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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Former SEC-registered adviser

M••••••• F•••••••• P••••••• L••

Former SEC-registered adviserWarrenton, VirginiaCRD 249790SEC 801-103470IAPD
Latest filing Oct 8, 2015
First filing on the tape Jul 21, 2015 · 5 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Oct 8, 2015
Jul 21, 20150 then
Employees (5.A)1 as of Oct 8, 2015
Jul 21, 20151 then
Private funds: no history
Practice profile
derived from the filing of Oct 8, 2015; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
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 individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G••••••• N••••••••• S•••• · Managing Member, Co-Foundercontrol
      since 09/2015 · owns 50% to 75%
    • Y••••• S••••• J••• · Managing Member, Co-Founder, Ccocontrol
      since 09/2015 · owns 50% to 75%
    • Z••••••••• E•••••• S••••• · Principalcontrol
      since 07/2015 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Business name · B••••• W••••• A•••••••• L•• to M••••••• F•••••••• P••••••• L••
      Sep 24, 2015 to Oct 6, 2015
    • Legal name · B••••• W••••• A•••••••• L•• to M••••••• F•••••••• P••••••• L••
      Sep 24, 2015 to Oct 6, 2015
    • Succession · true to false
      Sep 24, 2015 to Oct 6, 2015
    • HQ city · GLEN ALLEN to WARRENTON
      Jul 22, 2015 to Sep 24, 2015
    • Succession · false to true
      Jul 22, 2015 to Sep 24, 2015
    • Financial planning clients · unset to 0
      Jul 21, 2015 to Jul 22, 2015
    Signals
    2 dated events
    • B••••• W••••• A•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Sep 24, 2015 · Succession (Item 4) · fact
    • B••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
      Jul 21, 2015 · 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.
    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
    Former SEC-registered adviserderiveda 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