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
A•••••••• D••••
Legal name A••• L••
Latest filing Jun 25, 2026
First filing on the tape Jul 3, 2013 · 62 filings
SEC status approved since Sep 8, 2015
RAUM
$448M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$443M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$74.6M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
62 filings and snapshots on the tape
RAUM$448M as of Jun 25, 2026
Mar 1, 2014$54.1M then
HNW client RAUM$404M as of Jun 25, 2026
Mar 28, 2018$139M then
State-registered IARs (5.B.3)6 as of Jun 25, 2026
Mar 1, 20143 then
Employees (5.A)9 as of Jun 25, 2026
Mar 1, 20147 then
Private funds: no history
RAUM +28% over the last fiscal year+18% a year over threeIARs 6 to 6offices 1 to 0
Practice profile
derived from the filing of Jun 25, 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
- RAUM per advisor
- $74.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $467,615derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $306M, 228 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$404M90%
- Individuals$38.8M8.7%
- Corporations and businesses$2.4M0.5%
- Charitable organizations$1.1M0.3%
- Pension and profit-sharing plans$834,4220.2%
- Individual clients
- 132reported
- HNW clients
- 158reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 957reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $306M for 228 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=6.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• P••• A••••••••Certified Financial Planner | Baltimore, Md | Aug 19, 2013 | 20 y | 2 |
| S••••••• L• E•••••••••Certified Financial Planner | Baltimore, Md | Mar 24, 2014 | 12 y | 0 |
| K•••• A••• B•••• | Baltimore, Md | Jul 23, 2015 | 13 y | 0 |
| H••• J••••• B••••••Certified Financial Planner | Baltimore, Md | Aug 1, 2016 | 18 y | 3 |
| N••••••• F••••••• S••••••Certified Financial Planner | Mount Pleasant, Sc | Apr 19, 2018 | 11 y | 2 |
| T••••• D•••Certified Financial Planner | Baltimore, Md | Nov 15, 2024 | 13 y | 2 |
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
- C•••• B•••••• E••••• to C•••••••• W••••• M•••••••••Jan 25, 2021 · RIA to a state-registered adviser
- T••• A••• C••• to I•••••••• F•• W••••• A•••••••• I•••Dec 19, 2018 · Other
Joined, latest
- T••••• D••• from F••••••• W••••• A•••••••• L••Nov 15, 2024 · RIA to RIA
- N••••••• F••••••• S•••••• from O•••• F•• I•••Apr 19, 2018 · Affiliated broker-dealer or bank to independent RIA
- T••• A••• C••• from O•••• F•• I•••Jun 6, 2017 · Other
- H••• J••••• B•••••• from T•••• A•••••••• L••Aug 1, 2016 · Other
- C•••• B•••••• E••••• from L•• F•••••••• L••Mar 17, 2015 · Other
- G•••••• P••• A•••••••• from P••••••• S•••••••• G••••• L••Aug 19, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• G••••••• P••• · Managing Membercontrolsince 08/2013 · owns 50% to 75%
- B••••••• H•••• J••••• · Membercontrolsince 03/2018 · owns 50% to 75%
- B••••• K••••• A••• · Chief Compliance Officercontrolsince 03/2018 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Baltimore, Md · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 932 to 957Nov 25, 2025 to Mar 30, 2026
- Advisory activities · 4 to 3Nov 25, 2025 to Mar 30, 2026
- BD registered reps · 5 to 6Nov 25, 2025 to Mar 30, 2026
- Corporate clients · 5 to 4Nov 25, 2025 to Mar 30, 2026
- HNW clients · 143 to 158Nov 25, 2025 to Mar 30, 2026
- Individual clients · 165 to 132Nov 25, 2025 to Mar 30, 2026
- Assets in custody · $164M to $306MNov 25, 2025 to Mar 30, 2026
- Other offices · 1 to 0Nov 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $349M to $446MNov 25, 2025 to Mar 30, 2026
- HNW RAUM · $305M to $404MNov 25, 2025 to Mar 30, 2026
- Individual RAUM · $41.6M to $38.8MNov 25, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $1.5M to $1.1MNov 25, 2025 to Mar 30, 2026
- Pension RAUM · $588,112 to $834,422Nov 25, 2025 to Mar 30, 2026
- RAUM · $351M to $448MNov 25, 2025 to Mar 30, 2026
- Accounts · 876 to 932Sep 10, 2024 to Mar 24, 2025
- BD registered reps · 6 to 5Sep 10, 2024 to Mar 24, 2025
- HNW clients · 127 to 143Sep 10, 2024 to Mar 24, 2025
- Individual clients · 178 to 165Sep 10, 2024 to Mar 24, 2025
- Assets in custody · $274M to $164MSep 10, 2024 to Mar 24, 2025
- Employees · 6 to 9Sep 10, 2024 to Mar 24, 2025
- Financial planning clients · 11-25 to 11-25Sep 10, 2024 to Mar 24, 2025
- Other offices · 0 to 1Sep 10, 2024 to Mar 24, 2025
- Discretionary RAUM · $300M to $349MSep 10, 2024 to Mar 24, 2025
- HNW RAUM · $269M to $305MSep 10, 2024 to Mar 24, 2025
- Individual RAUM · $38.6M to $41.6MSep 10, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $12.3M to $1.5MSep 10, 2024 to Mar 24, 2025
- Pension RAUM · $1.5M to $588,112Sep 10, 2024 to Mar 24, 2025
- RAUM · $312M to $351MSep 10, 2024 to Mar 24, 2025
- Other offices · 1 to 0Mar 29, 2024 to Sep 10, 2024
- Accounts · 825 to 876Apr 5, 2023 to Mar 29, 2024
- Corporate clients · unset to 5.0Apr 5, 2023 to Mar 29, 2024
- HNW clients · 61 to 127Apr 5, 2023 to Mar 29, 2024
- Individual clients · 189 to 178Apr 5, 2023 to Mar 29, 2024
- Assets in custody · $195M to $274MApr 5, 2023 to Mar 29, 2024
- Discretionary RAUM · $259M to $300MApr 5, 2023 to Mar 29, 2024
- HNW RAUM · $226M to $269MApr 5, 2023 to Mar 29, 2024
- Individual RAUM · $39.8M to $38.6MApr 5, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $12.7M to $12.3MApr 5, 2023 to Mar 29, 2024
- Pension RAUM · $3.4M to $1.5MApr 5, 2023 to Mar 29, 2024
- RAUM · $272M to $312MApr 5, 2023 to Mar 29, 2024
Signals
2 dated events
- Britton Colin Exelby (Member) no longer on Schedule A of A•••••••• D•••• (listed 2020-12-16, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- H••••• D••••••• L•• filed its initial SEC registration (Form ADV)Jul 3, 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.
How to reach
public business contact points only, each with its source
- Business email
- rsanthoshkumar@armstrongdixon.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- jlong@armstrongdixon.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- jscharmann@armstrongdixon.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- kunderwood@armstrongdixon.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- madeleke@armstrongdixon.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 443-563-1110reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 443-219-8856reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 443-563-1111reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/A••••••••-AND-D••••reportedpublic record, Form ADV, Sep 18, 2026
- Website
- A••••••••D••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 443-563-1111reportedpublic record, Form ADV, Jun 25, 2026
- Contact form
- armstrongdixon.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $74.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026