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
R••••••••• P••••••••• I•••
Latest filing Mar 23, 2026
First filing on the tape Apr 23, 2014 · 22 filings
SEC status approved since May 8, 2014
RAUM
$266M
reported, Item 5.F
Discretionary
38%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$133M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$266M as of Mar 23, 2026
Mar 30, 2015$99.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 23, 2026
Mar 30, 20151 then
Employees (5.A)3 as of Mar 23, 2026
Mar 30, 20151 then
Private funds: no history
RAUM +30% over the last fiscal year+22% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $133MderivedRAUM 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
- $4.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 38%derivedof RAUM
- Institutional
- 100%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
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$266M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 60reported
- Charitable clients
- n/areported
- Accounts
- 63reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 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 |
|---|---|---|---|---|
| C•••••••• V••••••• S•••••• | Nashville, Tn | May 30, 2014 | 22 y | 6 |
| A••• J••• J••••••• | Alexandria, Va | Nov 28, 2018 | 21 y | 4 |
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
Joined, latest
- A••• J••• J••••••• from E•••••• F•••••••• E••••••Nov 28, 2018 · Other
- C•••••••• V••••••• S•••••• from F•••••• G••••• L••May 30, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J•••••••• A•••• J••• · Vice Presidentcontrolsince 07/2022 · owns 10% to 25%
- S••••••• C••••••••• V••••••• · President And Chief Compliance Officercontrolsince 04/2014 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Alexandria, Va · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 60 to 63Oct 16, 2025 to Mar 23, 2026
- Advisory employees · 3 to 2Oct 16, 2025 to Mar 23, 2026
- Pension plan clients · 58 to 60Oct 16, 2025 to Mar 23, 2026
- State-registered IARs · 3 to 2Oct 16, 2025 to Mar 23, 2026
- Discretionary RAUM · $77.2M to $101MOct 16, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $127M to $165MOct 16, 2025 to Mar 23, 2026
- Pension RAUM · $204M to $266MOct 16, 2025 to Mar 23, 2026
- RAUM · $204M to $266MOct 16, 2025 to Mar 23, 2026
- Accounts · 63 to 60Mar 19, 2024 to Mar 25, 2025
- Pension plan clients · 63 to 58Mar 19, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 19, 2024 to Mar 25, 2025
- Discretionary RAUM · $58.1M to $77.2MMar 19, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $134M to $127MMar 19, 2024 to Mar 25, 2025
- Pension RAUM · $192M to $204MMar 19, 2024 to Mar 25, 2025
- RAUM · $192M to $204MMar 19, 2024 to Mar 25, 2025
- Accounts · 59 to 63Mar 10, 2023 to Mar 19, 2024
- Pension plan clients · 59 to 63Mar 10, 2023 to Mar 19, 2024
- Discretionary RAUM · $31.7M to $58.1MMar 10, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $115M to $134MMar 10, 2023 to Mar 19, 2024
- Pension RAUM · $147M to $192MMar 10, 2023 to Mar 19, 2024
- RAUM · $147M to $192MMar 10, 2023 to Mar 19, 2024
- Accounts · 57 to 59Jul 1, 2022 to Mar 10, 2023
- Advisory employees · 2 to 3Jul 1, 2022 to Mar 10, 2023
- Pension plan clients · 57 to 59Jul 1, 2022 to Mar 10, 2023
- State-registered IARs · 2 to 3Jul 1, 2022 to Mar 10, 2023
- Discretionary RAUM · $26.3M to $31.7MJul 1, 2022 to Mar 10, 2023
- Non-discretionary RAUM · $241M to $115MJul 1, 2022 to Mar 10, 2023
- Pension RAUM · $268M to $147MJul 1, 2022 to Mar 10, 2023
- RAUM · $268M to $147MJul 1, 2022 to Mar 10, 2023
- Accounts · 46 to 57Apr 2, 2021 to Mar 23, 2022
- Pension plan clients · 46 to 57Apr 2, 2021 to Mar 23, 2022
- Employees · 2 to 3Apr 2, 2021 to Mar 23, 2022
- Discretionary RAUM · $23.7M to $26.3MApr 2, 2021 to Mar 23, 2022
- Non-discretionary RAUM · $234M to $241MApr 2, 2021 to Mar 23, 2022
- Pension RAUM · $258M to $268MApr 2, 2021 to Mar 23, 2022
- RAUM · $258M to $268MApr 2, 2021 to Mar 23, 2022
- Accounts · 39 to 46Feb 20, 2020 to Apr 2, 2021
- Pension plan clients · 39 to 46Feb 20, 2020 to Apr 2, 2021
- Other offices · 1 to 0Feb 20, 2020 to Apr 2, 2021
- Discretionary RAUM · $16.2M to $23.7MFeb 20, 2020 to Apr 2, 2021
Signals
3 dated events
- R••••••••• P••••••••• I••• reported RAUM $146.9M, down 45% from $267.7M (2022-07-01 to 2023-03-10)Mar 10, 2023 · RAUM change · derived
- John Adam Jefferis (Principal) appeared on Schedule A of R••••••••• P••••••••• I•••Jul 1, 2022 · Control person joined · fact
- R••••••••• P••••••••• I••• filed its initial SEC registration (Form ADV)Apr 23, 2014 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/5283917reportedpublic record, Form ADV, Sep 18, 2026
- Website
- RETIREMENTP••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 703-595-2829reportedpublic record, Form ADV, Mar 23, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $133Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026