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
P••••••• I• F•••••••• P•••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Jan 12, 2012 · 18 filings
SEC status approved since Nov 10, 2009
RAUM
$914M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$904M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$131M
derived; firm RAUM over IAPD count
Employees
14
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$914M as of Mar 23, 2026
Jan 12, 2012$188M then
HNW client RAUM$324M as of Mar 23, 2026
Mar 8, 2018$86.4M then
State-registered IARs (5.B.3)8 as of Mar 23, 2026
Jan 12, 20120 then
Employees (5.A)14 as of Mar 23, 2026
Mar 20, 20137 then
Private funds: no history
RAUM +17% over the last fiscal year+14% a year over threeIARs 0 to 8
Practice profile
derived from the filing of Mar 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $131MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.7MderivedHNW RAUM over HNW clients
- Average account
- $329,334derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $1.9M, 4 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
- 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)
- the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$581M64%
- High-net-worth individuals$324M35%
- Charitable organizations$9.1M1.0%
- Individual clients
- 354reported
- HNW clients
- 37reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 2,774reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.9M for 4 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••••• D••••• P••••••Certified Financial Planner | Salem, Va | Nov 13, 2009 | 25 y | 1 |
| J•••• E••••• P••••••Certified Financial Planner, Personal Financial Specialist | Salem, Va | Nov 13, 2009 | 35 y | 1 |
| R•••••• K•••• B••••Certified Financial Planner | John'S Island, Sc | Jan 2, 2013 | 26 y | 2 |
| S•••••• C••••••••• B•••Certified Financial Planner | Salem, Va | Jan 11, 2016 | 10 y | 0 |
| C••••••••• W•••••• B•••••Certified Financial Planner | Salem, Va | Mar 25, 2016 | 12 y | 0 |
| S••••••• C•••••Certified Financial Planner | Salem, Va | Feb 12, 2023 | 13 y | 0 |
| S••• L•••••• E••••••Certified Financial Planner | Salem, Va | Mar 22, 2026 | 12 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount1 left over 36 months
Left, latest
- T••• D• D••••• to G••••••••• F••••••••May 5, 2026 · RIA to a state-registered adviser
- J••••• S•••••• to S•••••• P••••••• F••••••Aug 24, 2022 · Other
Joined, latest
- R•••••• K•••• B•••• from B•••• W••••• M••••••••• L••Jan 2, 2013 · Other
- T••• D• D••••• from A•••••• A••••••• S•••••••Nov 14, 2011 · Other
- J•••• E••••• P•••••• from F••••••• F•••••••• P•••••••• L•••Nov 13, 2009 · Other
- P••••• D••••• P•••••• from F••••••• F•••••••• P•••••••• L•••Nov 13, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• R••••••• K•••• · Member And Chief Investment Officercontrolsince 01/2015 · owns 25% to 50%
- P••••••• J••••• E••••• · Managing Membercontrolsince 10/2009 · owns 25% to 50%
- P••••••• P•••••• D••••• · Membercontrolsince 10/2009 · owns 25% to 50%
- B•••• S••••••• C••••••••• · Member And Chief Compliance Officersince 01/2021 · owns 10% to 25%
- B•••••• C••••••••• W•••••• · Member And Chief Operations Officersince 01/2021 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Salem, Va · principal | 7 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Charleston, SC1 employees
What changed
consecutive filings, newest first
- Advisory employees · 7 to 8Feb 21, 2025 to Mar 23, 2026
- HNW clients · 30 to 37Feb 21, 2025 to Mar 23, 2026
- Assets in custody · $2.6M to $1.9MFeb 21, 2025 to Mar 23, 2026
- Employees · 13 to 14Feb 21, 2025 to Mar 23, 2026
- State-registered IARs · 0 to 8Feb 21, 2025 to Mar 23, 2026
- Discretionary RAUM · $780M to $914MFeb 21, 2025 to Mar 23, 2026
- HNW RAUM · $242M to $324MFeb 21, 2025 to Mar 23, 2026
- Individual RAUM · $530M to $581MFeb 21, 2025 to Mar 23, 2026
- RAUM · $780M to $914MFeb 21, 2025 to Mar 23, 2026
- Accounts · 2,163 to 2,774Feb 22, 2024 to Feb 21, 2025
- Advisory employees · 8 to 7Feb 22, 2024 to Feb 21, 2025
- HNW clients · 23 to 30Feb 22, 2024 to Feb 21, 2025
- Assets in custody · $2.3M to $2.6MFeb 22, 2024 to Feb 21, 2025
- Employees · 12 to 13Feb 22, 2024 to Feb 21, 2025
- Financial planning clients · 251-500 to 251-500Feb 22, 2024 to Feb 21, 2025
- Discretionary RAUM · $709M to $780MFeb 22, 2024 to Feb 21, 2025
- HNW RAUM · $181M to $242MFeb 22, 2024 to Feb 21, 2025
- Individual RAUM · $520M to $530MFeb 22, 2024 to Feb 21, 2025
- RAUM · $709M to $780MFeb 22, 2024 to Feb 21, 2025
- Accounts · 1,832 to 2,163Feb 17, 2023 to Feb 22, 2024
- Charity clients · 4 to 5Feb 17, 2023 to Feb 22, 2024
- HNW clients · 13 to 23Feb 17, 2023 to Feb 22, 2024
- Individual clients · 365 to 354Feb 17, 2023 to Feb 22, 2024
- Assets in custody · $2.4M to $2.3MFeb 17, 2023 to Feb 22, 2024
- Discretionary RAUM · $618M to $709MFeb 17, 2023 to Feb 22, 2024
- HNW RAUM · $104M to $181MFeb 17, 2023 to Feb 22, 2024
- Individual RAUM · $507M to $520MFeb 17, 2023 to Feb 22, 2024
- RAUM · $618M to $709MFeb 17, 2023 to Feb 22, 2024
- Accounts · 1,751 to 1,832Jan 12, 2022 to Feb 17, 2023
- HNW clients · 22 to 13Jan 12, 2022 to Feb 17, 2023
- Individual clients · 334 to 365Jan 12, 2022 to Feb 17, 2023
- Assets in custody · $2.1M to $2.4MJan 12, 2022 to Feb 17, 2023
- Employees · 11 to 12Jan 12, 2022 to Feb 17, 2023
- Discretionary RAUM · $678M to $618MJan 12, 2022 to Feb 17, 2023
- HNW RAUM · $163M to $104MJan 12, 2022 to Feb 17, 2023
- Individual RAUM · $507M to $507MJan 12, 2022 to Feb 17, 2023
- RAUM · $678M to $618MJan 12, 2022 to Feb 17, 2023
- Accounts · 1,720 to 1,751Mar 23, 2021 to Jan 12, 2022
- Charity clients · 3 to 4Mar 23, 2021 to Jan 12, 2022
- HNW clients · 18 to 22Mar 23, 2021 to Jan 12, 2022
Signals
3 dated events
- T••• D• D••••• left P••••••• I• F•••••••• P•••••••• L•• for G••••••••• F•••••••• (registered 2026-05-14)May 5, 2026 · Advisor changed firm · fact
- J••••• S•••••• left P••••••• I• F•••••••• P•••••••• L•• for S•••••• P••••••• F•••••• (registered 2022-09-03)Aug 24, 2022 · Advisor changed firm · fact
- P••••••• I• F•••••••• P•••••••• L•• reported RAUM $622.9M, up 30% from $478.2M (2020-06-25 to 2021-03-23)Mar 23, 2021 · RAUM change · derived
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
- info@partnersinfinancialplanning.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 540-266-3620reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 540-444-2930reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 843-872-0202reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/3553538reportedpublic record, Form ADV, Sep 18, 2026
- Website
- PARTNERSINFINANCIALP•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 540-444-2930reportedpublic record, Form ADV, Mar 23, 2026
- Team page
- partnersinfinancialplanning.com/about-us/our-teamreportedpublished 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
- $131Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026