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•••••••• P••••••• L••

Independent wealth managerCRD 168710SEC 801-137126IAPD
Latest filing Sep 17, 2026
First filing on the tape Aug 3, 2026 · 2 filings
SEC status approved since Aug 20, 2026
RAUM
$108M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
91%
$98.3M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$108M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$108M as of Sep 17, 2026
Aug 3, 2026$108M then
HNW client RAUM$93.9M as of Sep 17, 2026
Aug 3, 2026$93.9M then
State-registered IARs (5.B.3)1 as of Sep 17, 2026
Aug 3, 20261 then
Employees (5.A)1 as of Sep 17, 2026
Aug 3, 20261 then
Private funds: no history
Practice profile
derived from the filing of Sep 17, 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
63derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
9.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$93.9M87%
  • Charitable organizations$9.8M9.0%
  • Individuals$4.4M4.1%
Individual clients
10reported
HNW clients
53reported
Pension plan clients
0reported
Charitable clients
3reported
Accounts
96reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.91 fund_share=0.0 institutional_share=0.09 related_bd= related_bank= bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C••••••••• P••• S•••••••Certified Financial Planner, Chartered Financial ConsultantSykesville, MdNov 19, 201327 y1
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    No Schedule A on the extract for this adviser.
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    ADV anomalies
    1 against comparable advisers; where to look, not conclusions
    • low discretionary shareStatic outlier · filing Sep 17, 2026
      discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)
      peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Financial planning clients · 51-100 to 51-100
      Aug 3, 2026 to Sep 17, 2026
    • HQ city · to unset
      Aug 3, 2026 to Sep 17, 2026
    • HQ state · to unset
      Aug 3, 2026 to Sep 17, 2026
    • Related adviser · false to unset
      Aug 3, 2026 to Sep 17, 2026
    • Related bank · false to unset
      Aug 3, 2026 to Sep 17, 2026
    • Related broker-dealer · false to unset
      Aug 3, 2026 to Sep 17, 2026
    • Related insurance company · false to unset
      Aug 3, 2026 to Sep 17, 2026
    • Succession · false to unset
      Aug 3, 2026 to Sep 17, 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
    410-309-4200reportedpublic record, Form ADV, Sep 17, 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
    $108Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026