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
S••••••• P••••••• L••
Latest filing Jul 27, 2026
First filing on the tape Sep 15, 2025 · 4 filings
SEC status approved since Sep 15, 2025
RAUM
$108M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
8.9%
$9.7M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$108M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$108M as of Jul 27, 2026
Sep 15, 2025$113M then
HNW client RAUM$5.4M as of Jul 27, 2026
Sep 15, 2025$13.3M then
State-registered IARs (5.B.3)1 as of Jul 27, 2026
Sep 15, 20251 then
Employees (5.A)2 as of Jul 27, 2026
Sep 15, 20251 then
Private funds1 as of Jul 27, 2026
Sep 15, 20251 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $108MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $186,758derivedHNW RAUM over HNW clients
- Average account
- $717,045derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices 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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $108M, 46 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)
- 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
- Pooled investment vehicles$98.5M91%
- High-net-worth individuals$5.4M5.0%
- Individuals$4.2M3.9%
- Charitable organizations$156,6700.1%
- Individual clients
- 19reported
- HNW clients
- 29reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 151reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $108M for 46 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.09 fund_share=0.91 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• I••• C•••••• | Bethesda, Md | Apr 1, 2022 | 13 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
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••• C•••••• P••••••• L• | Hedge Fund | $490,000 | 8 | Aug 23, 2013 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• R••••••• I••• · Managercontrolsince 02/2026 · owns less than 5%
- P••••••••• K••••• · Chief Operating Officer, Chief Compliance Officer, Membersince 03/2026 · owns less than 5%
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 · 172 to 151Feb 26, 2026 to Mar 31, 2026
- Individual clients · 16 to 19Feb 26, 2026 to Mar 31, 2026
- Assets in custody · $113M to $108MFeb 26, 2026 to Mar 31, 2026
- Employees · 1 to 2Feb 26, 2026 to Mar 31, 2026
- Discretionary RAUM · $113M to $108MFeb 26, 2026 to Mar 31, 2026
- HNW RAUM · $13.3M to $5.4MFeb 26, 2026 to Mar 31, 2026
- Individual RAUM · $3.7M to $4.2MFeb 26, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $96.1M to $98.5MFeb 26, 2026 to Mar 31, 2026
- RAUM · $113M to $108MFeb 26, 2026 to Mar 31, 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
- Principal office phone
- 301-656-5051reportedpublic record, Form ADV, Jul 27, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $108Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026