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
U•••• S••••• P••••••• L••
Latest filing Feb 12, 2026
First filing on the tape Mar 26, 2012 · 17 filings
SEC status approved since Feb 3, 2011
RAUM
$86.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$86.3M as of Feb 12, 2026
Mar 26, 2012$9.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 12, 2026
Mar 26, 20120 then
Employees (5.A)2 as of Feb 12, 2026
Mar 22, 20136 then
Private funds: no history
RAUM +11% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 12, 2026; every figure names its basis
- RAUM per advisor
- $43.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $86.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$86.3M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• B••••••• F•••••• · Elected Manager And Chief Investment Officercontrolsince 12/2010 · owns less than 5%
- M••••••••• S••••• P•••••• · Managing Member, Ceo, Chief Compliance Officercontrolsince 12/2010 · owns 50% to 75%
- M•••••• B••••••• F•••••• · Presidentcontrolsince 01/1992 · owns 75% or more of M••••• I••••••••• M••••••••• I•••
Entity owners
- M••••• I••••••••• M••••••••• I••• · Shareholderdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- M••••• P•••••••• Investment Management Inc.investment adviseryRAUM $204M
- M••••••••• R•••• I••••••••• I•••broker-dealerinvestment adviseryRAUM $522M
Advisers that list U•••• S••••• P••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Alexandria, VA1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $77.7M to $86.3MFeb 24, 2025 to Feb 12, 2026
- RAUM · $77.7M to $86.3MFeb 24, 2025 to Feb 12, 2026
- Financial planning clients · 0 to 0Feb 29, 2024 to Feb 24, 2025
- Discretionary RAUM · $74.9M to $77.7MFeb 29, 2024 to Feb 24, 2025
- RAUM · $74.9M to $77.7MFeb 29, 2024 to Feb 24, 2025
- Discretionary RAUM · $61.9M to $74.9MJan 26, 2023 to Feb 29, 2024
- RAUM · $61.9M to $74.9MJan 26, 2023 to Feb 29, 2024
- Discretionary RAUM · $61.7M to $61.9MMay 17, 2022 to Jan 26, 2023
- RAUM · $61.7M to $61.9MMay 17, 2022 to Jan 26, 2023
- Discretionary RAUM · $35.4M to $61.7MApr 16, 2021 to Mar 21, 2022
- RAUM · $35.4M to $61.7MApr 16, 2021 to Mar 21, 2022
- BD registered reps · 3 to 1Feb 28, 2020 to Mar 29, 2021
- Employees · 6 to 2Feb 28, 2020 to Mar 29, 2021
- Discretionary RAUM · $34.1M to $35.4MFeb 28, 2020 to Mar 29, 2021
- RAUM · $34.1M to $35.4MFeb 28, 2020 to Mar 29, 2021
- Discretionary RAUM · $29.2M to $34.1MMar 20, 2019 to Feb 28, 2020
- RAUM · $29.2M to $34.1MMar 20, 2019 to Feb 28, 2020
- Discretionary RAUM · $28.4M to $29.2MMar 12, 2018 to Mar 20, 2019
- RAUM · $28.4M to $29.2MMar 12, 2018 to Mar 20, 2019
- Other offices · unset to 1.0Mar 3, 2017 to Mar 12, 2018
- Discretionary RAUM · $26.6M to $28.4MMar 3, 2017 to Mar 12, 2018
- RAUM · $26.6M to $28.4MMar 3, 2017 to Mar 12, 2018
- Discretionary RAUM · $19.5M to $26.6MMar 10, 2016 to Mar 3, 2017
- RAUM · $19.5M to $26.6MMar 10, 2016 to Mar 3, 2017
- Discretionary RAUM · $22.7M to $19.5MMar 23, 2015 to Mar 10, 2016
- RAUM · $22.7M to $19.5MMar 23, 2015 to Mar 10, 2016
- Discretionary RAUM · $19.4M to $22.7MMar 11, 2014 to Mar 23, 2015
- RAUM · $19.4M to $22.7MMar 11, 2014 to Mar 23, 2015
- Discretionary RAUM · $13.8M to $19.4MMar 22, 2013 to Mar 11, 2014
- RAUM · $13.8M to $19.4MMar 22, 2013 to Mar 11, 2014
- Advisory employees · unset to 2.0Mar 26, 2012 to Mar 22, 2013
- BD registered reps · unset to 3.0Mar 26, 2012 to Mar 22, 2013
- Employees · unset to 6.0Mar 26, 2012 to Mar 22, 2013
- State-registered IARs · 0 to 2Mar 26, 2012 to Mar 22, 2013
- Discretionary RAUM · $9.4M to $13.8MMar 26, 2012 to Mar 22, 2013
- RAUM · $9.4M to $13.8MMar 26, 2012 to Mar 22, 2013
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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 703-684-9222reportedpublic record, Form ADV, Feb 12, 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
- Asset manager (funds and pooled vehicles)deriveda 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