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
O••••••• P••••••• P••••••• S••••••••• L••
Latest filing Mar 26, 2025
First filing on the tape Aug 28, 2013 · 36 filings
SEC status approved since Sep 16, 2013
RAUM
$407M
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
95%
$388M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$407M as of Mar 26, 2025
Feb 20, 2014$29.2M then
HNW client RAUM$252M as of Mar 26, 2025
Mar 11, 2018$10.6M then
State-registered IARs (5.B.3)7 as of Mar 26, 2025
Feb 20, 20144 then
Employees (5.A)10 as of Mar 26, 2025
Feb 20, 20146 then
Private funds: no history
RAUM +30% over the last fiscal year+28% a year over threeIARs 5 to 7
Practice profile
derived from the filing of Mar 26, 2025; every figure names its basis
- RAUM per advisor
- $58.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 113derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $291,888derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 84%derivedof RAUM
- Institutional
- 4.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +108%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $342MreportedItem 5.I
- Custody
- $3.0M, 17 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)
- compensates non-employees for client referrals (8.G.2)
- 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
- High-net-worth individuals$252M62%
- Individuals$136M33%
- Pension and profit-sharing plans$19.0M4.7%
- Charitable organizations$190,0560.0%
- Individual clients
- 662reported
- HNW clients
- 128reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,395reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $3.0M for 17 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
7 left, 0 joined in 12 months
net -7 in 12 months0 left in 90 days0 joined in 90 days8 left over 36 months
Left, latest
- J•• B•••••• W•••• to M•••• F•••••••• A•••••••Dec 4, 2025 · RIA to RIA
- V•••••• S••• M••••••• to M•••• F•••••••• A•••••••Dec 4, 2025 · RIA to RIA
- A••••• M•••••• H••• to M•••• F•••••••• A•••••••Dec 4, 2025 · RIA to RIA
- T••• M•••••• F•••••• to M•••• F•••••••• A•••••••Dec 4, 2025 · RIA to RIA
- P•••••• K•••••• C•••••• to M•••• F•••••••• A•••••••Dec 4, 2025 · RIA to RIA
- P••••• J••• F•••• to M•••• F•••••••• A•••••••Dec 4, 2025 · RIA to RIA
- E••• N••••• G••• to D••••• M•••• A•••••••• L••Dec 4, 2025 · Other
- L••••• W•••••• B•••••• to G•••• S••••• A•••• M••••••••• I••Oct 5, 2023 · RIA to RIA
- M•••••• J••• A••••••• to A••••• F•••••••• A•••••••• L••Feb 22, 2022 · RIA to RIA
- M•••••• R•• P•••• to C••••••••• F•••••••• N••••••Dec 14, 2017 · RIA to affiliated broker-dealer or bank
- D•••• R••• S••••• to S•• A•••••••• I•••Dec 1, 2016 · Other
Joined, latest
- E••• N••••• G••• from A••••••••• F•••••••• S•••••••• L••Jan 2, 2024 · Affiliated broker-dealer or bank to independent RIA
- J•• B•••••• W•••• from P••• A••••• S••••••••• L••Feb 21, 2023 · Affiliated broker-dealer or bank to independent RIA
- M•••••• J••• A••••••• from V•••• F•••••••• A•••••••• I•••Oct 15, 2021 · Affiliated broker-dealer or bank to independent RIA
- T••• M•••••• F•••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Nov 7, 2019 · Other
- P•••••• K•••••• C•••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Sep 16, 2013 · Other
- D•••• R••• S••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Sep 16, 2013 · Other
- M•••••• R•• P•••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Sep 16, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for M•••• F•••••••• A•••••••Dec 4, 2025 · Rockville, Md · Firm absorbed
- 2 joined from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Aug 2, 2017 · Rockville, Md
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• P••••••• K•••••• · Chief C••••••••• Officercontrolsince 01/2017 · owns less than 5%
- C••••••• P••••••• K•••••• · General Partnercontrolsince 02/2019 · owns 25% to 50% of O••••••• P••••••• H•••••••• L••
Entity owners
- O••••••• P••••••• H•••••••• L•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- 4••• C••••••••• S••••••••LP sponsory
- M• G•••• I•••••••• L••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Rockville, Md · principal | 0 | 0 | 6 | ||
| Pembroke Pines, Fl | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Columbia, MO3 employees
What changed
consecutive filings, newest first
- Accounts · 864 to 1,395Mar 25, 2024 to Mar 26, 2025
- Advisory employees · 5 to 7Mar 25, 2024 to Mar 26, 2025
- BD registered reps · 6 to 5Mar 25, 2024 to Mar 26, 2025
- Charity clients · 3 to 0Mar 25, 2024 to Mar 26, 2025
- HNW clients · 82 to 128Mar 25, 2024 to Mar 26, 2025
- Individual clients · 298 to 662Mar 25, 2024 to Mar 26, 2025
- Pension plan clients · 2 to 0Mar 25, 2024 to Mar 26, 2025
- Assets in custody · $207M to $3.0MMar 25, 2024 to Mar 26, 2025
- Employees · 8 to 10Mar 25, 2024 to Mar 26, 2025
- Financial planning clients · 251-500 to 251-500Mar 25, 2024 to Mar 26, 2025
- State-registered IARs · 5 to 7Mar 25, 2024 to Mar 26, 2025
- Discretionary RAUM · $303M to $342MMar 25, 2024 to Mar 26, 2025
- HNW RAUM · $198M to $252MMar 25, 2024 to Mar 26, 2025
- Individual RAUM · $108M to $136MMar 25, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $9.5M to $65.5MMar 25, 2024 to Mar 26, 2025
- Pension RAUM · $6.6M to $19.0MMar 25, 2024 to Mar 26, 2025
- RAUM · $313M to $407MMar 25, 2024 to Mar 26, 2025
- Accounts · 641 to 864Dec 20, 2023 to Mar 25, 2024
- Advisory employees · 7 to 5Dec 20, 2023 to Mar 25, 2024
- BD registered reps · 4 to 6Dec 20, 2023 to Mar 25, 2024
- Charity clients · 2 to 3Dec 20, 2023 to Mar 25, 2024
- HNW clients · 98 to 82Dec 20, 2023 to Mar 25, 2024
- Individual clients · 142 to 298Dec 20, 2023 to Mar 25, 2024
- Pension plan clients · 0 to 2Dec 20, 2023 to Mar 25, 2024
- Assets in custody · $11.4M to $207MDec 20, 2023 to Mar 25, 2024
- Employees · 11 to 8Dec 20, 2023 to Mar 25, 2024
- Financial planning clients · 101-250 to 251-500Dec 20, 2023 to Mar 25, 2024
- Other offices · 0 to 1Dec 20, 2023 to Mar 25, 2024
- Discretionary RAUM · $182M to $303MDec 20, 2023 to Mar 25, 2024
- HNW RAUM · $124M to $198MDec 20, 2023 to Mar 25, 2024
- Individual RAUM · $58.7M to $108MDec 20, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $353,341 to $9.5MDec 20, 2023 to Mar 25, 2024
- Pension RAUM · $0 to $6.6MDec 20, 2023 to Mar 25, 2024
- RAUM · $183M to $313MDec 20, 2023 to Mar 25, 2024
- Accounts · 642 to 641Feb 24, 2022 to Mar 1, 2023
- Advisory employees · 8 to 7Feb 24, 2022 to Mar 1, 2023
- BD registered reps · 5 to 4Feb 24, 2022 to Mar 1, 2023
- Charity clients · 1 to 2Feb 24, 2022 to Mar 1, 2023
- HNW clients · 70 to 98Feb 24, 2022 to Mar 1, 2023
- Individual clients · 176 to 142Feb 24, 2022 to Mar 1, 2023
Signals
15 dated events
- O••••••• P••••••• P••••••• S••••••••• L•• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $407.2M)Jan 2, 2026 · Left the SEC roster · derived
- E••• N••••• G••• left O••••••• P••••••• P••••••• S••••••••• L•• for D••••• M•••• A•••••••• L•• (registered 2025-06-12)Dec 4, 2025 · Advisor changed firm · fact
- A••••• M•••••• H••• left O••••••• P••••••• P••••••• S••••••••• L•• for M•••• F•••••••• A••••••• (registered 2025-10-03)Dec 4, 2025 · Advisor changed firm · fact
- T••• M•••••• F•••••• left O••••••• P••••••• P••••••• S••••••••• L•• for M•••• F•••••••• A••••••• (registered 2025-10-06)Dec 4, 2025 · Advisor changed firm · fact
- J•• B•••••• W•••• left O••••••• P••••••• P••••••• S••••••••• L•• for M•••• F•••••••• A••••••• (registered 2025-10-03)Dec 4, 2025 · Advisor changed firm · fact
- V•••••• S••• M••••••• left O••••••• P••••••• P••••••• S••••••••• L•• for M•••• F•••••••• A••••••• (registered 2025-10-03)Dec 4, 2025 · Advisor changed firm · fact
- P••••• J••• F•••• left O••••••• P••••••• P••••••• S••••••••• L•• for M•••• F•••••••• A••••••• (registered 2025-10-03)Dec 4, 2025 · Advisor changed firm · fact
- P•••••• K•••••• C•••••• left O••••••• P••••••• P••••••• S••••••••• L•• for M•••• F•••••••• A••••••• (registered 2025-10-03)Dec 4, 2025 · Advisor changed firm · fact
- O••••••• P••••••• P••••••• S••••••••• L••'s advisors moved to M•••• F•••••••• A••••••• (Rockville, MD): 6 of 7 registered, on the same dayDec 4, 2025 · Firm absorbed (people side) · derived
- O••••••• P••••••• P••••••• S••••••••• L•• reported RAUM $312.8M, up 71% from $182.5M (2023-12-20 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- Ann J•••• C•••••• (Limited Partner) no longer on Schedule A of O••••••• P••••••• P••••••• S••••••••• L•• (listed 2023-12-20, absent 2024-03-25)Mar 25, 2024 · Control person left · inference
- L••••• W•••••• B•••••• left O••••••• P••••••• P••••••• S••••••••• L•• for G•••• S••••• A•••• M••••••••• I•• (registered 2023-02-15)Oct 5, 2023 · Advisor changed firm · fact
- M•••••• J••• A••••••• left O••••••• P••••••• P••••••• S••••••••• L•• for A••••• F•••••••• A•••••••• L•• (registered 2022-03-15)Feb 22, 2022 · Advisor changed firm · fact
- A•• P•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 19, 2018 · Succession (Item 4) · fact
- A•• P•••••••• L•• filed its initial SEC registration (Form ADV)Aug 28, 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