DFX Intelligence

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D••••••• L••

Independent wealth managerSEC-registered

Independent wealth manager, reporting $151M of regulatory assets across 1 registered advisors.

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

As of 2026-04-29 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $151M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +11%
Private clients: 100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-04-29 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+11.1%
RAUM, one year
RAUM $136M to $151M (+11.1%) on the Form ADV filed 29 Apr 2026, while advisors on the filing held at 1.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 146951 · SEC 801-121436 · 9 filingsShow

CRD 146951SEC 801-121436First filing on the tape May 7, 2021, latest Apr 29, 2026SEC status approved since Jun 7, 2021IAPD

RAUM

$151M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$151M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$151M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

9 filings and snapshots on the tape

RAUM +11% a year over three years · the tape starts May 7, 2021

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$151M as of Apr 29, 2026

Mar 24, 2022$130M then

HNW client RAUM$151M as of Apr 29, 2026

Mar 24, 2022$130M then

State-registered IARs (5.B.3)1 as of Apr 29, 2026

Mar 24, 20221 then

Employees (5.A)1 as of Apr 29, 2026

Mar 24, 20222 then

Private funds: no history

RAUM +11% over the last fiscal year+11% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Apr 29, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

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: $151MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $5.6MderivedHNW RAUM over HNW clients
Average account: $4.4MderivedRAUM 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: +11%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, otherreportedItem 5.E
Advisory activities: portfolio management for individuals, 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% high-net-worth individuals

The breakdown by client type, and the client counts1 client typesShow

High-net-worth individuals$151M100%

Individual clients: n/areported
HNW clients: 27reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 34reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: RAUM: 100% private clients, 0% 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 departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
C••••••••• H•••••• J••••••Chartered Financial Analyst	Charlottesville, Va	Jun 9, 2008	34 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

J••••••• C••••••••• H•••••• · Managing Membercontrol
since 01/2008 · owns 75% or more

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 · 35 to 34
Mar 12, 2025 to Mar 3, 2026
Individual clients · 1.0 to unset
Mar 12, 2025 to Mar 3, 2026
Discretionary RAUM · $136M to $151M
Mar 12, 2025 to Mar 3, 2026
HNW RAUM · $136M to $151M
Mar 12, 2025 to Mar 3, 2026
Individual RAUM · 110797.0 to unset
Mar 12, 2025 to Mar 3, 2026

Full history · 35 changes

RAUM · $136M to $151M
Mar 12, 2025 to Mar 3, 2026
HNW clients · 25 to 27
Mar 11, 2024 to Mar 12, 2025
Individual clients · unset to 1.0
Mar 11, 2024 to Mar 12, 2025
Employees · 2 to 1
Mar 11, 2024 to Mar 12, 2025
Financial planning clients · unset to
Mar 11, 2024 to Mar 12, 2025
HQ city · unset to
Mar 11, 2024 to Mar 12, 2025
HQ state · unset to
Mar 11, 2024 to Mar 12, 2025
Discretionary RAUM · $124M to $136M
Mar 11, 2024 to Mar 12, 2025
HNW RAUM · $123M to $136M
Mar 11, 2024 to Mar 12, 2025
Individual RAUM · $1.7M to $110,797
Mar 11, 2024 to Mar 12, 2025
RAUM · $124M to $136M
Mar 11, 2024 to Mar 12, 2025
Discretionary RAUM · $110M to $124M
Jul 16, 2023 to Mar 11, 2024
HNW RAUM · $108M to $123M
Jul 16, 2023 to Mar 11, 2024
Individual RAUM · $1.9M to $1.7M
Jul 16, 2023 to Mar 11, 2024
RAUM · $110M to $124M
Jul 16, 2023 to Mar 11, 2024
HQ city · CHARLOTTESVILLE to unset
Mar 24, 2023 to Jul 15, 2023
HQ state · VA to unset
Mar 24, 2023 to Jul 15, 2023
Accounts · 36 to 35
Mar 24, 2022 to Mar 24, 2023
HNW clients · 27 to 25
Mar 24, 2022 to Mar 24, 2023
Individual clients · 1.0 to unset
Mar 24, 2022 to Mar 24, 2023
Discretionary RAUM · $130M to $110M
Mar 24, 2022 to Mar 24, 2023
HNW RAUM · $130M to $108M
Mar 24, 2022 to Mar 24, 2023
Individual RAUM · $92,308 to $1.9M
Mar 24, 2022 to Mar 24, 2023
RAUM · $130M to $110M
Mar 24, 2022 to Mar 24, 2023
Accounts · 37 to 36
May 7, 2021 to Mar 24, 2022
HNW clients · 28 to 27
May 7, 2021 to Mar 24, 2022
Discretionary RAUM · $117M to $130M
May 7, 2021 to Mar 24, 2022
HNW RAUM · $117M to $130M
May 7, 2021 to Mar 24, 2022
Individual RAUM · $85,775 to $92,308
May 7, 2021 to Mar 24, 2022
RAUM · $117M to $130M
May 7, 2021 to Mar 24, 2022

Signals

1 dated events

••• Locked
May 7, 2021 · First SEC registration · 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

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Apr 29, 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: $151Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026