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.

Former SEC-registered adviser

Capital Fiduciary Advisors, LLC

Former SEC-registered adviserReston, VirginiaCRD 153075SEC 801-72594IAPD
Latest filing Apr 30, 2019
First filing on the tape Mar 30, 2012 · 20 filings
RAUM
$147M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
89%
$131M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$147M as of Mar 25, 2019
Mar 30, 2012$120M then
HNW client RAUM$83.0M as of Mar 25, 2019
Mar 23, 2018$116M then
State-registered IARs (5.B.3)3 as of Mar 25, 2019
Mar 30, 20120 then
Employees (5.A)3 as of Mar 25, 2019
Mar 21, 20138 then
Private funds: no history
RAUM -9.9% over the last fiscal year-32% a year over threeIARs 3 to 1offices 3 to 0
Practice profile
derived from the filing of Apr 30, 2019; every figure names its basis
RAUM per advisor
$147MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
162derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.1MderivedHNW RAUM over HNW clients
Average account
$411,257derivedRAUM over accounts (5.F.2.f)
Discretionary
89%derivedof RAUM
Institutional
5.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-9.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-44%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publications, educational seminarsreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$83.0M56%
  • Individuals$48.0M33%
  • Corporations and businesses$8.0M5.4%
  • Pension and profit-sharing plans$7.9M5.4%
  • Charitable organizations$386,9010.3%
Individual clients
87reported
HNW clients
75reported
Pension plan clients
7reported
Charitable clients
n/areported
Accounts
358reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Left, latest
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
    • Lee David Hartley · Acting Presidentcontrol
      since 05/2017 · owns less than 5%
    • John Bartholomew Mcdonald · Chief Compliance Officer
      since 05/2019 · owns less than 5%
    Entity owners
    • Union Bank & Trust · Member
      direct · owns 75% or more
    • Union Bankshares Corporation · Indirect Owner
      indirect · owns 75% or more of Union Bank & Trust · public reporting company
    Related persons
    Schedule D 7.A
    • Union Bank & Trust
      n
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · 3 to 1
      Mar 25, 2019 to Apr 30, 2019
    • Employees · 3 to 1
      Mar 25, 2019 to Apr 30, 2019
    • State-registered IARs · 3 to 1
      Mar 25, 2019 to Apr 30, 2019
    • Other offices · 2 to 0
      Mar 25, 2019 to Apr 30, 2019
    • Accounts · 307 to 358
      Mar 23, 2018 to Mar 25, 2019
    • Corporate clients · 8 to 10
      Mar 23, 2018 to Mar 25, 2019
    • HNW clients · 136 to 75
      Mar 23, 2018 to Mar 25, 2019
    • Individual clients · 154 to 87
      Mar 23, 2018 to Mar 25, 2019
    • Pension plan clients · 5 to 7
      Mar 23, 2018 to Mar 25, 2019
    • Employees · 4 to 3
      Mar 23, 2018 to Mar 25, 2019
    • Financial planning clients · 51-100 to 1-10
      Mar 23, 2018 to Mar 25, 2019
    • Other offices · 3 to 2
      Mar 23, 2018 to Mar 25, 2019
    • Discretionary RAUM · $84.6M to $131M
      Mar 23, 2018 to Mar 25, 2019
    • HNW RAUM · $116M to $83.0M
      Mar 23, 2018 to Mar 25, 2019
    • Individual RAUM · $29.4M to $48.0M
      Mar 23, 2018 to Mar 25, 2019
    • Non-discretionary RAUM · $78.7M to $16.3M
      Mar 23, 2018 to Mar 25, 2019
    • Pension RAUM · $5.1M to $7.9M
      Mar 23, 2018 to Mar 25, 2019
    • RAUM · $163M to $147M
      Mar 23, 2018 to Mar 25, 2019
    • Related adviser · false to true
      Mar 23, 2018 to Mar 25, 2019
    • Accounts · 879 to 307
      Jan 5, 2018 to Mar 23, 2018
    • BD registered reps · 1 to 0
      Jan 5, 2018 to Mar 23, 2018
    • Charity clients · 40.0 to unset
      Jan 5, 2018 to Mar 23, 2018
    • Corporate clients · 0 to 8
      Jan 5, 2018 to Mar 23, 2018
    • HNW clients · 200 to 136
      Jan 5, 2018 to Mar 23, 2018
    • Individual clients · 600 to 154
      Jan 5, 2018 to Mar 23, 2018
    • Pension plan clients · 30 to 5
      Jan 5, 2018 to Mar 23, 2018
    • Employees · 5 to 4
      Jan 5, 2018 to Mar 23, 2018
    • Insurance-licensed employees · 1 to 0
      Jan 5, 2018 to Mar 23, 2018
    • Discretionary RAUM · $369M to $84.6M
      Jan 5, 2018 to Mar 23, 2018
    • HNW RAUM · $215M to $116M
      Jan 5, 2018 to Mar 23, 2018
    • Individual RAUM · $250M to $29.4M
      Jan 5, 2018 to Mar 23, 2018
    • Non-discretionary RAUM · $140M to $78.7M
      Jan 5, 2018 to Mar 23, 2018
    • Pension RAUM · $15.0M to $5.1M
      Jan 5, 2018 to Mar 23, 2018
    • RAUM · $509M to $163M
      Jan 5, 2018 to Mar 23, 2018
    • Advisory employees · 8 to 3
      Apr 12, 2017 to Jan 5, 2018
    • Charity clients · unset to 40.0
      Apr 12, 2017 to Jan 5, 2018
    • Corporate clients · unset to 0.0
      Apr 12, 2017 to Jan 5, 2018
    • HNW clients · unset to 200.0
      Apr 12, 2017 to Jan 5, 2018
    • Individual clients · unset to 600.0
      Apr 12, 2017 to Jan 5, 2018
    • Pension plan clients · unset to 30.0
      Apr 12, 2017 to Jan 5, 2018
    Signals
    3 dated events
    • Thurston Spaulding (Managing Director) no longer on Schedule A of Capital Fiduciary Advisors, Llc (listed 2019-03-25, absent 2019-04-30)
      Apr 30, 2019 · Control person left · inference
    • Kirsh Paul Jacobson (Managing Director) no longer on Schedule A of Capital Fiduciary Advisors, Llc (listed 2019-03-25, absent 2019-04-30)
      Apr 30, 2019 · Control person left · inference
    • Capital Fiduciary Advisors, Llc reported RAUM $163.3M, down 68% from $509.2M (2018-01-05 to 2018-03-23)
      Mar 23, 2018 · 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.
    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