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F•••••••• A•••• M••••••••• L••

Independent wealth managerSEC-registered· Virginia Beach, Virginiawebsite

Independent wealth manager, based in Virginia Beach, Virginia, reporting $137M of regulatory assets across 3 registered advisors.

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

Regulatory AUM
$137M
Form ADV
Advisors
3
IAPD
Net advisor flow, 12 months
0
0 joined, 0 left
IAPD registration history
RAUM change, 1 year
+11%
Form ADV, consecutive annual filings
Private clients
98%
of RAUM, $134M
Form ADV
See where advisers wentSee teams that moved
More
Advisors (3)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

  1. +11.5%
    RAUM, one year

    RAUM $123M to $137M (+11.5%) on the Form ADV filed 13 May 2026, while advisors on the filing held at 3.

    The one filed measure of whether clients are staying.

    FactForm ADV Item 5History →
Every filed figure, and the identifiersCRD 281118 · SEC 801-132722 · 5 filingsShow
CRD 281118SEC 801-132722First filing on the tape Apr 4, 2025, latest May 13, 2026SEC status approved since May 6, 2025IAPD
RAUM
$137M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
98%
$134M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$45.6M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape

RAUM +11% over the last fiscal year · the tape starts Apr 4, 2025

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$137M as of May 13, 2026
Apr 4, 2025$123M then
HNW client RAUM$66.1M as of May 13, 2026
Apr 4, 2025$57.4M then
State-registered IARs (5.B.3)3 as of May 13, 2026
Apr 4, 20253 then
Employees (5.A)4 as of May 13, 2026
Apr 4, 20254 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of May 13, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • 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
$45.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
102derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$175,350derivedRAUM over accounts (5.F.2.f)
Discretionary
92%derivedof RAUM
Institutional
2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-2.2%derived
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing

49% individuals, 48% high-net-worth individuals, and 3 other client types

The breakdown by client type, and the client counts5 client typesShow
  • Individuals$67.5M49%
  • High-net-worth individuals$66.1M48%
  • Charitable organizations$1.6M1.1%
  • Pension and profit-sharing plans$1.3M0.9%
  • Corporations and businesses$483,4370.4%
Individual clients
276reported
HNW clients
31reported
Pension plan clients
6reported
Charitable clients
4reported
Accounts
781reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
RAUM: 98% private clients, 0% pooled funds, 2% institutions; no related broker-dealer; no related bankderived
Advisor movement
0 left over 36 months
0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount
Left, latest
none on the tape
    Every departureEvery arrival
    Advisors registered through the firm
    3 on IAPD today; the longest tenured first
    NameBranchHere sinceIn industryPrior firms
    R••••• A••• M•••••Certified Financial PlannerVirginia Beach, VaNov 4, 201524 y2
    M•••••• A•••• U•••••Virginia Beach, VaMay 23, 201621 y0
    L••• M•••••• M•••••Virginia Beach, VaOct 5, 202314 y0
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M•••••• R•••••• A••• · Presidentcontrol
      since 07/2015 · owns 75% or more
    • U•••••• M••••••• A•••• · Chief Compliance Officercontrol
      since 10/2025 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Virginia Beach, Va · principal300
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 800 to 781
      Sep 29, 2025 to Jan 29, 2026
    • Charity clients · 3 to 4
      Sep 29, 2025 to Jan 29, 2026
    • Corporate clients · 2 to 5
      Sep 29, 2025 to Jan 29, 2026
    • HNW clients · 29 to 31
      Sep 29, 2025 to Jan 29, 2026
    • Individual clients · 285 to 276
      Sep 29, 2025 to Jan 29, 2026
    Full history · 13 changes
    • Pension plan clients · 17 to 6
      Sep 29, 2025 to Jan 29, 2026
    • Discretionary RAUM · $113M to $126M
      Sep 29, 2025 to Jan 29, 2026
    • HNW RAUM · $57.4M to $66.1M
      Sep 29, 2025 to Jan 29, 2026
    • Individual RAUM · $59.9M to $67.5M
      Sep 29, 2025 to Jan 29, 2026
    • Non-discretionary RAUM · $9.8M to $11.2M
      Sep 29, 2025 to Jan 29, 2026
    • Pension RAUM · $4.1M to $1.3M
      Sep 29, 2025 to Jan 29, 2026
    • RAUM · $123M to $137M
      Sep 29, 2025 to Jan 29, 2026
    • Financial planning clients · 1-10 to 1-10
      Apr 4, 2025 to Jun 3, 2025
    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
    Website
    ••• Lockedreportedpublic record, Form ADV, May 13, 2026
    Principal office phone
    ••• Lockedreportedpublic record, Form ADV, May 13, 2026
    Provenance
    Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
    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
    $45.6Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026