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
D•••• W••••• M••••••••• L••
Latest filing Jan 31, 2025
First filing on the tape Mar 12, 2021 · 8 filings
SEC status approved since Apr 9, 2021
RAUM
$239M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$206M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$239M as of Jan 31, 2025
Mar 16, 2022$130M then
HNW client RAUM$193M as of Jan 31, 2025
Mar 16, 2022$92.5M then
State-registered IARs (5.B.3)2 as of Jan 31, 2025
Mar 16, 20222 then
Employees (5.A)2 as of Jan 31, 2025
Mar 16, 20222 then
Private funds: no history
RAUM +31% over the last fiscal year+23% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 31, 2025; every figure names its basis
- RAUM per advisor
- $120MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $546,367derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%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, portfolio management for businesses and institutionsreportedItem 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
- High-net-worth individuals$193M81%
- Corporations and businesses$22.7M9.5%
- Individuals$13.1M5.5%
- Charitable organizations$10.3M4.3%
- Individual clients
- 57reported
- HNW clients
- 86reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 438reported
- Financial planning clients
- 101-250reported
- 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
- J•••• D••••• D•••• to F•••• P••••••• W•••••• L••Aug 26, 2025 · RIA to RIA
- C•••••••• J•••• D•••• to F•••• P••••••• W•••••• L••Aug 26, 2025 · RIA to RIA
Joined, latest
- J•••• D••••• D•••• from F•• I••••••••• M••••••••• I•••Jul 3, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for F•••• P••••••• W•••••• L••Aug 26, 2025 · Fairfax, Va
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• J••••• D••••• · Managing Member And Chief Compliance Officercontrolsince 07/2012 · owns 75% or more
- D••••• M••••• C•••••• · Membersince 07/2012 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fairfax, Va · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 363 to 438Feb 2, 2024 to Jan 31, 2025
- Charity clients · 2 to 3Feb 2, 2024 to Jan 31, 2025
- Corporate clients · 3 to 5Feb 2, 2024 to Jan 31, 2025
- Individual clients · 38 to 57Feb 2, 2024 to Jan 31, 2025
- Financial planning clients · 101-250 to 101-250Feb 2, 2024 to Jan 31, 2025
- Discretionary RAUM · $183M to $239MFeb 2, 2024 to Jan 31, 2025
- HNW RAUM · $145M to $193MFeb 2, 2024 to Jan 31, 2025
- Individual RAUM · $14.9M to $13.1MFeb 2, 2024 to Jan 31, 2025
- RAUM · $183M to $239MFeb 2, 2024 to Jan 31, 2025
- Accounts · 330 to 363Feb 15, 2023 to Feb 2, 2024
- Charity clients · 3 to 2Feb 15, 2023 to Feb 2, 2024
- HNW clients · 66 to 86Feb 15, 2023 to Feb 2, 2024
- Individual clients · 49 to 38Feb 15, 2023 to Feb 2, 2024
- Financial planning clients · 51-100 to 101-250Feb 15, 2023 to Feb 2, 2024
- Discretionary RAUM · $147M to $183MFeb 15, 2023 to Feb 2, 2024
- HNW RAUM · $115M to $145MFeb 15, 2023 to Feb 2, 2024
- Individual RAUM · $12.0M to $14.9MFeb 15, 2023 to Feb 2, 2024
- RAUM · $147M to $183MFeb 15, 2023 to Feb 2, 2024
- Accounts · 285 to 330Mar 16, 2022 to Feb 15, 2023
- Charity clients · 2 to 3Mar 16, 2022 to Feb 15, 2023
- HNW clients · 61 to 66Mar 16, 2022 to Feb 15, 2023
- Individual clients · 40 to 49Mar 16, 2022 to Feb 15, 2023
- Discretionary RAUM · $130M to $147MMar 16, 2022 to Feb 15, 2023
- HNW RAUM · $92.5M to $115MMar 16, 2022 to Feb 15, 2023
- Individual RAUM · $11.7M to $12.0MMar 16, 2022 to Feb 15, 2023
- RAUM · $130M to $147MMar 16, 2022 to Feb 15, 2023
- Accounts · 233 to 285Oct 7, 2021 to Mar 16, 2022
- Charity clients · unset to 2.0Oct 7, 2021 to Mar 16, 2022
- Corporate clients · unset to 3.0Oct 7, 2021 to Mar 16, 2022
- HNW clients · 35 to 61Oct 7, 2021 to Mar 16, 2022
- Individual clients · 45 to 40Oct 7, 2021 to Mar 16, 2022
- Financial planning clients · 11-25 to 51-100Oct 7, 2021 to Mar 16, 2022
- Discretionary RAUM · $110M to $130MOct 7, 2021 to Mar 16, 2022
- HNW RAUM · $76.7M to $92.5MOct 7, 2021 to Mar 16, 2022
- Individual RAUM · $13.9M to $11.7MOct 7, 2021 to Mar 16, 2022
- RAUM · $110M to $130MOct 7, 2021 to Mar 16, 2022
- Assets in custody · 19303462.0 to unsetMar 12, 2021 to Mar 12, 2021
- Custody of client assets · true to falseMar 12, 2021 to Mar 12, 2021
Signals
5 dated events
- D•••• W••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $239.3M)Sep 2, 2025 · Left the SEC roster · derived
- C•••••••• J•••• D•••• left D•••• W••••• M••••••••• L•• for F•••• P••••••• W•••••• L•• (registered 2025-08-26)Aug 26, 2025 · Advisor changed firm · fact
- J•••• D••••• D•••• left D•••• W••••• M••••••••• L•• for F•••• P••••••• W•••••• L•• (registered 2025-08-26)Aug 26, 2025 · Advisor changed firm · fact
- 2 advisors left D•••• W••••• M••••••••• L•• (Fairfax, VA) for F•••• P••••••• W•••••• L•• on the same dayAug 26, 2025 · Team lift-out · derived
- D•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 12, 2021 · 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