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

R•••••• A•••••••• I•••

Former SEC-registered adviserGlen Allen, VirginiaCRD 146540SEC 801-70010IAPD
Latest filing Mar 31, 2017
First filing on the tape Feb 23, 2012 · 10 filings
RAUM
$139M
reported, Item 5.F
Discretionary
93%
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$139M as of Mar 31, 2017
Apr 2, 2012$78.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 31, 2017
Mar 25, 20132 then
Employees (5.A)3 as of Mar 31, 2017
Mar 25, 20133 then
Private funds: no history
RAUM +12% over the last fiscal year+6.2% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2017; every figure names its basis
RAUM per advisor
$69.7MderivedRAUM 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
$582,944derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+12%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 assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
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)
  • a related person has custody of client cash (9.B.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)
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
239reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • R••••••• C••••• A• · President, Ccocontrol
    since 06/2011 · owns 75% or more
  • S•••••• J•••• R• · Owner
    since 06/2011 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list R•••••• A•••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
  • Leesburg, VA
What changed
consecutive filings, newest first
  • Accounts · 224 to 239
    Jan 25, 2016 to Mar 31, 2017
  • Business name · P••••••• I••••••••• F••••••••• I••• to R•••••• A•••••••• I•••
    Jan 25, 2016 to Mar 31, 2017
  • Employees · 2 to 3
    Jan 25, 2016 to Mar 31, 2017
  • Insurance-licensed employees · 2 to 0
    Jan 25, 2016 to Mar 31, 2017
  • Legal name · P••••••• I••••••••• F••••••••• I••• to R•••••• A•••••••• I•••
    Jan 25, 2016 to Mar 31, 2017
  • Discretionary RAUM · $117M to $130M
    Jan 25, 2016 to Mar 31, 2017
  • Non-discretionary RAUM · $7.3M to $9.2M
    Jan 25, 2016 to Mar 31, 2017
  • RAUM · $125M to $139M
    Jan 25, 2016 to Mar 31, 2017
  • Accounts · 35 to 224
    Sep 1, 2015 to Jan 25, 2016
  • Advisory activities · 3 to 6
    Sep 1, 2015 to Jan 25, 2016
  • Discretionary RAUM · $94.3M to $117M
    Sep 1, 2015 to Jan 25, 2016
  • Non-discretionary RAUM · $0 to $7.3M
    Sep 1, 2015 to Jan 25, 2016
  • RAUM · $94.3M to $125M
    Sep 1, 2015 to Jan 25, 2016
  • Related adviser · true to false
    Sep 1, 2015 to Jan 25, 2016
  • Accounts · 45 to 35
    Oct 15, 2014 to Apr 2, 2015
  • Employees · 3 to 2
    Oct 15, 2014 to Apr 2, 2015
  • Insurance-licensed employees · 1 to 2
    Oct 15, 2014 to Apr 2, 2015
  • Discretionary RAUM · $116M to $94.3M
    Oct 15, 2014 to Apr 2, 2015
  • RAUM · $116M to $94.3M
    Oct 15, 2014 to Apr 2, 2015
  • Discretionary RAUM · $93.0M to $116M
    Mar 25, 2013 to Mar 4, 2014
  • RAUM · $93.0M to $116M
    Mar 25, 2013 to Mar 4, 2014
  • Advisory employees · unset to 2.0
    May 18, 2012 to Mar 25, 2013
  • Employees · unset to 3.0
    May 18, 2012 to Mar 25, 2013
  • Insurance-licensed employees · 2 to 1
    May 18, 2012 to Mar 25, 2013
  • State-registered IARs · unset to 2.0
    May 18, 2012 to Mar 25, 2013
  • Discretionary RAUM · $94.5M to $93.0M
    May 18, 2012 to Mar 25, 2013
  • RAUM · $94.5M to $93.0M
    May 18, 2012 to Mar 25, 2013
  • Accounts · 41 to 45
    Apr 2, 2012 to May 18, 2012
  • Discretionary RAUM · $78.7M to $94.5M
    Apr 2, 2012 to May 18, 2012
  • RAUM · $78.7M to $94.5M
    Apr 2, 2012 to May 18, 2012
  • Insurance-licensed employees · 0 to 2
    Feb 23, 2012 to Apr 2, 2012
  • Discretionary RAUM · $67.1M to $78.7M
    Feb 23, 2012 to Apr 2, 2012
  • RAUM · $67.1M to $78.7M
    Feb 23, 2012 to Apr 2, 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