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

Fiduciary Wealth Management, LLC

Former SEC-registered adviserReston, VirginiaCRD 157290SEC 801-108997IAPD
Latest filing Jan 31, 2024
First filing on the tape Jan 17, 2017 · 12 filings
RAUM
$452M
reported, Item 5.F
Discretionary
27%
of RAUM
Private clients
23%
$104M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$452M as of Jan 31, 2024
Feb 1, 2018$178M then
HNW client RAUM$41.1M as of Jan 31, 2024
Feb 1, 2018$19.6M then
State-registered IARs (5.B.3)4 as of Jan 31, 2024
Feb 1, 20183 then
Employees (5.A)4 as of Jan 31, 2024
Feb 1, 20183 then
Private funds: no history
RAUM +22% over the last fiscal year+3.9% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jan 31, 2024; every figure names its basis
RAUM per advisor
$113MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
79derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
27%derivedof RAUM
Institutional
75%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+22%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.3%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 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
  • 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)
  • compensates non-employees for client referrals (8.G.2)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$328M73%
  • Individuals$63.1M14%
  • High-net-worth individuals$41.1M9.1%
  • Corporations and businesses$10.7M2.4%
  • Charitable organizations$9.1M2.0%
Individual clients
285reported
HNW clients
30reported
Pension plan clients
87reported
Charitable clients
5reported
Accounts
414reported
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
Joined, 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
    • John Christopher Broderick · Managing Member/Chief Compliance Officercontrol
      since 02/2011 · owns 50% to 75%
    • Daniel Patrick Roth · Partnercontrol
      since 08/2011 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Reston, Va · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 398 to 414
      Mar 2, 2023 to Jan 31, 2024
    • Corporate clients · unset to 7.0
      Mar 2, 2023 to Jan 31, 2024
    • HNW clients · 26 to 30
      Mar 2, 2023 to Jan 31, 2024
    • Individual clients · 276 to 285
      Mar 2, 2023 to Jan 31, 2024
    • Pension plan clients · 91 to 87
      Mar 2, 2023 to Jan 31, 2024
    • Discretionary RAUM · $105M to $120M
      Mar 2, 2023 to Jan 31, 2024
    • HNW RAUM · $40.5M to $41.1M
      Mar 2, 2023 to Jan 31, 2024
    • Individual RAUM · $55.4M to $63.1M
      Mar 2, 2023 to Jan 31, 2024
    • Non-discretionary RAUM · $265M to $331M
      Mar 2, 2023 to Jan 31, 2024
    • Pension RAUM · $265M to $328M
      Mar 2, 2023 to Jan 31, 2024
    • RAUM · $369M to $452M
      Mar 2, 2023 to Jan 31, 2024
    • Accounts · 380 to 398
      Jan 14, 2022 to Mar 2, 2023
    • HNW clients · 38 to 26
      Jan 14, 2022 to Mar 2, 2023
    • Individual clients · 248 to 276
      Jan 14, 2022 to Mar 2, 2023
    • Pension plan clients · 88 to 91
      Jan 14, 2022 to Mar 2, 2023
    • Discretionary RAUM · $116M to $105M
      Jan 14, 2022 to Mar 2, 2023
    • HNW RAUM · $60.4M to $40.5M
      Jan 14, 2022 to Mar 2, 2023
    • Individual RAUM · $45.8M to $55.4M
      Jan 14, 2022 to Mar 2, 2023
    • Non-discretionary RAUM · $303M to $265M
      Jan 14, 2022 to Mar 2, 2023
    • Pension RAUM · $303M to $265M
      Jan 14, 2022 to Mar 2, 2023
    • RAUM · $420M to $369M
      Jan 14, 2022 to Mar 2, 2023
    • Accounts · 437 to 380
      Mar 2, 2021 to Jan 14, 2022
    • Advisory employees · 5 to 4
      Mar 2, 2021 to Jan 14, 2022
    • Charity clients · 3 to 5
      Mar 2, 2021 to Jan 14, 2022
    • Corporate clients · 0.0 to unset
      Mar 2, 2021 to Jan 14, 2022
    • HNW clients · 36 to 38
      Mar 2, 2021 to Jan 14, 2022
    • Individual clients · 304 to 248
      Mar 2, 2021 to Jan 14, 2022
    • Pension plan clients · 94 to 88
      Mar 2, 2021 to Jan 14, 2022
    • Employees · 5 to 4
      Mar 2, 2021 to Jan 14, 2022
    • State-registered IARs · 5 to 4
      Mar 2, 2021 to Jan 14, 2022
    • Discretionary RAUM · $120M to $116M
      Mar 2, 2021 to Jan 14, 2022
    • HNW RAUM · $33.6M to $60.4M
      Mar 2, 2021 to Jan 14, 2022
    • Individual RAUM · $75.9M to $45.8M
      Mar 2, 2021 to Jan 14, 2022
    • Non-discretionary RAUM · $282M to $303M
      Mar 2, 2021 to Jan 14, 2022
    • Pension RAUM · $282M to $303M
      Mar 2, 2021 to Jan 14, 2022
    • RAUM · $403M to $420M
      Mar 2, 2021 to Jan 14, 2022
    • Accounts · 372 to 437
      Oct 30, 2020 to Mar 2, 2021
    • Advisory employees · 3 to 5
      Oct 30, 2020 to Mar 2, 2021
    • HNW clients · 26 to 36
      Oct 30, 2020 to Mar 2, 2021
    • Individual clients · 182 to 304
      Oct 30, 2020 to Mar 2, 2021
    Signals
    8 dated events
    • Christopher John Broderick left Fiduciary Wealth Management, Llc for World Investment Advisors, Llc (registered 2024-07-01)
      Jul 16, 2024 · Advisor changed firm · fact
    • Patrick Daniel Roth left Fiduciary Wealth Management, Llc for World Investment Advisors, Llc (registered 2024-07-01)
      Jul 16, 2024 · Advisor changed firm · fact
    • Shaunt Ed Ozben left Fiduciary Wealth Management, Llc for World Investment Advisors, Llc (registered 2024-07-02)
      Jul 10, 2024 · Advisor changed firm · fact
    • Theresa Mcdevitt Diblasi left Fiduciary Wealth Management, Llc for World Investment Advisors, Llc (registered 2024-07-01)
      Jul 10, 2024 · Advisor changed firm · fact
    • Fiduciary Wealth Management, LLC's advisors moved to World Investment Advisors, LLC (Reston, VA): 4 of 4 registered, within 6 days
      Jul 10, 2024 · Firm absorbed (people side) · derived
    • Fiduciary Wealth Management, Llc reported RAUM $402.6M, up 39% from $289.6M (2020-10-30 to 2021-03-02)
      Mar 2, 2021 · RAUM change · derived
    • Fiduciary Wealth Management, Llc reported RAUM $289.6M, up 56% from $185.5M (2019-02-08 to 2020-03-07)
      Mar 7, 2020 · RAUM change · derived
    • Fiduciary Wealth Management, Llc filed its initial SEC registration (Form ADV)
      Jan 17, 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