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
C••••• F••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Apr 17, 2019 · 12 filings
SEC status approved since May 16, 2019
RAUM
$330M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
98%
$325M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$165M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$330M as of Mar 30, 2026
Mar 30, 2020$162M then
HNW client RAUM$248M as of Mar 30, 2026
Mar 30, 2020$82.6M then
State-registered IARs (5.B.3)5 as of Mar 30, 2026
Mar 30, 20205 then
Employees (5.A)8 as of Mar 30, 2026
Mar 30, 20208 then
Private funds: no history
RAUM +15% over the last fiscal year+17% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 30, 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
- RAUM per advisor
- $165MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 300derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $318,132derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, educational seminarsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$248M75%
- Individuals$76.8M23%
- Charitable organizations$5.1M1.5%
- Individual clients
- 438reported
- HNW clients
- 161reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,038reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• F••••••• P••••• | Glen Allen, Va | Jan 16, 2014 | 29 y | 2 |
| D•••••• E•••••• T•••••Certified Financial Planner | Glen Allen, Va | Sep 17, 2025 | 20 y | 3 |
Advisor movement
4 left, 0 joined in 12 months
net -4 in 12 months4 left in 90 days0 joined in 90 daysdeparture rate 200% of current headcount4 left over 36 months
Left, latest
- C••••••••• L•• F••••• to M•••••••• C••••••• L••Jul 7, 2026 · RIA to a state-registered adviser
- D••••• F•••••• M••••• to S••••Jun 29, 2026 · RIA to RIA
- R••• D•••••• G•••• to S••••Jun 29, 2026 · RIA to RIA
- A•••• S•••• G•••• to S••••Jun 29, 2026 · RIA to RIA
- A•••••• M•••••• B••••••••• to L•• F•••••••• L••Apr 19, 2017 · Other
- C••• B• D•••••• J•• to L•• F•••••••• L••Apr 19, 2017 · Other
- S••••• G••• W•••• to L•• F•••••••• L••Apr 19, 2017 · Other
- T•••••• A••• N••• to A••••• W••••• A•••••••• L••Aug 31, 2016 · RIA to a state-registered adviser
Joined, latest
- D•••••• E•••••• T••••• from B• R•••• W••••• M•••••••••Sep 17, 2025 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• L•• F••••• from T•• M••• S••••• G••••May 24, 2016 · RIA to RIA
- C••• B• D•••••• J•• from A••••••••• F•••••••• S•••••••• L••Jan 21, 2014 · Affiliated broker-dealer or bank to independent RIA
- A•••••• M•••••• B••••••••• from E••••• J••••Jan 17, 2014 · Affiliated broker-dealer or bank to independent RIA
- T•••••• A••• N••• from L•• F•••••••• L••Jan 17, 2014 · Other
- D••••• F•••••• M••••• from L•• F•••••••• L••Jan 17, 2014 · Other
- A•••• S•••• G•••• from L•• F•••••••• L••Jan 17, 2014 · Other
- J••• F••••••• P••••• from L•• F•••••••• L••Jan 16, 2014 · Other
- S••••• G••• W•••• from E••••• J••••Jan 16, 2014 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• J•••• F••••••• · President, Chief Compliance Officercontrolsince 01/2009 · owns 50% to 75%
- D•••••• P••••••• M••••• · Investorsince 06/2012 · owns 10% to 25%
- H•••• B••••• R••••• · Investor And Consultantsince 06/2012 · 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 |
|---|---|---|---|---|---|
| Glen Allen, Va · principal | 2 | 0 | 3 | ||
| Midlothian, Va | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Midlothian, VA3 employees
What changed
consecutive filings, newest first
- Accounts · 1,114 to 1,038Sep 25, 2025 to Mar 30, 2026
- HNW clients · 131 to 161Sep 25, 2025 to Mar 30, 2026
- Individual clients · 420 to 438Sep 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $266M to $306MSep 25, 2025 to Mar 30, 2026
- HNW RAUM · $199M to $248MSep 25, 2025 to Mar 30, 2026
- Individual RAUM · $79.9M to $76.8MSep 25, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $19.6M to $24.6MSep 25, 2025 to Mar 30, 2026
- Pension RAUM · 3397873.0 to unsetSep 25, 2025 to Mar 30, 2026
- RAUM · $286M to $330MSep 25, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Mar 27, 2025 to Sep 25, 2025
- Accounts · 1,030 to 1,114Mar 29, 2024 to Mar 27, 2025
- HNW clients · 88 to 131Mar 29, 2024 to Mar 27, 2025
- Individual clients · 490 to 420Mar 29, 2024 to Mar 27, 2025
- Discretionary RAUM · $212M to $266MMar 29, 2024 to Mar 27, 2025
- HNW RAUM · $130M to $199MMar 29, 2024 to Mar 27, 2025
- Individual RAUM · $95.6M to $79.9MMar 29, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $19.8M to $19.6MMar 29, 2024 to Mar 27, 2025
- Pension RAUM · $3.0M to $3.4MMar 29, 2024 to Mar 27, 2025
- RAUM · $232M to $286MMar 29, 2024 to Mar 27, 2025
- Accounts · 908 to 1,030Mar 31, 2023 to Mar 29, 2024
- HNW clients · 111 to 88Mar 31, 2023 to Mar 29, 2024
- Individual clients · 425 to 490Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $186M to $212MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $129M to $130MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $72.3M to $95.6MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $20.6M to $19.8MMar 31, 2023 to Mar 29, 2024
- Pension RAUM · $2.7M to $3.0MMar 31, 2023 to Mar 29, 2024
- RAUM · $207M to $232MMar 31, 2023 to Mar 29, 2024
- Accounts · 1,024 to 908Oct 3, 2022 to Mar 31, 2023
- HNW clients · 96 to 111Oct 3, 2022 to Mar 31, 2023
- Individual clients · 396 to 425Oct 3, 2022 to Mar 31, 2023
- Discretionary RAUM · $218M to $186MOct 3, 2022 to Mar 31, 2023
- HNW RAUM · $139M to $129MOct 3, 2022 to Mar 31, 2023
- Individual RAUM · $92.0M to $72.3MOct 3, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $19.6M to $20.6MOct 3, 2022 to Mar 31, 2023
- Pension RAUM · $2.7M to $2.7MOct 3, 2022 to Mar 31, 2023
- RAUM · $237M to $207MOct 3, 2022 to Mar 31, 2023
- BD registered reps · 7 to 0Mar 31, 2022 to Oct 3, 2022
- Accounts · 909 to 1,024Oct 28, 2021 to Mar 31, 2022
- Charity clients · 3.0 to unsetOct 28, 2021 to Mar 31, 2022
Signals
6 dated events
- C••••••••• L•• F••••• left C••••• F••••••••• L•• for M•••••••• C••••••• L•• (registered 2026-07-09)Jul 7, 2026 · Advisor changed firm · fact
- D••••• F•••••• M••••• left C••••• F••••••••• L•• for S•••• (registered 2026-07-06)Jun 29, 2026 · Advisor changed firm · fact
- A•••• S•••• G•••• left C••••• F••••••••• L•• for S•••• (registered 2026-07-07)Jun 29, 2026 · Advisor changed firm · fact
- R••• D•••••• G•••• left C••••• F••••••••• L•• for S•••• (registered 2026-07-06)Jun 29, 2026 · Advisor changed firm · fact
- C••••• F••••••••• L••'s advisors moved to S•••• (Glen Allen, VA): 3 of 6 registered, on the same dayJun 29, 2026 · Firm absorbed (people side) · derived
- C••••• F••••••••• L•• filed its initial SEC registration (Form ADV)Apr 17, 2019 · 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
- karen.johnson@clarisfinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- katy.oliver@clarisfinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 804-273-0262reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 804-935-3000reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 804-935-3000reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- clarisfinancial.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- clarisfinancial.com/our-teamreportedpublished 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
- $165Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026