DFX Intelligence
RIA Intelligence
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SEC-registered adviser
•••••• P•••••••
Legal name A•• W••••• P•••••••• L••
Latest filing Feb 23, 2026
First filing on the tape Feb 13, 2012 · 29 filings
SEC status approved since Jan 2, 2009
RAUM
$508M
reported, Item 5.F
Discretionary
55%
of RAUM
Private clients
77%
$390M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$169M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$508M as of Feb 23, 2026
Feb 13, 2012$39.3M then
HNW client RAUM$382M as of Feb 23, 2026
Mar 14, 2018$266M then
State-registered IARs (5.B.3)3 as of Feb 23, 2026
Feb 13, 20120 then
Employees (5.A)5 as of Feb 23, 2026
Feb 15, 20134 then
Private funds: no history
RAUM +7.9% over the last fiscal year+17% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 23, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $169MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.5MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 55%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $55.9M, 34 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$382M75%
- Corporations and businesses$119M23%
- Individuals$7.2M1.4%
- Individual clients
- 26reported
- HNW clients
- 70reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 254reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $55.9M for 34 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| D•••• H•••••• F•••Certified Financial Planner | New York, Ny | Apr 5, 2010 | 29 y | 1 |
| N•••••• B••• S•••••• | Baltimore, Md | Feb 4, 2021 | 16 y | 0 |
| C••••• B•••••Certified Financial Planner | Baltimore, Md | Sep 18, 2023 | 14 y | 0 |
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
none on the tape
Joined, latest
- D•••• H•••••• F••• from C•••••••• G••••• M•••••• I•••Apr 5, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••• D••••• H•••••• · Managing Member/Chief Compliance Officercontrolsince 03/2009 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Baltimore, Md · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 279 to 254Mar 3, 2025 to Feb 23, 2026
- HNW clients · 71 to 70Mar 3, 2025 to Feb 23, 2026
- Individual clients · 32 to 26Mar 3, 2025 to Feb 23, 2026
- Assets in custody · $44.4M to $55.9MMar 3, 2025 to Feb 23, 2026
- Employees · 4 to 5Mar 3, 2025 to Feb 23, 2026
- Financial planning clients · 1-10 to 51-100Mar 3, 2025 to Feb 23, 2026
- Discretionary RAUM · $273M to $280MMar 3, 2025 to Feb 23, 2026
- HNW RAUM · $353M to $382MMar 3, 2025 to Feb 23, 2026
- Individual RAUM · $9.2M to $7.2MMar 3, 2025 to Feb 23, 2026
- Non-discretionary RAUM · $198M to $228MMar 3, 2025 to Feb 23, 2026
- RAUM · $471M to $508MMar 3, 2025 to Feb 23, 2026
- Accounts · 256 to 279Feb 21, 2024 to Mar 3, 2025
- Corporate clients · 6 to 7Feb 21, 2024 to Mar 3, 2025
- HNW clients · 64 to 71Feb 21, 2024 to Mar 3, 2025
- Individual clients · 34 to 32Feb 21, 2024 to Mar 3, 2025
- Assets in custody · $54.3M to $44.4MFeb 21, 2024 to Mar 3, 2025
- Employees · 3 to 4Feb 21, 2024 to Mar 3, 2025
- Financial planning clients · 1-10 to 1-10Feb 21, 2024 to Mar 3, 2025
- Discretionary RAUM · $231M to $273MFeb 21, 2024 to Mar 3, 2025
- HNW RAUM · $289M to $353MFeb 21, 2024 to Mar 3, 2025
- Individual RAUM · $10.5M to $9.2MFeb 21, 2024 to Mar 3, 2025
- Non-discretionary RAUM · $168M to $198MFeb 21, 2024 to Mar 3, 2025
- RAUM · $399M to $471MFeb 21, 2024 to Mar 3, 2025
- Accounts · 257 to 256Jul 24, 2023 to Feb 21, 2024
- Advisory employees · 2 to 3Jul 24, 2023 to Feb 21, 2024
- Corporate clients · unset to 6.0Jul 24, 2023 to Feb 21, 2024
- HNW clients · 61 to 64Jul 24, 2023 to Feb 21, 2024
- Individual clients · 33 to 34Jul 24, 2023 to Feb 21, 2024
- Assets in custody · $19.8M to $54.3MJul 24, 2023 to Feb 21, 2024
- Financial planning clients · 11-25 to 1-10Jul 24, 2023 to Feb 21, 2024
- State-registered IARs · 2 to 3Jul 24, 2023 to Feb 21, 2024
- Discretionary RAUM · $172M to $231MJul 24, 2023 to Feb 21, 2024
- HNW RAUM · $310M to $289MJul 24, 2023 to Feb 21, 2024
- Individual RAUM · $10.6M to $10.5MJul 24, 2023 to Feb 21, 2024
- Non-discretionary RAUM · $149M to $168MJul 24, 2023 to Feb 21, 2024
- RAUM · $321M to $399MJul 24, 2023 to Feb 21, 2024
- Employees · 2 to 3Jun 1, 2023 to Jul 24, 2023
- Assets in custody · unset to 19823298.0Mar 6, 2023 to Jun 1, 2023
- Custody of client assets · false to trueMar 6, 2023 to Jun 1, 2023
- Accounts · 223 to 257Mar 11, 2022 to Mar 6, 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
- Business email
- i•••@a••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 410-844-3300reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 866-526-4871reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/&wealthreportedpublic record, Form ADV, Sep 21, 2026
- Website
- a••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 410-844-3300reportedpublic record, Form ADV, Feb 23, 2026
- Contact form
- a••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $169Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026