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
C•••• C•••••• M••••••••• L••
Latest filing Aug 4, 2026
First filing on the tape Aug 8, 2012 · 52 filings
SEC status approved since Aug 21, 2012
RAUM
$1.3B
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
82%
$1.0B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$183M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
reported on Schedule D
History
52 filings and snapshots on the tape
RAUM$1.3B as of Aug 4, 2026
Feb 15, 2013$117M then
HNW client RAUM$1.0B as of Aug 4, 2026
Mar 21, 2018$294M then
State-registered IARs (5.B.3)6 as of Aug 4, 2026
Feb 15, 20133 then
Employees (5.A)6 as of Aug 4, 2026
Feb 15, 20137 then
Private funds7 as of Aug 4, 2026
Feb 13, 20141 then
RAUM +7.0% over the last fiscal year+12% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Aug 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $183MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $646,122derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.2%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
- Custody
- $504M, 190 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.0B79%
- Pooled investment vehicles$183M14%
- Charitable organizations$36.6M2.9%
- Individuals$32.1M2.5%
- Pension and profit-sharing plans$16.0M1.2%
- Individual clients
- 102reported
- HNW clients
- 288reported
- Pension plan clients
- 8reported
- Charitable clients
- 11reported
- Accounts
- 1,988reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $504M for 190 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.82 fund_share=0.14 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••• C•••••• P•••• G•••••••• | Richmond, Va | Oct 1, 2012 | 17 y | 1 |
| E•••••• N••• G••••••Certified Financial Planner | Richmond, Va | Oct 1, 2012 | 24 y | 2 |
| M••••••• J• S••••Certified Financial Planner | Richmond, Va | Feb 19, 2014 | 13 y | 1 |
| C•••• D•••• T••••• | Richmond, Va | Nov 24, 2014 | 14 y | 0 |
| J••••• M•••••• F•••••••• | Richmond, Va | Nov 12, 2018 | 17 y | 0 |
| C••••• J•••• C•••••••Certified Financial Planner | Richmond, Va | Feb 2, 2026 | 10 y | 1 |
| J••••• G••••• B••••• | Richmond, Va | Sep 11, 2026 | 11 y | 3 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- S•••••• J•••• G•••••• to L••••••• W••••• M•••••••••Jan 6, 2023 · RIA to RIA
Joined, latest
- J••••• G••••• B••••• from S•••••••• A••••••• L••Sep 11, 2026 · Affiliated broker-dealer or bank to independent RIA
- C••••• J•••• C••••••• from K••••• A••••••• S•••••••• L••Feb 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- S•••••• J•••• G•••••• from O••••••••• • C•• I•••Oct 9, 2019 · Affiliated broker-dealer or bank to independent RIA
- M••••••• J• S•••• from H••••••• W••••• A•••••••Feb 19, 2014 · Other
- E•••••• N••• G•••••• from C••••••••• F•••••••• N••••••Oct 1, 2012 · Affiliated broker-dealer or bank to a newly registered adviser
- N••• C•••••• P•••• G•••••••• from C••••••••• F•••••••• N••••••Oct 1, 2012 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••• T••••••• H••••••• S••• L•• | Private Equity Fund | $41.9M | 92 | Sep 21, 2023 |
| H••••• P•••• I••••• F••• I••• L• | Real Estate Fund | $33.7M | 98 | Nov 29, 2021 |
| H••••• P•••• M••••••••• H•••••• O••••••••• F••• I• L• | Real Estate Fund | $26.1M | 70 | Mar 21, 2019 |
| H•• H••••• F••• I•• L• | Real Estate Fund | $25.3M | 65 | Sep 16, 2021 |
| H•• H••••• F••• I• L• | Real Estate Fund | $22.9M | 49 | Sep 1, 2020 |
| H••••• P•••• I••••• F••• I• L• | Real Estate Fund | $12.5M | 1 | Mar 30, 2017 |
| H••••• P•••• I••••• F••• I• L• | Real Estate Fund | $250,000 | 1 | Dec 20, 2013 |
Owners and control persons
Schedule A and B, latest filing
- G••••••• E••••••• N••• · Managing Member & Chief Compliance Officercontrolsince 04/2011 · owns 75% or more
- G••••••••• N•••• C•••••• P•••• · Membersince 01/2015 · owns 5% to 10%
- S••••• M•••••••• J• · Membersince 01/2016 · owns less than 5%
Related persons
Schedule D 7.A
- C•• T• M••••••• L••pooled vehicle sponsorn
- H••••• I••••••••• P••••••• I• L••pooled vehicle sponsorn
- H••••• I••••••••• P••••••• I•• L••pooled vehicle sponsorn
- H••••• P•••• I•• G• L••pooled vehicle sponsorn
- H••••• P•••• I•• G•• L••pooled vehicle sponsorn
- H••••• P•••• P•••••••• L••pooled vehicle sponsorn
- H• M• I• G•• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Richmond, Va · principal | 7 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Mar 24, 2026employees (Item 5.A) moved from 11.0 to 6.0 (-45.0%) between the annual amendments of 2025-03-20 and 2026-03-24; the peer median change was +4.0% (1050 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,050) · 0.4% percentile
What changed
consecutive filings, newest first
- Accounts · 1,870 to 1,988Feb 12, 2026 to Mar 24, 2026
- Charity clients · 10 to 11Feb 12, 2026 to Mar 24, 2026
- HNW clients · 249 to 288Feb 12, 2026 to Mar 24, 2026
- Individual clients · 108 to 102Feb 12, 2026 to Mar 24, 2026
- Pension plan clients · 13 to 8Feb 12, 2026 to Mar 24, 2026
- Assets in custody · $481M to $504MFeb 12, 2026 to Mar 24, 2026
- Discretionary RAUM · $1.0B to $1.1BFeb 12, 2026 to Mar 24, 2026
- HNW RAUM · $905M to $1.0BFeb 12, 2026 to Mar 24, 2026
- Individual RAUM · $33.1M to $32.1MFeb 12, 2026 to Mar 24, 2026
- Non-discretionary RAUM · $178M to $136MFeb 12, 2026 to Mar 24, 2026
- Pension RAUM · $15.0M to $16.0MFeb 12, 2026 to Mar 24, 2026
- Pooled vehicle RAUM · $212M to $183MFeb 12, 2026 to Mar 24, 2026
- RAUM · $1.2B to $1.3BFeb 12, 2026 to Mar 24, 2026
- Advisory employees · 10 to 6Jan 6, 2026 to Feb 12, 2026
- Employees · 11 to 6Jan 6, 2026 to Feb 12, 2026
- Accounts · 1,781 to 1,870Feb 14, 2025 to Mar 20, 2025
- Advisory employees · 5 to 10Feb 14, 2025 to Mar 20, 2025
- Charity clients · 12 to 10Feb 14, 2025 to Mar 20, 2025
- HNW clients · 259 to 249Feb 14, 2025 to Mar 20, 2025
- Individual clients · 113 to 108Feb 14, 2025 to Mar 20, 2025
- Assets in custody · $350M to $481MFeb 14, 2025 to Mar 20, 2025
- Employees · 8 to 11Feb 14, 2025 to Mar 20, 2025
- Financial planning clients · 101-250 to 101-250Feb 14, 2025 to Mar 20, 2025
- State-registered IARs · 5 to 6Feb 14, 2025 to Mar 20, 2025
- Discretionary RAUM · $909M to $1.0BFeb 14, 2025 to Mar 20, 2025
- HNW RAUM · $797M to $905MFeb 14, 2025 to Mar 20, 2025
- Individual RAUM · $28.0M to $33.1MFeb 14, 2025 to Mar 20, 2025
- Non-discretionary RAUM · $168M to $178MFeb 14, 2025 to Mar 20, 2025
- Pension RAUM · $13.6M to $15.0MFeb 14, 2025 to Mar 20, 2025
- Pooled vehicle RAUM · $202M to $212MFeb 14, 2025 to Mar 20, 2025
- RAUM · $1.1B to $1.2BFeb 14, 2025 to Mar 20, 2025
- Advisory employees · 7 to 5Jan 8, 2025 to Feb 14, 2025
- Employees · 10 to 8Jan 8, 2025 to Feb 14, 2025
- State-registered IARs · 7 to 5Jan 8, 2025 to Feb 14, 2025
- Accounts · 1,683 to 1,781Sep 21, 2023 to Mar 27, 2024
- Charity clients · 10 to 12Sep 21, 2023 to Mar 27, 2024
- HNW clients · 241 to 259Sep 21, 2023 to Mar 27, 2024
- Individual clients · 117 to 113Sep 21, 2023 to Mar 27, 2024
- Pension plan clients · 12 to 13Sep 21, 2023 to Mar 27, 2024
- Pooled vehicle clients · 7 to 8Sep 21, 2023 to Mar 27, 2024
Signals
3 dated events
- S•••••• J•••• G•••••• left C•••• C•••••• M••••••••• L•• for L••••••• W••••• M••••••••• (registered 2023-02-13)Jan 6, 2023 · Advisor changed firm · fact
- C•••• C•••••• M••••••••• L•• reported RAUM $628.8M, up 32% from $476.2M (2020-09-01 to 2021-03-11)Mar 11, 2021 · RAUM change · derived
- C•••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Aug 8, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••• C•••••• M••••••••• · Family Officesshared crd · office
- C•••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- C•••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 804-325-1450reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-381-5362reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 804-325-1450reportedpublic record, Form ADV, Aug 4, 2026
- Contact form
- canalcapitalmanagement.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- canalcapitalmanagement.com/about/teamreportedpublished by the firm, firm site, Sep 15, 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
- $183Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
C•••• C•••••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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