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

R••••••• O•••••• C•••••• M••••••••• L••

Former SEC-registered adviserR•••••••, VirginiaCRD 168168SEC 801-78262IAPD
Latest filing Mar 4, 2014
First filing on the tape Jun 24, 2013 · 13 filings
RAUM
$15.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$15.0M as of Mar 4, 2014
Jun 24, 2013$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 4, 2014
Jun 24, 20132 then
Employees (5.A)3 as of Mar 4, 2014
Jun 24, 20133 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 4, 2014; every figure names its basis
RAUM per advisor
$7.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$340,909derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 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 institutionsreportedItem 5.G
Custody
$14.0M, 44 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)
  • compensates persons for client referrals (8.G.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
44reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$14.0M for 44 clientsreported
Compensation
% of AUM, performancereported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • G••••••••• R•••• J•••••• · Managing Membercontrol
    since 06/2013 · owns 10% to 25%
  • H••••• S•••••• H••••• · Managing Membercontrol
    since 06/2013 · owns 25% to 50%
  • M••••••••• R•••••• G••• · Managing Member - Ccocontrol
    since 06/2013 · owns 25% to 50%
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
  • Assets in custody · unset to 14000000.0
    Jan 29, 2014 to Mar 4, 2014
  • Custody of client assets · false to true
    Jan 29, 2014 to Mar 4, 2014
  • Discretionary RAUM · $14.0M to $15.0M
    Mar 4, 2014 to Mar 4, 2014
  • RAUM · $14.0M to $15.0M
    Mar 4, 2014 to Mar 4, 2014
  • Accounts · 0 to 44
    Dec 13, 2013 to Dec 20, 2013
  • Discretionary RAUM · $0 to $14.0M
    Dec 13, 2013 to Dec 20, 2013
  • RAUM · $0 to $14.0M
    Dec 13, 2013 to Dec 20, 2013
  • HQ city · MANAKIN SABOT to R•••••••
    Nov 28, 2013 to Dec 10, 2013
Signals
1 dated events
  • R••••••• O•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    Jun 24, 2013 · 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