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
C•••••• M••••• P•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 27, 2012 · 28 filings
SEC status approved since Jun 12, 2008
RAUM
$481M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
93%
$448M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$160M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$481M as of Mar 30, 2026
Mar 27, 2012$212M then
HNW client RAUM$400M as of Mar 30, 2026
Mar 28, 2018$197M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Mar 27, 20120 then
Employees (5.A)4 as of Mar 30, 2026
Mar 26, 20133 then
Private funds: no history
RAUM +15% over the last fiscal year+10% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $160MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $572,205derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 5.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.8%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $87.5M, 71 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$400M83%
- Individuals$47.9M10.0%
- Charitable organizations$23.5M4.9%
- Corporations and businesses$7.7M1.6%
- Pension and profit-sharing plans$1.2M0.3%
- Individual clients
- 121reported
- HNW clients
- 101reported
- Pension plan clients
- 1reported
- Charitable clients
- 5reported
- Accounts
- 840reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $87.5M for 71 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.05 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 |
|---|---|---|---|---|
| J•••••• S••••• M••••• | Norfolk, Va | Oct 28, 2008 | 18 y | 1 |
| R•••• M••• C••••••Certified Financial Planner | Norfolk, Va | Nov 24, 2008 | 44 y | 1 |
| H•••• G••••• K••• | Norfolk, Va | Jun 21, 2013 | 29 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- C••••••••• I•• D••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jul 12, 2017 · Other
Joined, latest
- C••••••••• I•• D••••• from C•••••• S••••• • C••• I•••Jan 13, 2016 · Other
- H•••• G••••• K••• from U•• F•••••••• S••••••• I•••Jun 21, 2013 · Other
- R•••• M••• C•••••• from U•• F•••••••• S••••••• I•••Nov 24, 2008 · Other
- J•••••• S••••• M••••• from U•• F•••••••• S••••••• I•••Oct 28, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• R••••• M••• · Managing Member, Chief Compliance Officercontrolsince 05/2008 · owns 75% or more
- M•••••• J••••••• S••••• · Managing Membercontrolsince 12/2013 · owns less than 5%
Related persons
Schedule D 7.A
- C•••••• K•••••• M••••• P•••••••• L••investment advisernRAUM $44.2M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Norfolk, Va · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Mar 30, 2026RAUM per registered advisor of $160,217,271 against a peer median of $55,731,856 (3254 comparable advisers, 100.0th percentile, 3.6 robust deviations)peers: independent wealth managers, $100M to $500M (3,254) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 888 to 840Mar 29, 2025 to Mar 30, 2026
- HNW clients · 98 to 101Mar 29, 2025 to Mar 30, 2026
- Individual clients · 120 to 121Mar 29, 2025 to Mar 30, 2026
- Pension plan clients · 7 to 1Mar 29, 2025 to Mar 30, 2026
- Assets in custody · $79.9M to $87.5MMar 29, 2025 to Mar 30, 2026
- Financial planning clients · 1-10 to 11-25Mar 29, 2025 to Mar 30, 2026
- Discretionary RAUM · $379M to $434MMar 29, 2025 to Mar 30, 2026
- HNW RAUM · $342M to $400MMar 29, 2025 to Mar 30, 2026
- Individual RAUM · $44.9M to $47.9MMar 29, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $39.8M to $46.2MMar 29, 2025 to Mar 30, 2026
- Pension RAUM · $2.3M to $1.2MMar 29, 2025 to Mar 30, 2026
- RAUM · $419M to $481MMar 29, 2025 to Mar 30, 2026
- Accounts · 866 to 888Mar 29, 2024 to Mar 29, 2025
- HNW clients · 92 to 98Mar 29, 2024 to Mar 29, 2025
- Individual clients · 123 to 120Mar 29, 2024 to Mar 29, 2025
- Pension plan clients · 10 to 7Mar 29, 2024 to Mar 29, 2025
- Assets in custody · $77.7M to $79.9MMar 29, 2024 to Mar 29, 2025
- Employees · 3 to 4Mar 29, 2024 to Mar 29, 2025
- Financial planning clients · 1-10 to 1-10Mar 29, 2024 to Mar 29, 2025
- Discretionary RAUM · $345M to $379MMar 29, 2024 to Mar 29, 2025
- HNW RAUM · $310M to $342MMar 29, 2024 to Mar 29, 2025
- Individual RAUM · $44.5M to $44.9MMar 29, 2024 to Mar 29, 2025
- Non-discretionary RAUM · $37.2M to $39.8MMar 29, 2024 to Mar 29, 2025
- Pension RAUM · $1.6M to $2.3MMar 29, 2024 to Mar 29, 2025
- RAUM · $382M to $419MMar 29, 2024 to Mar 29, 2025
- Accounts · 857 to 866Nov 26, 2023 to Mar 29, 2024
- HNW clients · 89 to 92Nov 26, 2023 to Mar 29, 2024
- Individual clients · 124 to 123Nov 26, 2023 to Mar 29, 2024
- Assets in custody · $8.2M to $77.7MNov 26, 2023 to Mar 29, 2024
- Discretionary RAUM · $318M to $345MNov 26, 2023 to Mar 29, 2024
- HNW RAUM · $292M to $310MNov 26, 2023 to Mar 29, 2024
- Individual RAUM · $42.3M to $44.5MNov 26, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $41.8M to $37.2MNov 26, 2023 to Mar 29, 2024
- Pension RAUM · $1.2M to $1.6MNov 26, 2023 to Mar 29, 2024
- RAUM · $360M to $382MNov 26, 2023 to Mar 29, 2024
- Accounts · 823 to 857Feb 13, 2023 to Mar 23, 2023
- Advisory employees · 4 to 3Feb 13, 2023 to Mar 23, 2023
- Advisory activities · 5 to 4Feb 13, 2023 to Mar 23, 2023
- HNW clients · 88 to 89Feb 13, 2023 to Mar 23, 2023
- Individual clients · 123 to 124Feb 13, 2023 to Mar 23, 2023
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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 757-390-3100reportedpublic record, Form ADV, Mar 30, 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
- $160Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026