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
O•••••• E••••• L•••
Latest filing Jun 25, 2026
First filing on the tape Apr 16, 2025 · 3 filings
SEC status approved since May 16, 2025
RAUM
$146M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$145M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$36.4M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$146M as of Jun 25, 2026
Apr 16, 2025$112M then
HNW client RAUM$46.1M as of Jun 25, 2026
Apr 16, 2025$31.8M then
State-registered IARs (5.B.3)4 as of Jun 25, 2026
Apr 16, 20254 then
Employees (5.A)4 as of Jun 25, 2026
Apr 16, 20254 then
Private funds: no history
RAUM +30% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Jun 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $36.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 149derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $243,879derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -39%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$99.1M68%
- High-net-worth individuals$46.1M32%
- Investment companies$317,5190.2%
- Individual clients
- 574reported
- HNW clients
- 22reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 597reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••• D•••• T••••Certified Financial Planner | Virginia Beach, Va | Nov 25, 2015 | 45 y | 1 |
| N•••• K••••••• E••••••• | Virginia Beach, Va | Nov 17, 2017 | 20 y | 1 |
| K•••• S•••••• M•••••• | Virginia Beach, Va | Jan 14, 2020 | 27 y | 3 |
| K•••• M•••••• J•••• | Newport News, Va | Mar 8, 2023 | 22 y | 3 |
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
- K•••• M•••••• J•••• from O•••• F•• I•••Mar 8, 2023 · Affiliated broker-dealer or bank to independent RIA
- K•••• S•••••• M•••••• from O•••• F•• I•••Jan 14, 2020 · Affiliated broker-dealer or bank to independent RIA
- N•••• K••••••• E••••••• from O•••• F•• I•••Nov 17, 2017 · Other
- F•••• D•••• T•••• from O•••• F•• I•••Nov 25, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from O•••• F•• I•••Nov 19, 2015 · Virginia Beach, Va
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.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Virginia Beach, Va · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Feb 16, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $111,668,310 to $138,936,260, advisors 4 to 4, private clients 588 to 360, offices 2 to 2 (2025-04-16 to 2026-02-16)peers: independent wealth managers, $100M to $500M (5,676)
- client count collapseChange between filings · filing Feb 16, 2026individual and HNW clients (Item 5.D) moved from 588.0 to 360.0 (-39.0%) between the annual amendments of 2025-04-16 and 2026-02-16; the peer median change was +3.0% (3309 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 2.8% percentile
What changed
consecutive filings, newest first
- Accounts · 577 to 597Feb 16, 2026 to Jun 25, 2026
- HNW clients · 17 to 22Feb 16, 2026 to Jun 25, 2026
- Individual clients · 343 to 574Feb 16, 2026 to Jun 25, 2026
- Pension plan clients · 1.0 to unsetFeb 16, 2026 to Jun 25, 2026
- Discretionary RAUM · $139M to $146MFeb 16, 2026 to Jun 25, 2026
- HNW RAUM · $39.2M to $46.1MFeb 16, 2026 to Jun 25, 2026
- Individual RAUM · $99.1M to $99.1MFeb 16, 2026 to Jun 25, 2026
- Pension RAUM · 639884.0 to unsetFeb 16, 2026 to Jun 25, 2026
- RAUM · $139M to $146MFeb 16, 2026 to Jun 25, 2026
- RAUM · $112M to $139MApr 16, 2025 to Feb 16, 2026
- Accounts · 588 to 577Apr 16, 2025 to Feb 16, 2026
- HNW clients · 18 to 17Apr 16, 2025 to Feb 16, 2026
- Individual clients · 570 to 343Apr 16, 2025 to Feb 16, 2026
- Pension plan clients · unset to 1.0Apr 16, 2025 to Feb 16, 2026
- Financial planning clients · 11-25 to 26-50Apr 16, 2025 to Feb 16, 2026
- Discretionary RAUM · $112M to $139MApr 16, 2025 to Feb 16, 2026
- HNW RAUM · $31.8M to $39.2MApr 16, 2025 to Feb 16, 2026
- Individual RAUM · $79.9M to $99.1MApr 16, 2025 to Feb 16, 2026
- Pension RAUM · unset to 639884.0Apr 16, 2025 to Feb 16, 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
- Business phone
- 757-390-3335reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 757-390-3336reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 757-390-3341reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.f•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 757-390-3341reportedpublic record, Form ADV, Jun 25, 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
- $36.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026