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RIA Intelligence

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R•• W••••• A•••••••• I•••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $74.5M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$74.5M
Advisors
1
Net advisor flow, 12 months
0
0 joined, 0 left
Private clients
81%
of RAUM, $60.7M
See where advisers wentSee teams that moved
More
Advisors (1)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 163562 · SEC 801-135338 · 3 filingsShow
CRD 163562SEC 801-135338First filing on the tape Feb 18, 2026, latest Apr 29, 2026SEC status approved since Feb 18, 2026IAPD
RAUM
$74.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$60.7M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$74.5M
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
3 filings and snapshots on the tape

Filed figures over time · the tape starts Feb 18, 2026

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$74.5M as of Apr 29, 2026
Feb 18, 2026$58.4M then
HNW client RAUM$57.3M as of Apr 29, 2026
Feb 18, 2026$53.4M then
State-registered IARs (5.B.3)1 as of Apr 29, 2026
Feb 18, 20261 then
Employees (5.A)1 as of Apr 29, 2026
Feb 18, 20261 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 29, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)
RAUM per advisor
$74.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
53derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$428,328derivedRAUM 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
1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
Custody
$24.4M, 26 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

77% high-net-worth individuals, 19% investment companies, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow
  • High-net-worth individuals$57.3M77%
  • Investment companies$13.8M19%
  • Individuals$3.4M4.6%
Individual clients
15reported
HNW clients
38reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
174reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$24.4M for 26 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
RAUM: 81% private clients, 19% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
0 left over 36 months
0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount
Left, latest
none on the tape
    Every departureEvery arrival
    Advisors registered through the firm
    1 on IAPD today; the longest tenured first
    NameBranchHere sinceIn industryPrior firms
    N••••••• R••••• L••••Stevensville, MdJan 3, 201817 y1
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • L••••• N•••••••• R••••• · Presidentcontrol
      since 03/2012 · owns 75% or more
    • M•••••••• J•••• T••••• · Chief Compliance Officer
      since 03/2026 · owns less than 5%
    Who runs the funds
    related persons named most often on the Form D filings of the firm's funds
    No Form D related person is on record for this firm's funds.
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 173 to 174
      Mar 20, 2026 to Apr 29, 2026
    • HNW clients · 36 to 38
      Mar 20, 2026 to Apr 29, 2026
    • Individual clients · 17 to 15
      Mar 20, 2026 to Apr 29, 2026
    • Discretionary RAUM · $58.4M to $74.5M
      Mar 20, 2026 to Apr 29, 2026
    • HNW RAUM · $53.4M to $57.3M
      Mar 20, 2026 to Apr 29, 2026
    Full history · 7 changes
    • Individual RAUM · $4.9M to $3.4M
      Mar 20, 2026 to Apr 29, 2026
    • RAUM · $58.4M to $74.5M
      Mar 20, 2026 to Apr 29, 2026
    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
    Business phone
    ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
    Website
    ••• Lockedreportedpublic record, Form ADV, Apr 29, 2026
    Principal office phone
    ••• Lockedreportedpublic record, Form ADV, Apr 29, 2026
    Provenance
    Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
    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
    Independent wealth managerderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $74.5Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026

    Not yet on record: RAUM change, 1 year.