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
P•••••• F•••••••• S•••••••
Latest filing Jul 21, 2026
First filing on the tape Nov 8, 2019 · 19 filings
SEC status approved since Dec 9, 2019
RAUM
$384M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$365M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$128M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$384M as of Jul 21, 2026
Mar 18, 2020$195M then
HNW client RAUM$272M as of Jul 21, 2026
Mar 18, 2020$85.4M then
State-registered IARs (5.B.3)3 as of Jul 21, 2026
Mar 18, 20203 then
Employees (5.A)7 as of Jul 21, 2026
Mar 18, 20203 then
Private funds: no history
RAUM +14% over the last fiscal year+15% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jul 21, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $128MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 243derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $914,770derivedHNW RAUM over HNW clients
- Average account
- $277,672derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
- Wrap fee program
- $335MreportedItem 5.I
- Custody
- $21.3M, 7 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$272M71%
- Individuals$93.8M24%
- Corporations and businesses$12.6M3.3%
- Charitable organizations$4.7M1.2%
- Pension and profit-sharing plans$970,4170.3%
- Individual clients
- 432reported
- HNW clients
- 297reported
- Pension plan clients
- 2reported
- Charitable clients
- 5reported
- Accounts
- 1,382reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $21.3M for 7 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• M••••••• S••••Certified Financial Planner | Richmond, Va | Oct 4, 2012 | 22 y | 3 |
| S•••• V•• W••• | Richmond, Va | Oct 4, 2012 | 31 y | 1 |
| A•• E•••••••• K••• | Richmond, Va | Aug 28, 2018 | 16 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- J••• S•••• to L•• F•••••••• L••Feb 13, 2013 · Other
Joined, latest
- A•• E•••••••• K••• from N••••• D••••• W•••••Aug 28, 2018 · RIA to RIA
- R••• M••••••• S•••• from S••••••• I••••••••• S•••••••• I•••Oct 4, 2012 · Other
- S•••• V•• W••• from W••••••• • W•••• I•••Oct 4, 2012 · Other
- J••• S•••• from W•••• • W•••• I••Oct 4, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••• S••••• V•• · Chief Compliance Officer And Presidentcontrolsince 11/2015 · owns 75% or more
- W•••• V•••••• N•• · Shareholdersince 07/2012 · owns 10% to 25%
Related persons
Schedule D 7.A
- P•••••• T•• S•••••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Richmond, Va · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Jul 21, 2026private clients per advisor of 243.0 against a peer median of 57.3 (3076 comparable advisers, 98.0th percentile, 5.3 robust deviations)peers: independent wealth managers, $100M to $500M (3,076) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 1,312 to 1,382Jul 1, 2025 to Mar 6, 2026
- HNW clients · 278 to 297Jul 1, 2025 to Mar 6, 2026
- Individual clients · 431 to 432Jul 1, 2025 to Mar 6, 2026
- Pension plan clients · 3 to 2Jul 1, 2025 to Mar 6, 2026
- Assets in custody · $18.4M to $21.3MJul 1, 2025 to Mar 6, 2026
- Discretionary RAUM · $337M to $384MJul 1, 2025 to Mar 6, 2026
- HNW RAUM · $233M to $272MJul 1, 2025 to Mar 6, 2026
- Individual RAUM · $86.7M to $93.8MJul 1, 2025 to Mar 6, 2026
- Pension RAUM · $658,805 to $970,417Jul 1, 2025 to Mar 6, 2026
- RAUM · $337M to $384MJul 1, 2025 to Mar 6, 2026
- Financial planning clients · 1-10 to 1-10Apr 11, 2025 to Jul 1, 2025
- Accounts · 1,239 to 1,312Mar 26, 2024 to Apr 11, 2025
- BD registered reps · 4 to 3Mar 26, 2024 to Apr 11, 2025
- Charity clients · 6 to 5Mar 26, 2024 to Apr 11, 2025
- Corporate clients · 1 to 2Mar 26, 2024 to Apr 11, 2025
- HNW clients · 224 to 278Mar 26, 2024 to Apr 11, 2025
- Individual clients · 465 to 431Mar 26, 2024 to Apr 11, 2025
- Pension plan clients · 2 to 3Mar 26, 2024 to Apr 11, 2025
- Assets in custody · $33.7M to $18.4MMar 26, 2024 to Apr 11, 2025
- Employees · 4 to 7Mar 26, 2024 to Apr 11, 2025
- State-registered IARs · 4 to 3Mar 26, 2024 to Apr 11, 2025
- Discretionary RAUM · $281M to $337MMar 26, 2024 to Apr 11, 2025
- HNW RAUM · $172M to $233MMar 26, 2024 to Apr 11, 2025
- Individual RAUM · $92.3M to $86.7MMar 26, 2024 to Apr 11, 2025
- Pension RAUM · $320,197 to $658,805Mar 26, 2024 to Apr 11, 2025
- RAUM · $281M to $337MMar 26, 2024 to Apr 11, 2025
- Accounts · 1,210 to 1,239Oct 23, 2023 to Feb 20, 2024
- HNW clients · 196 to 224Oct 23, 2023 to Feb 20, 2024
- Individual clients · 480 to 465Oct 23, 2023 to Feb 20, 2024
- Pension plan clients · 1 to 2Oct 23, 2023 to Feb 20, 2024
- Assets in custody · $10.7M to $33.7MOct 23, 2023 to Feb 20, 2024
- Discretionary RAUM · $254M to $281MOct 23, 2023 to Feb 20, 2024
- HNW RAUM · $146M to $172MOct 23, 2023 to Feb 20, 2024
- Individual RAUM · $91.0M to $92.3MOct 23, 2023 to Feb 20, 2024
- Pension RAUM · $134,006 to $320,197Oct 23, 2023 to Feb 20, 2024
- RAUM · $254M to $281MOct 23, 2023 to Feb 20, 2024
- Accounts · 506 to 1,210Feb 28, 2022 to Mar 9, 2023
- Advisory employees · 3 to 4Feb 28, 2022 to Mar 9, 2023
- BD registered reps · 3 to 4Feb 28, 2022 to Mar 9, 2023
- Charity clients · 5 to 6Feb 28, 2022 to Mar 9, 2023
Signals
1 dated events
- P•••••• F•••••••• S••••••• filed its initial SEC registration (Form ADV)Nov 8, 2019 · 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.
How to reach
public business contact points only, each with its source
- Business email
- p•••••••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 804-673-1009reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 804-673-8888reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- P••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 804-673-8888reportedpublic record, Form ADV, Jul 21, 2026
- Contact form
- p•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $128Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026