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•••••• W••••• A•••••••• L•••
Latest filing Mar 24, 2026
First filing on the tape Mar 19, 2015 · 44 filings
SEC status approved since Apr 13, 2015
RAUM
$286M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$243M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$57.2M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$286M as of Mar 24, 2026
Mar 29, 2016$315M then
HNW client RAUM$175M as of Mar 24, 2026
Mar 18, 2020$44.7M then
State-registered IARs (5.B.3)4 as of Mar 24, 2026
Mar 29, 20165 then
Employees (5.A)5 as of Mar 24, 2026
Mar 29, 20167 then
Private funds2 as of Mar 24, 2026
Mar 29, 20161 then
RAUM +9.5% over the last fiscal year+14% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Mar 24, 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
- 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 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
- $57.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $322,777derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.4%derived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $2,703, 1 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)
- a related person has custody of client cash (9.B.1.a)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$175M61%
- Individuals$67.7M24%
- Pooled investment vehicles$30.1M11%
- Pension and profit-sharing plans$12.2M4.3%
- Charitable organizations$624,9530.2%
- Individual clients
- 237reported
- HNW clients
- 64reported
- Pension plan clients
- 8reported
- Charitable clients
- n/areported
- Accounts
- 886reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2,703 for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.85 fund_share=0.11 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••••• J•••• D•••••• | Reston, Va | Apr 25, 2014 | 25 y | 4 |
| G•••••• D••• M••••••••Certified Financial Planner | Reston, Va | Apr 25, 2014 | 21 y | 5 |
| R••• A••• J•••••• A•••••• | Reston, Va | Jul 17, 2014 | 22 y | 0 |
| P•••• M••••••• B•••• | Reston, Va | Oct 31, 2023 | 20 y | 2 |
| L••• A•••••••• | Reston, Va | Feb 16, 2026 | 12 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- L•••• W••••• H•••• to V••••••• C•••••• A•••••••• L••Oct 4, 2024 · RIA to RIA
- A•••• A••••• B••••• to S••••• C•••••• M••••••••• L••Sep 15, 2017 · Other
- D•••• B••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 13, 2015 · Other
Joined, latest
- L••• A•••••••• from F•••••• F•••••••• A•••••••• L••Feb 16, 2026 · Affiliated broker-dealer or bank to independent RIA
- P•••• M••••••• B•••• from C••••••• W••••• M••••••••• L••Oct 31, 2023 · Other
- A•••• A••••• B••••• from S•••••••• S•••••••••Mar 6, 2014 · Other
- G•••••• D••• M•••••••• from P•••••• W••••• M••••••••• L••Jan 22, 2013 · Other
- T••••••• J•••• D•••••• from P•••••• W••••• M••••••••• L••Dec 17, 2012 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G••••• F••• L••• | Private Equity Fund | $28.1M | 37 | Aug 20, 2019 |
| G••••• F••• I•• L• | Other Private Fund | $10.4M | 37 | Aug 5, 2024 |
| P•• C•••••• F•••• L••no longer reported | Hedge Fund | $325,700 | 4 | Mar 29, 2016 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• T•••••••• J•••• · Ceo, Cco, Managing Membercontrolsince 10/2012 · owns 50% to 75%
- M••••••••• G••••••• D••• · Cfo, Managing Membercontrolsince 01/2013 · owns 25% to 50%
Related persons
Schedule D 7.A
- P•• G••••• F•••• L••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Reston, Va · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 24, 2026accounts (Item 5.F.2.f) moved from 381.0 to 886.0 (+133.0%) between the annual amendments of 2025-03-19 and 2026-03-24; the peer median change was +5.0% (3687 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 99% percentile
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Mar 19, 2025 to Mar 24, 2026
- Accounts · 381 to 886Mar 19, 2025 to Mar 24, 2026
- HNW clients · 61 to 64Mar 19, 2025 to Mar 24, 2026
- Individual clients · 230 to 237Mar 19, 2025 to Mar 24, 2026
- Assets in custody · $30,000 to $2,703Mar 19, 2025 to Mar 24, 2026
- Employees · 6 to 5Mar 19, 2025 to Mar 24, 2026
- Insurance-licensed employees · 1 to 0Mar 19, 2025 to Mar 24, 2026
- State-registered IARs · 3 to 4Mar 19, 2025 to Mar 24, 2026
- Discretionary RAUM · $261M to $286MMar 19, 2025 to Mar 24, 2026
- HNW RAUM · $138M to $175MMar 19, 2025 to Mar 24, 2026
- Individual RAUM · $71.4M to $67.7MMar 19, 2025 to Mar 24, 2026
- Pension RAUM · $14.4M to $12.2MMar 19, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $32.6M to $30.1MMar 19, 2025 to Mar 24, 2026
- RAUM · $261M to $286MMar 19, 2025 to Mar 24, 2026
- Accounts · 1,043 to 381Aug 9, 2024 to Mar 19, 2025
- Corporate clients · unset to 0.0Aug 9, 2024 to Mar 19, 2025
- HNW clients · 64 to 61Aug 9, 2024 to Mar 19, 2025
- Individual clients · 205 to 230Aug 9, 2024 to Mar 19, 2025
- Pension plan clients · 10 to 8Aug 9, 2024 to Mar 19, 2025
- Assets in custody · $29.1M to $30,000Aug 9, 2024 to Mar 19, 2025
- Financial planning clients · 101-250 to 101-250Aug 9, 2024 to Mar 19, 2025
- Discretionary RAUM · $215M to $261MAug 9, 2024 to Mar 19, 2025
- HNW RAUM · $109M to $138MAug 9, 2024 to Mar 19, 2025
- Individual RAUM · $64.1M to $71.4MAug 9, 2024 to Mar 19, 2025
- Pension RAUM · $12.2M to $14.4MAug 9, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $28.1M to $32.6MAug 9, 2024 to Mar 19, 2025
- RAUM · $215M to $261MAug 9, 2024 to Mar 19, 2025
- Private funds · 1 to 2Apr 3, 2024 to Aug 5, 2024
- Accounts · 972 to 1,043Oct 23, 2023 to Mar 26, 2024
- Charity clients · 0.0 to unsetOct 23, 2023 to Mar 26, 2024
- Corporate clients · 0.0 to unsetOct 23, 2023 to Mar 26, 2024
- HNW clients · 32 to 64Oct 23, 2023 to Mar 26, 2024
- Individual clients · 197 to 205Oct 23, 2023 to Mar 26, 2024
- Pension plan clients · 8 to 10Oct 23, 2023 to Mar 26, 2024
- Pooled vehicle clients · 1 to 2Oct 23, 2023 to Mar 26, 2024
- Assets in custody · $28.1M to $29.1MOct 23, 2023 to Mar 26, 2024
- Employees · 7 to 6Oct 23, 2023 to Mar 26, 2024
- Insurance-licensed employees · 0 to 1Oct 23, 2023 to Mar 26, 2024
- State-registered IARs · 4 to 3Oct 23, 2023 to Mar 26, 2024
- Discretionary RAUM · $193M to $215MOct 23, 2023 to Mar 26, 2024
Signals
7 dated events
- L•••• W••••• H•••• left P•••••• W••••• A•••••••• L••• for V••••••• C•••••• A•••••••• L•• (registered 2024-10-18)Oct 4, 2024 · Advisor changed firm · fact
- W L•••• H•••• (Director Of Operations) no longer on Schedule A of P•••••• W••••• A•••••••• L••• (listed 2023-05-01, absent 2023-10-23)Oct 23, 2023 · Control person left · inference
- W L•••• H•••• (Director Of Operations) appeared on Schedule A of P•••••• W••••• A•••••••• L•••Mar 20, 2023 · Control person joined · fact
- G••••••• M•••• B•••••• (Director Of Operations) no longer on Schedule A of P•••••• W••••• A•••••••• L••• (listed 2022-11-11, absent 2023-03-20)Mar 20, 2023 · Control person left · inference
- Baum Allison Beinecke (Coo) no longer on Schedule A of P•••••• W••••• A•••••••• L••• (listed 2021-12-14, absent 2022-03-24)Mar 24, 2022 · Control person left · inference
- G••••••• M•••• B•••••• (Director Of Operations) appeared on Schedule A of P•••••• W••••• A•••••••• L•••Mar 24, 2022 · Control person joined · fact
- P•••••• W••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Mar 19, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P•••••• W••••• A•••••••• L••• · Independent Sponsorsshared crd · capital_provider
- P•••••• W••••• A•••••••• L••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 703-757-0419reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 703-757-0430reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/prestonwealthadvisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 703-757-0419reportedpublic record, Form ADV, Mar 24, 2026
- Team page
- prestonwealthadvisors.com/who-we-arereportedpublished 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
- $57.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026