I••••••••• A•••••••
Legal name P•••••••• P•••••••• L••
Latest filing Mar 28, 2022
First filing on the tape Dec 21, 2011 · 35 filings
RAUM
$3.4B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
90%
$3.0B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
31
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$3.4B as of Mar 28, 2022
Mar 22, 2012$1.3B then
HNW client RAUM$2.8B as of Mar 28, 2022
Mar 28, 2018$1.7B then
State-registered IARs (5.B.3)11 as of Mar 28, 2022
Mar 22, 20120 then
Employees (5.A)31 as of Mar 28, 2022
Mar 1, 201322 then
Private funds: no history
RAUM +21% over the last fiscal year+16% a year over threeIARs 13 to 11
Practice profile
derived from the filing of Mar 28, 2022; every figure names its basis
- RAUM per advisor
- $306MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 100derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 7.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 11.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- -15%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, publications, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $1.9B, 1,111 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
- High-net-worth individuals$2.8B83%
- Individuals$218M6.5%
- Pension and profit-sharing plans$138M4.1%
- Charitable organizations$102M3.0%
- Corporations and businesses$98.3M2.9%
- Individual clients
- 477reported
- HNW clients
- 622reported
- Pension plan clients
- 40reported
- Charitable clients
- 32reported
- Accounts
- 2,579reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $168M managedreported
- Custody of client assets
- $1.9B for 1,111 clientsreported
- 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
- W•••••••• S•••••• L••• to C••••• P••••••• L••Sep 2, 2022 · RIA to RIA
- H•••• U•••• H••••• to C••••• P••••••• L••Sep 2, 2022 · RIA to RIA
- J•••• J••••••• I•••• to C••••• P••••••• L••Sep 2, 2022 · RIA to RIA
- M•••••• P•••••• D•••••••• to C••••• P••••••• L••Sep 2, 2022 · RIA to RIA
- W••••• W•••••• P••••••• to C••••• P••••••• L••Sep 2, 2022 · RIA to RIA
- J••••••• L•• T••••• to C••••• P••••••• L••Sep 2, 2022 · RIA to RIA
- J••••• A•••• T•••••• to C••••• P••••••• L••Sep 2, 2022 · RIA to RIA
- M••••• A•• C••••••• to C••••• P••••••• L••Sep 2, 2022 · RIA to RIA
- C••• D•••• K•••••• to C••••• P••••••• L••Sep 2, 2022 · RIA to RIA
- K•••••••• C••• W••••• to C••••• P••••••• L••Sep 2, 2022 · RIA to RIA
- J••••••• E••••• M••••• to C••••• P••••••• L••Sep 2, 2022 · RIA to RIA
- E•••••••• A• D••••• to C••••• P••••••• L••Sep 2, 2022 · RIA to RIA
- R••• P••••• F••••• to S••• R••• L••Apr 18, 2017 · Other
Joined, latest
- E•••••••• A• D••••• from F•••••••• S••••••• A••••••• I••Sep 21, 2020 · RIA to RIA
- W••••• W•••••• P••••••• from W•••••• • R•••Oct 8, 2015 · Other
- J••••••• L•• T••••• from T••••• • A••••••••• F•••••••• M••••••••• L••Oct 8, 2013 · Other
- M•••••• P•••••• D•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 18, 2012 · Other
- J••••••• E••••• M••••• from W•••• F•••• A•••••••Jun 19, 2008 · Other
- H•••• U•••• H••••• from B••• A•••• M••••••••• I•••Jan 28, 2008 · Other
- J•••• J••••••• I•••• from B••• A•••• M••••••••• I•••Jan 28, 2008 · Other
- K•••••••• C••• W••••• from B••• A•••• M••••••••• I•••Jan 28, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 12 left for C••••• P••••••• L••Sep 2, 2022 · Norfolk, Va · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••••• M••••••• P•••••• · Directorcontrolsince 01/2018 · owns 5% to 10%
- H•••••• H••••• U•••• · Directorcontrolsince 01/2012 · owns 10% to 25%
- I••••• J••••• J••••••• · Directorcontrolsince 01/2012 · owns 25% to 50%
- T•••••• J•••••••• L•• · Directorcontrolsince 01/2019 · owns less than 5%
- T••••••• J•••••• A•••• · Directorcontrolsince 01/2021 · owns less than 5%
- W•••••• K••••••••• C••• · Directorcontrolsince 01/2012 · owns 25% to 50%
- H•••••• W••••••• W•••••• · Chief Financial Officersince 12/2017 · owns less than 5%
- P•••••• K••••••• M•••• · Chief Operating Officersince 01/2012 · owns less than 5%
- R••••••• N••••• E•••••••• · Chief Compliance Officersince 04/2009 · owns less than 5%
- R•••••••• R•••••• W•••••••• · Chief Administrative Officersince 01/2012 · owns less than 5%
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 · 2,419 to 2,579Jan 13, 2022 to Mar 28, 2022
- Charity clients · 28 to 32Jan 13, 2022 to Mar 28, 2022
- Corporate clients · 21 to 15Jan 13, 2022 to Mar 28, 2022
- HNW clients · 579 to 622Jan 13, 2022 to Mar 28, 2022
- Individual clients · 423 to 477Jan 13, 2022 to Mar 28, 2022
- Pension plan clients · 28 to 40Jan 13, 2022 to Mar 28, 2022
- Assets in custody · $1.7B to $1.9BJan 13, 2022 to Mar 28, 2022
- Employees · 32 to 31Jan 13, 2022 to Mar 28, 2022
- Financial planning clients · 51-100 to 26-50Jan 13, 2022 to Mar 28, 2022
- State-registered IARs · 13 to 11Jan 13, 2022 to Mar 28, 2022
- Discretionary RAUM · $2.7B to $3.3BJan 13, 2022 to Mar 28, 2022
- HNW RAUM · $2.3B to $2.8BJan 13, 2022 to Mar 28, 2022
- Individual RAUM · $179M to $218MJan 13, 2022 to Mar 28, 2022
- Non-discretionary RAUM · $40.0M to $91.7MJan 13, 2022 to Mar 28, 2022
- Pension RAUM · $101M to $138MJan 13, 2022 to Mar 28, 2022
- RAUM · $2.8B to $3.4BJan 13, 2022 to Mar 28, 2022
- Wrap assets (manager) · $76.3M to $168MJan 13, 2022 to Mar 28, 2022
- Accounts · 2,243 to 2,419Nov 25, 2020 to Mar 31, 2021
- Advisory employees · 11 to 13Nov 25, 2020 to Mar 31, 2021
- Advisory activities · 6 to 5Nov 25, 2020 to Mar 31, 2021
- Corporate clients · 18 to 21Nov 25, 2020 to Mar 31, 2021
- HNW clients · 532 to 579Nov 25, 2020 to Mar 31, 2021
- Individual clients · 417 to 423Nov 25, 2020 to Mar 31, 2021
- Pension plan clients · 30 to 28Nov 25, 2020 to Mar 31, 2021
- Assets in custody · $1.5B to $1.7BNov 25, 2020 to Mar 31, 2021
- Employees · 29 to 32Nov 25, 2020 to Mar 31, 2021
- State-registered IARs · 11 to 13Nov 25, 2020 to Mar 31, 2021
- Discretionary RAUM · $2.5B to $2.7BNov 25, 2020 to Mar 31, 2021
- HNW RAUM · $2.1B to $2.3BNov 25, 2020 to Mar 31, 2021
- Individual RAUM · $187M to $179MNov 25, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $34.1M to $40.0MNov 25, 2020 to Mar 31, 2021
- Pension RAUM · $106M to $101MNov 25, 2020 to Mar 31, 2021
- RAUM · $2.5B to $2.8BNov 25, 2020 to Mar 31, 2021
- Wrap assets (manager) · $72.8M to $76.3MNov 25, 2020 to Mar 31, 2021
- Accounts · 2,121 to 2,243Jan 7, 2020 to Mar 30, 2020
- Charity clients · 27 to 28Jan 7, 2020 to Mar 30, 2020
- Corporate clients · 22 to 18Jan 7, 2020 to Mar 30, 2020
- HNW clients · 474 to 532Jan 7, 2020 to Mar 30, 2020
- Individual clients · 440 to 417Jan 7, 2020 to Mar 30, 2020
- Pension plan clients · 29 to 30Jan 7, 2020 to Mar 30, 2020
Signals
16 dated events
- W•••••••• S•••••• L••• left P•••••••• R••••••••• I••••••••• A••••••• for C••••• P••••••• L•• (registered 2022-06-09)Sep 2, 2022 · Advisor changed firm · fact
- J••••••• L•• T••••• left P•••••••• R••••••••• I••••••••• A••••••• for C••••• P••••••• L•• (registered 2022-06-17)Sep 2, 2022 · Advisor changed firm · fact
- K•••••••• C••• W••••• left P•••••••• R••••••••• I••••••••• A••••••• for C••••• P••••••• L•• (registered 2022-06-14)Sep 2, 2022 · Advisor changed firm · fact
- J••••• A•••• T•••••• left P•••••••• R••••••••• I••••••••• A••••••• for C••••• P••••••• L•• (registered 2022-06-09)Sep 2, 2022 · Advisor changed firm · fact
- M••••• A•• C••••••• left P•••••••• R••••••••• I••••••••• A••••••• for C••••• P••••••• L•• (registered 2024-05-03)Sep 2, 2022 · Advisor changed firm · fact
- C••• D•••• K•••••• left P•••••••• R••••••••• I••••••••• A••••••• for C••••• P••••••• L•• (registered 2022-06-29)Sep 2, 2022 · Advisor changed firm · fact
- J••••••• E••••• M••••• left P•••••••• R••••••••• I••••••••• A••••••• for C••••• P••••••• L•• (registered 2022-06-17)Sep 2, 2022 · Advisor changed firm · fact
- J•••• J••••••• I•••• left P•••••••• R••••••••• I••••••••• A••••••• for C••••• P••••••• L•• (registered 2022-06-14)Sep 2, 2022 · Advisor changed firm · fact
- H•••• U•••• H••••• left P•••••••• R••••••••• I••••••••• A••••••• for C••••• P••••••• L•• (registered 2022-06-14)Sep 2, 2022 · Advisor changed firm · fact
- M•••••• P•••••• D•••••••• left P•••••••• R••••••••• I••••••••• A••••••• for C••••• P••••••• L•• (registered 2022-06-14)Sep 2, 2022 · Advisor changed firm · fact
- E•••••••• A• D••••• left P•••••••• R••••••••• I••••••••• A••••••• for C••••• P••••••• L•• (registered 2022-06-17)Sep 2, 2022 · Advisor changed firm · fact
- W••••• W•••••• P••••••• left P•••••••• R••••••••• I••••••••• A••••••• for C••••• P••••••• L•• (registered 2022-06-17)Sep 2, 2022 · Advisor changed firm · fact
- P•••••••• R••••••••• I••••••••• A•••••••'s advisors moved to C••••• P••••••• L•• (Norfolk, VA): 12 of 12 registered, on the same daySep 2, 2022 · Firm absorbed (people side) · derived
- Allen Justin Topping (Director) appeared on Schedule A of P•••••••• R••••••••• I••••••••• A•••••••Jun 21, 2021 · Control person joined · fact
- Barksdale Dickinson Phillips (Director) no longer on Schedule A of P•••••••• R••••••••• I••••••••• A••••••• (listed 2019-05-08, absent 2020-01-07)Jan 7, 2020 · Control person left · inference
- Lee Jonathan Taylor (Director) appeared on Schedule A of P•••••••• R••••••••• I••••••••• A•••••••May 8, 2019 · Control person joined · 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