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

W••••••••• W••••• A•••••••• L••

Former SEC-registered adviserFalls Church, VirginiaCRD 155978SEC 801-110265IAPD
Latest filing Nov 9, 2022
First filing on the tape Nov 21, 2011 · 20 filings
RAUM
$249M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
100%
$249M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$249M as of Mar 29, 2022
Mar 28, 2017$115M then
HNW client RAUM$136M as of Mar 29, 2022
Mar 27, 2018$62.1M then
State-registered IARs (5.B.3)4 as of Mar 29, 2022
Mar 28, 20173 then
Employees (5.A)8 as of Mar 29, 2022
Mar 28, 20177 then
Private funds: no history
RAUM +19% over the last fiscal year+18% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Nov 9, 2022; every figure names its basis
RAUM per advisor
$62.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
66derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$170,728derivedRAUM over accounts (5.F.2.f)
Discretionary
91%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
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+15%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Custody
$59.7M, 38 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$136M55%
  • Individuals$113M45%
Individual clients
167reported
HNW clients
97reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,457reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$59.7M for 38 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
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
    • S••••••• M••••• C•••••• · Managing Member And Chief Compliance Officercontrol
      since 12/2010 · owns 50% to 75%
    • Y••••••••• T•••• I•• · Managing Member And Chief Compliance Officercontrol
      since 08/2012 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Ashburn, VA1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,162 to 1,457
      Jan 28, 2022 to Mar 29, 2022
    • HNW clients · 71 to 97
      Jan 28, 2022 to Mar 29, 2022
    • Individual clients · 159 to 167
      Jan 28, 2022 to Mar 29, 2022
    • Assets in custody · $47.9M to $59.7M
      Jan 28, 2022 to Mar 29, 2022
    • Employees · 7 to 8
      Jan 28, 2022 to Mar 29, 2022
    • Financial planning clients · 51-100 to 251-500
      Jan 28, 2022 to Mar 29, 2022
    • Discretionary RAUM · $25.0M to $227M
      Jan 28, 2022 to Mar 29, 2022
    • HNW RAUM · $131M to $136M
      Jan 28, 2022 to Mar 29, 2022
    • Individual RAUM · $78.4M to $113M
      Jan 28, 2022 to Mar 29, 2022
    • Non-discretionary RAUM · $184M to $22.1M
      Jan 28, 2022 to Mar 29, 2022
    • RAUM · $209M to $249M
      Jan 28, 2022 to Mar 29, 2022
    • Assets in custody · unset to 47905239.0
      Mar 30, 2021 to Oct 1, 2021
    • Custody of client assets · false to true
      Mar 30, 2021 to Oct 1, 2021
    • Accounts · 1,050 to 1,162
      Jun 30, 2020 to Mar 30, 2021
    • Advisory employees · 5 to 4
      Jun 30, 2020 to Mar 30, 2021
    • HNW clients · 63 to 71
      Jun 30, 2020 to Mar 30, 2021
    • Individual clients · 217 to 159
      Jun 30, 2020 to Mar 30, 2021
    • Discretionary RAUM · $165M to $25.0M
      Jun 30, 2020 to Mar 30, 2021
    • HNW RAUM · $99.6M to $131M
      Jun 30, 2020 to Mar 30, 2021
    • Individual RAUM · $79.4M to $78.4M
      Jun 30, 2020 to Mar 30, 2021
    • Non-discretionary RAUM · $13.5M to $184M
      Jun 30, 2020 to Mar 30, 2021
    • RAUM · $179M to $209M
      Jun 30, 2020 to Mar 30, 2021
    • Accounts · 933 to 1,050
      Dec 20, 2019 to Feb 26, 2020
    • Advisory employees · 6 to 5
      Dec 20, 2019 to Feb 26, 2020
    • HNW clients · 80 to 63
      Dec 20, 2019 to Feb 26, 2020
    • Individual clients · 176 to 217
      Dec 20, 2019 to Feb 26, 2020
    • Employees · 6 to 7
      Dec 20, 2019 to Feb 26, 2020
    • Discretionary RAUM · $143M to $165M
      Dec 20, 2019 to Feb 26, 2020
    • HNW RAUM · $68.8M to $99.6M
      Dec 20, 2019 to Feb 26, 2020
    • Individual RAUM · $81.6M to $79.4M
      Dec 20, 2019 to Feb 26, 2020
    • Non-discretionary RAUM · $7.9M to $13.5M
      Dec 20, 2019 to Feb 26, 2020
    • RAUM · $150M to $179M
      Dec 20, 2019 to Feb 26, 2020
    • Advisory employees · 5 to 6
      Mar 29, 2019 to Dec 20, 2019
    • Employees · 5 to 6
      Mar 29, 2019 to Dec 20, 2019
    • Accounts · 906 to 933
      Mar 27, 2018 to Mar 29, 2019
    • Advisory employees · 4 to 5
      Mar 27, 2018 to Mar 29, 2019
    • Advisory activities · 3 to 4
      Mar 27, 2018 to Mar 29, 2019
    • HNW clients · 73 to 80
      Mar 27, 2018 to Mar 29, 2019
    • Individual clients · 219 to 176
      Mar 27, 2018 to Mar 29, 2019
    • Assets in custody · 2500000.0 to unset
      Mar 27, 2018 to Mar 29, 2019
    Signals
    5 dated events
    • W••••••••• W••••• A•••••••• L••'s advisors moved to W••••• E••••••••• A••••••• S•••••••• L•• (Ashburn, VA): 3 of 3 registered, on the same day
      Mar 10, 2023 · Firm absorbed (people side) · derived
    • R••••• S•••••••• left W••••••••• W••••• A•••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-02-16)
      Mar 10, 2023 · Advisor changed firm · fact
    • T••• Y•••••••• left W••••••••• W••••• A•••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-02-16)
      Mar 10, 2023 · Advisor changed firm · fact
    • M•••• C•••••• S•••••• left W••••••••• W••••• A•••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-02-22)
      Mar 10, 2023 · Advisor changed firm · fact
    • W••••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
      Mar 24, 2017 · First SEC registration · fact
    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