DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

P••••••• M••••••••• L••

Asset manager (funds and pooled vehicles)SEC-registered1 private funds· Charlottesville, Virginiawebsite

Asset manager (funds and pooled vehicles), based in Charlottesville, Virginia, reporting $281M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$281M
Form ADV
Advisors
0
IAPD
Net advisor flow, 12 months
Not established
RAUM change, last fiscal year
+43%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 173707 · SEC 801-114385 · 10 filingsShow
CRD 173707SEC 801-114385First filing on the tape Nov 5, 2018, latest Mar 26, 2026SEC status approved since Dec 6, 2018IAPD
RAUM
$281M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$281M as of Mar 26, 2026
Mar 29, 2019$187M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 29, 20190 then
Employees (5.A)4 as of Mar 26, 2026
Mar 29, 20195 then
Private funds1 as of Mar 26, 2026
Mar 29, 20191 then
RAUM +43% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$93.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+43%derivedbetween 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$281M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••••• P••••••• •••• L•Hedge Fund$250M79Feb 18, 2015
      P••••••• P•••••••• L•no longer reportedHedge Fund$78.1M49Feb 18, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • H•••• T•••••• J•••• · Managing Partnercontrol
        since 09/2012 · owns 75% or more
      • K•••••• A•••••• A•••••• C•••••• · Cco, Partnercontrol
        since 09/2012 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • P••••••• P••••••• ••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 4
        Mar 26, 2025 to Mar 26, 2026
      • Employees · 3 to 4
        Mar 26, 2025 to Mar 26, 2026
      • Discretionary RAUM · $197M to $281M
        Mar 26, 2025 to Mar 26, 2026
      • Pooled vehicle RAUM · $197M to $281M
        Mar 26, 2025 to Mar 26, 2026
      • RAUM · $197M to $281M
        Mar 26, 2025 to Mar 26, 2026
      • Financial planning clients · unset to
        Mar 26, 2024 to Mar 26, 2025
      • Discretionary RAUM · $150M to $197M
        Mar 26, 2024 to Mar 26, 2025
      • Pooled vehicle RAUM · $150M to $197M
        Mar 26, 2024 to Mar 26, 2025
      • RAUM · $150M to $197M
        Mar 26, 2024 to Mar 26, 2025
      • Employees · 4 to 3
        Mar 30, 2023 to Mar 26, 2024
      • Discretionary RAUM · $197M to $150M
        Mar 30, 2023 to Mar 26, 2024
      • Pooled vehicle RAUM · $197M to $150M
        Mar 30, 2023 to Mar 26, 2024
      • RAUM · $197M to $150M
        Mar 30, 2023 to Mar 26, 2024
      • Discretionary RAUM · $187M to $197M
        Mar 25, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $187M to $197M
        Mar 25, 2022 to Mar 30, 2023
      • RAUM · $187M to $197M
        Mar 25, 2022 to Mar 30, 2023
      • Employees · 3 to 4
        Mar 30, 2021 to Mar 25, 2022
      • Discretionary RAUM · $110M to $187M
        Mar 30, 2021 to Mar 25, 2022
      • Pooled vehicle RAUM · $110M to $187M
        Mar 30, 2021 to Mar 25, 2022
      • RAUM · $110M to $187M
        Mar 30, 2021 to Mar 25, 2022
      • Advisory employees · 4 to 3
        May 29, 2020 to Mar 30, 2021
      • Assets in custody · 101484000.0 to unset
        May 29, 2020 to Mar 30, 2021
      • Custody of client assets · true to false
        May 29, 2020 to Mar 30, 2021
      • Employees · 4 to 3
        May 29, 2020 to Mar 30, 2021
      • Discretionary RAUM · $139M to $110M
        May 29, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $139M to $110M
        May 29, 2020 to Mar 30, 2021
      • RAUM · $139M to $110M
        May 29, 2020 to Mar 30, 2021
      • Employees · 5 to 4
        Mar 28, 2020 to May 29, 2020
      • Assets in custody · $126M to $101M
        Mar 29, 2019 to Mar 28, 2020
      • Discretionary RAUM · $187M to $139M
        Mar 29, 2019 to Mar 28, 2020
      • Pooled vehicle RAUM · $187M to $139M
        Mar 29, 2019 to Mar 28, 2020
      • RAUM · $187M to $139M
        Mar 29, 2019 to Mar 28, 2020
      • Assets in custody · $162M to $126M
        Nov 5, 2018 to Mar 29, 2019
      • Private funds · 2 to 1
        Nov 5, 2018 to Mar 29, 2019
      • Discretionary RAUM · $177M to $187M
        Nov 5, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $177M to $187M
        Nov 5, 2018 to Mar 29, 2019
      • RAUM · $177M to $187M
        Nov 5, 2018 to Mar 29, 2019
      Signals
      5 dated events
      • ••• Locked
        Mar 26, 2026 · private fund gav change · fact
      • ••• Locked
        Mar 26, 2026 · ria private fund assets change · fact
      • ••• Locked
        May 29, 2020 · Control person left · inference
      • ••• Locked
        Mar 29, 2019 · ria registration change · fact
      • ••• Locked
        Nov 5, 2018 · 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
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 26, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 26, 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
      Asset manager (funds and pooled vehicles)deriveda 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