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

D•••• C•••••• A•••••••• L••

Former SEC-registered adviserAlexandria, VirginiaCRD 152532SEC 801-71649IAPD
Latest filing Apr 21, 2022
First filing on the tape Mar 29, 2012 · 18 filings
RAUM
$3.5B
reported, Item 5.F
Discretionary
20%
of RAUM
Private clients
89%
$3.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
28
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$33.3M gross assets
History
18 filings and snapshots on the tape
RAUM$3.5B as of Mar 30, 2022
Mar 29, 2012$493M then
HNW client RAUM$3.1B as of Mar 30, 2022
Mar 27, 2018$1.6B then
State-registered IARs (5.B.3)3 as of Mar 30, 2022
Mar 29, 20120 then
Employees (5.A)28 as of Mar 30, 2022
Mar 27, 201311 then
Private funds4 as of Mar 30, 2022
Mar 29, 20191 then
RAUM +26% over the last fiscal year+26% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 21, 2022; every figure names its basis
RAUM per advisor
$1.2BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
26derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$40.6MderivedHNW RAUM over HNW clients
Average account
$49.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
20%derivedof RAUM
Institutional
9.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
9.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+26%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+10%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$105M, 18 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$3.1B89%
  • Charitable organizations$337M9.6%
  • Pooled investment vehicles$32.3M0.9%
Individual clients
0reported
HNW clients
77reported
Pension plan clients
0reported
Charitable clients
n/areported
Accounts
71reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$105M for 18 clientsreported
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
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • D••••••• E•••••• S•••• · Client Service Directorcontrol
      since 01/2009 · owns 10% to 25%
    • P••••••• N•••••••• D•••• · Managing Membercontrol
      since 05/2007 · owns 50% to 75%
    • S•••• S•••••••• I••••••••• · Chief Investment Officercontrol
      since 03/2013 · owns 10% to 25%
    • K••••• S••••• · Chief Compliance Officer/Chief Administratrive Officer
      since 05/2021 · owns less than 5%
    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 · 64 to 71
      Aug 16, 2021 to Mar 30, 2022
    • HNW clients · 70 to 77
      Aug 16, 2021 to Mar 30, 2022
    • Pooled vehicle clients · 2 to 4
      Aug 16, 2021 to Mar 30, 2022
    • Assets in custody · $49.6M to $105M
      Aug 16, 2021 to Mar 30, 2022
    • Private funds · 3 to 4
      Aug 16, 2021 to Mar 30, 2022
    • Discretionary RAUM · $491M to $689M
      Aug 16, 2021 to Mar 30, 2022
    • HNW RAUM · $2.5B to $3.1B
      Aug 16, 2021 to Mar 30, 2022
    • Non-discretionary RAUM · $2.3B to $2.8B
      Aug 16, 2021 to Mar 30, 2022
    • Pooled vehicle RAUM · $13.4M to $32.3M
      Aug 16, 2021 to Mar 30, 2022
    • RAUM · $2.8B to $3.5B
      Aug 16, 2021 to Mar 30, 2022
    • Accounts · 47 to 64
      Oct 29, 2020 to Mar 30, 2021
    • Advisory employees · 7 to 10
      Oct 29, 2020 to Mar 30, 2021
    • HNW clients · 55 to 70
      Oct 29, 2020 to Mar 30, 2021
    • Pooled vehicle clients · 1 to 2
      Oct 29, 2020 to Mar 30, 2021
    • Assets in custody · $31.9M to $49.6M
      Oct 29, 2020 to Mar 30, 2021
    • Employees · 22 to 28
      Oct 29, 2020 to Mar 30, 2021
    • Financial planning clients · 11-25 to 26-50
      Oct 29, 2020 to Mar 30, 2021
    • Private funds · 1 to 3
      Oct 29, 2020 to Mar 30, 2021
    • Discretionary RAUM · $391M to $491M
      Oct 29, 2020 to Mar 30, 2021
    • HNW RAUM · $2.2B to $2.5B
      Oct 29, 2020 to Mar 30, 2021
    • Non-discretionary RAUM · $2.1B to $2.3B
      Oct 29, 2020 to Mar 30, 2021
    • Pooled vehicle RAUM · $5.2M to $13.4M
      Oct 29, 2020 to Mar 30, 2021
    • RAUM · $2.5B to $2.8B
      Oct 29, 2020 to Mar 30, 2021
    • Accounts · 41 to 47
      Mar 29, 2019 to Mar 27, 2020
    • Advisory employees · 6 to 7
      Mar 29, 2019 to Mar 27, 2020
    • Advisory activities · 3 to 4
      Mar 29, 2019 to Mar 27, 2020
    • HNW clients · 52 to 55
      Mar 29, 2019 to Mar 27, 2020
    • Assets in custody · $17.2M to $31.9M
      Mar 29, 2019 to Mar 27, 2020
    • Employees · 19 to 22
      Mar 29, 2019 to Mar 27, 2020
    • State-registered IARs · 2 to 3
      Mar 29, 2019 to Mar 27, 2020
    • Discretionary RAUM · $237M to $391M
      Mar 29, 2019 to Mar 27, 2020
    • HNW RAUM · $1.5B to $2.2B
      Mar 29, 2019 to Mar 27, 2020
    • Non-discretionary RAUM · $1.5B to $2.1B
      Mar 29, 2019 to Mar 27, 2020
    • Pooled vehicle RAUM · $5.2M to $5.2M
      Mar 29, 2019 to Mar 27, 2020
    • RAUM · $1.7B to $2.5B
      Mar 29, 2019 to Mar 27, 2020
    • Accounts · 37 to 41
      Mar 27, 2018 to Mar 29, 2019
    • HNW clients · 43 to 52
      Mar 27, 2018 to Mar 29, 2019
    • Pooled vehicle clients · 0 to 1
      Mar 27, 2018 to Mar 29, 2019
    • Assets in custody · $7.7M to $17.2M
      Mar 27, 2018 to Mar 29, 2019
    • Employees · 17 to 19
      Mar 27, 2018 to Mar 29, 2019
    Signals
    7 dated events
    • E•••••• H•••••• M•••••• left D•••• C•••••• A•••••••• L•• for P•••••••• (registered 2022-08-29)
      Aug 29, 2022 · Advisor changed firm · fact
    • H•••• A••••••• D••••• left D•••• C•••••• A•••••••• L•• for P•••••••• (registered 2022-08-15)
      Aug 29, 2022 · Advisor changed firm · fact
    • 2 advisors left D•••• C•••••• A•••••••• L•• (Alexandria, VA) for P•••••••• on the same day
      Aug 29, 2022 · Team lift-out · derived
    • D•••• C•••••• A•••••••• L•• reported RAUM $3.5B, up 26% from $2.8B (2021-08-16 to 2022-03-30)
      Mar 30, 2022 · RAUM change · derived
    • Patrick Joseph Iii Hanson (Vice President Of Finance/Chief Compliance Officer) no longer on Schedule A of D•••• C•••••• A•••••••• L•• (listed 2021-06-14, absent 2021-08-16)
      Aug 16, 2021 · Control person left · inference
    • D•••• C•••••• A•••••••• L•• reported RAUM $2.5B, up 42% from $1.7B (2019-03-29 to 2020-03-27)
      Mar 27, 2020 · RAUM change · derived
    • D•••• C•••••• A•••••••• L•• reported RAUM $1.7B, up 25% from $1.4B (2017-03-24 to 2018-03-27)
      Mar 27, 2018 · RAUM change · derived
    Across DFX
    shared identifiers only, never a name match
    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