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
P••••••• S•••••••• G••••• L••
Latest filing Apr 25, 2019
First filing on the tape Mar 27, 2012 · 38 filings
RAUM
$1.0B
reported, Item 5.F
Discretionary
65%
of RAUM
Private clients
65%
$676M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
32
21 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$1.0B as of Mar 28, 2019
Mar 27, 2012$294M then
HNW client RAUM$470M as of Mar 28, 2019
Mar 7, 2018$479M then
State-registered IARs (5.B.3)15 as of Mar 28, 2019
Mar 25, 201323 then
Employees (5.A)32 as of Mar 28, 2019
Mar 25, 201333 then
Private funds: no history
RAUM +5.1% over the last fiscal year+25% a year over threeIARs 17 to 15
Practice profile
derived from the filing of Apr 25, 2019; every figure names its basis
- RAUM per advisor
- $69.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $515,494derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 65%derivedof RAUM
- Institutional
- 35%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.1derivedItem 5.A over advisors
- Advisors per office
- 7.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- -12%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.6%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, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $509M, 1,233 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$470M45%
- Pension and profit-sharing plans$363M35%
- Individuals$206M20%
- Corporations and businesses$5.8M0.6%
- State and municipal entities$737,7990.1%
- Charitable organizations$158,7040.0%
- Individual clients
- 670reported
- HNW clients
- 237reported
- Pension plan clients
- 98reported
- Charitable clients
- 1reported
- Accounts
- 2,029reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $509M for 1,233 clientsreported
- 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
- W•••••• C••••• to W••••• E••••••••• A••••••• S•••••••• L••Sep 10, 2019 · RIA to affiliated broker-dealer or bank
- D••••• H•••••• to T•••• A•••••••• L••Sep 10, 2019 · Other
- R••••• H•••• C••••• to T•••• A•••••••• L••Sep 10, 2019 · Other
- J••••••• L••••• W••••••• to W••••• E••••••••• A••••••• S•••••••• L••Sep 10, 2019 · RIA to affiliated broker-dealer or bank
- C••••••••• T•••• T••••• to T•••• A•••••••• L••Sep 10, 2019 · Other
- L••••• G••• G••••••• to A•••••••• W••••• C••••••••• L••Sep 10, 2019 · RIA to RIA
- D••••• D•••• to W••••• E••••••••• A••••••• S•••••••• L••Sep 10, 2019 · RIA to affiliated broker-dealer or bank
- K••••••• N•••• to W••••• E••••••••• A••••••• S•••••••• L••Sep 10, 2019 · RIA to affiliated broker-dealer or bank
- J••••••• V••••• G••••••• to W••••• E••••••••• A••••••• S•••••••• L••Sep 10, 2019 · RIA to affiliated broker-dealer or bank
- B•••• K••• to W••••• E••••••••• A••••••• S•••••••• L••Sep 10, 2019 · RIA to affiliated broker-dealer or bank
- C••••••••• M•••• P••••• D••••• to W••••• E••••••••• A••••••• S•••••••• L••Sep 10, 2019 · RIA to affiliated broker-dealer or bank
- A•••••••• C•••••• to W••••• E••••••••• A••••••• S•••••••• L••Sep 10, 2019 · RIA to affiliated broker-dealer or bank
- J••••• E•••• to W••••• E••••••••• A••••••• S•••••••• L••Sep 10, 2019 · RIA to affiliated broker-dealer or bank
- M•••••• B••• to W••••• E••••••••• A••••••• S•••••••• L••Sep 10, 2019 · RIA to affiliated broker-dealer or bank
- H•••••• D•••••••• C••••••• to W••••• E••••••••• A••••••• S•••••••• L••Sep 10, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- J••••• E•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 8, 2019 · Wirehouse to independent RIA
- C•••••• E•••••••• D•••••• from K••••• F•••••••• G•••• I•••Oct 11, 2018 · RIA to RIA
- J•••••• K•••••••• N••• P••••• from M•• I•••••••• S•••••••• L••Jul 17, 2018 · Affiliated broker-dealer or bank to independent RIA
- W•••••• C••••• from G•••• J••••••• W••••• A•••••••Jun 11, 2018 · RIA to RIA
- R••••• B•••• H••••• from S•••••• W••••• M••••••••• L••Nov 16, 2017 · Other
- V••••••• F•••••••• from W•••• F•••• A•••••••Jan 29, 2015 · Other
- K••••••• N•••• from W•••• F•••• A•••••••Dec 27, 2013 · Other
- C••••••••• T•••• T••••• from S••••••• I••••••••• I•••Sep 24, 2013 · Other
- J••••• R••••••••• F•••• from H•••••••• A••••••• C••••Sep 12, 2013 · Other
- S•••• M•••••• G••••• from L•• F•••••••• L••Apr 29, 2013 · Other
- B•••• K••• from I••••••••• A••••••• C•••Aug 23, 2012 · Other
- S•••• R• I•• from M••••• S••••••May 18, 2012 · Other
- T••• J••••• I••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 11, 2012 · Other
- J••••••• L••••• W••••••• from C••••• I••••••••• A••••••• L••Mar 26, 2012 · Other
- R•••••• J••••• O•••••••• from T•••• A•••••••• L••Dec 19, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 12 left for W••••• E••••••••• A••••••• S•••••••• L••Sep 10, 2019 · Fulton, Md · Firm absorbed
- 3 left for T•••• A•••••••• L••Sep 10, 2019 · Fulton, Md
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• R•••••• H•••• · Managing Membercontrolsince 11/2010 · owns 50% to 75% of Psg Company, LLC
- K••••• T••••••• J•••• · Membercontrolsince 11/2010 · owns 50% to 75% of Psg Company, LLC
- G•••••••• L•••••• G••• · Chief Compliance Officersince 02/2012 · owns less than 5%
Entity owners
- P•• C••••••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- P•• I••••••••• A•••••••• L••investment advisercustodiannRAUM $18.8M
Offices
Schedule D 1.F, the 25 largest
- Virginia Beach, VA2 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $684M to $683MMar 28, 2019 to Apr 25, 2019
- Non-discretionary RAUM · $362M to $363MMar 28, 2019 to Apr 25, 2019
- RAUM · $1.0B to $1.0BMar 28, 2019 to Apr 25, 2019
- Accounts · 1,913 to 2,029Jan 29, 2019 to Mar 28, 2019
- Advisory employees · 22 to 21Jan 29, 2019 to Mar 28, 2019
- BD registered reps · 22 to 20Jan 29, 2019 to Mar 28, 2019
- HNW clients · 250 to 237Jan 29, 2019 to Mar 28, 2019
- Individual clients · 617 to 670Jan 29, 2019 to Mar 28, 2019
- Pension plan clients · 93 to 98Jan 29, 2019 to Mar 28, 2019
- State-registered IARs · 17 to 15Jan 29, 2019 to Mar 28, 2019
- Discretionary RAUM · $702M to $684MJan 29, 2019 to Mar 28, 2019
- HNW RAUM · $479M to $470MJan 29, 2019 to Mar 28, 2019
- Individual RAUM · $214M to $206MJan 29, 2019 to Mar 28, 2019
- Non-discretionary RAUM · $294M to $362MJan 29, 2019 to Mar 28, 2019
- Pension RAUM · $296M to $363MJan 29, 2019 to Mar 28, 2019
- RAUM · $995M to $1.0BJan 29, 2019 to Mar 28, 2019
- Accounts · 1,744 to 1,913Jan 2, 2018 to Mar 7, 2018
- Advisory employees · 20 to 22Jan 2, 2018 to Mar 7, 2018
- Advisory activities · 5 to 6Jan 2, 2018 to Mar 7, 2018
- BD registered reps · 21 to 22Jan 2, 2018 to Mar 7, 2018
- Charity clients · unset to 1.0Jan 2, 2018 to Mar 7, 2018
- Corporate clients · unset to 13.0Jan 2, 2018 to Mar 7, 2018
- HNW clients · unset to 250.0Jan 2, 2018 to Mar 7, 2018
- Individual clients · unset to 617.0Jan 2, 2018 to Mar 7, 2018
- Pension plan clients · unset to 93.0Jan 2, 2018 to Mar 7, 2018
- Assets in custody · $0 to $509MJan 2, 2018 to Mar 7, 2018
- Custody of client assets · false to trueJan 2, 2018 to Mar 7, 2018
- Employees · 29 to 32Jan 2, 2018 to Mar 7, 2018
- Insurance-licensed employees · 8 to 6Jan 2, 2018 to Mar 7, 2018
- Financial planning clients · 51-100 to 26-50Jan 2, 2018 to Mar 7, 2018
- State-registered IARs · 20 to 17Jan 2, 2018 to Mar 7, 2018
- Discretionary RAUM · $814M to $702MJan 2, 2018 to Mar 7, 2018
- HNW RAUM · unset to 478774094.0Jan 2, 2018 to Mar 7, 2018
- Individual RAUM · unset to 213941533.0Jan 2, 2018 to Mar 7, 2018
- Non-discretionary RAUM · $1.8M to $294MJan 2, 2018 to Mar 7, 2018
- Pension RAUM · unset to 296055865.0Jan 2, 2018 to Mar 7, 2018
- RAUM · $816M to $995MJan 2, 2018 to Mar 7, 2018
- Other offices · unset to 1.0Aug 10, 2017 to Oct 17, 2017
- Accounts · 1,746 to 1,744Feb 14, 2017 to Mar 23, 2017
- Advisory employees · 22 to 20Feb 14, 2017 to Mar 23, 2017
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