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

B••••••• C•••••• A•••••••• L••

Former SEC-registered adviserVienna, VirginiaCRD 149168SEC 801-72382IAPD
Latest filing Aug 26, 2013
First filing on the tape Mar 27, 2012 · 4 filings
RAUM
$116M
reported, Item 5.F
Discretionary
90%
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
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$119M as of Apr 2, 2013
Mar 27, 2012$159M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Apr 2, 2013
Mar 27, 20120 then
Employees (5.A): 5
Private funds: no history
RAUM -27% over the last fiscal yearIARs 0 to 1
Practice profile
derived from the filing of Aug 26, 2013; every figure names its basis
RAUM per advisor
$116MderivedRAUM 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
$851,833derivedRAUM over accounts (5.F.2.f)
Discretionary
90%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-25%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
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
136reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
  • S•••• C••••••• E•• · President, Chief Compliance Officercontrol
    since 12/2008 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Middleburg, VA
What changed
consecutive filings, newest first
  • Advisory employees · 2 to 1
    Apr 2, 2013 to Jul 22, 2013
  • Employees · 5 to 2
    Apr 2, 2013 to Jul 22, 2013
  • State-registered IARs · 2 to 1
    Apr 2, 2013 to Jul 22, 2013
  • Discretionary RAUM · $107M to $104M
    Apr 2, 2013 to Jul 22, 2013
  • Non-discretionary RAUM · $11.5M to $11.5M
    Apr 2, 2013 to Jul 22, 2013
  • RAUM · $119M to $116M
    Apr 2, 2013 to Jul 22, 2013
  • Accounts · 212 to 136
    Mar 27, 2012 to Apr 2, 2013
  • Advisory employees · unset to 2.0
    Mar 27, 2012 to Apr 2, 2013
  • Employees · unset to 5.0
    Mar 27, 2012 to Apr 2, 2013
  • State-registered IARs · 0 to 2
    Mar 27, 2012 to Apr 2, 2013
  • Discretionary RAUM · $103M to $107M
    Mar 27, 2012 to Apr 2, 2013
  • Non-discretionary RAUM · $56.1M to $11.5M
    Mar 27, 2012 to Apr 2, 2013
  • RAUM · $159M to $119M
    Mar 27, 2012 to Apr 2, 2013
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