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
D••••• C•••••• M••••••••• L••
Latest filing Apr 28, 2026
First filing on the tape Jul 14, 2016 · 30 filings
SEC status approved since Jul 25, 2016
RAUM
$292M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$270M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$146M
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
30 filings and snapshots on the tape
RAUM$292M as of Apr 28, 2026
Jun 16, 2017$95.4M then
HNW client RAUM$258M as of Apr 28, 2026
Mar 29, 2018$87.6M then
State-registered IARs (5.B.3)2 as of Apr 28, 2026
Jun 16, 20171 then
Employees (5.A)3 as of Apr 28, 2026
Jun 16, 20171 then
Private funds: no history
RAUM +16% over the last fiscal year+17% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 28, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $146MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $816,988derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.4%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
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $126M, 73 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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
- High-net-worth individuals$258M88%
- Individuals$12.2M4.2%
- Corporations and businesses$8.9M3.1%
- Charitable organizations$8.8M3.0%
- Pension and profit-sharing plans$4.1M1.4%
- Individual clients
- 37reported
- HNW clients
- 60reported
- Pension plan clients
- 1reported
- Charitable clients
- 5reported
- Accounts
- 357reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $126M for 73 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.04 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 |
|---|---|---|---|---|
| P••••• R•••••• C••••• D••••• | Middleburg, Va | Jan 12, 2017 | 25 y | 3 |
| T••••• U• D••••• | Middleburg, Va | Mar 7, 2019 | 46 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
- T••••• U• D••••• from M••••• S••••••Mar 7, 2019 · Wirehouse to independent RIA
- P••••• R•••••• C••••• D••••• from M••••• S••••••Jan 12, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• P•••••• R•••••• C••••• · Managing Partner, Chief Compliance Officercontrolsince 06/2016 · owns 75% or more
- D•••••• T•••••• U• · Managing Partnersince 02/2017 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Middleburg, Va · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Individual clients · 31 to 37Mar 25, 2025 to Mar 24, 2026
- Accounts · 329 to 357Mar 25, 2025 to Mar 24, 2026
- Charity clients · unset to 5.0Mar 25, 2025 to Mar 24, 2026
- HNW clients · 56 to 60Mar 25, 2025 to Mar 24, 2026
- Pension plan clients · unset to 1.0Mar 25, 2025 to Mar 24, 2026
- Assets in custody · $99.5M to $126MMar 25, 2025 to Mar 24, 2026
- Employees · 2 to 3Mar 25, 2025 to Mar 24, 2026
- Discretionary RAUM · $250M to $292MMar 25, 2025 to Mar 24, 2026
- HNW RAUM · $220M to $258MMar 25, 2025 to Mar 24, 2026
- Individual RAUM · $10.9M to $12.2MMar 25, 2025 to Mar 24, 2026
- Pension RAUM · $3.5M to $4.1MMar 25, 2025 to Mar 24, 2026
- RAUM · $250M to $292MMar 25, 2025 to Mar 24, 2026
- Accounts · 291 to 329Oct 28, 2024 to Mar 25, 2025
- Charity clients · 4.0 to unsetOct 28, 2024 to Mar 25, 2025
- Corporate clients · 8 to 7Oct 28, 2024 to Mar 25, 2025
- HNW clients · 55 to 56Oct 28, 2024 to Mar 25, 2025
- Individual clients · 34 to 31Oct 28, 2024 to Mar 25, 2025
- Pension plan clients · 1.0 to unsetOct 28, 2024 to Mar 25, 2025
- Assets in custody · $91.7M to $99.5MOct 28, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0Oct 28, 2024 to Mar 25, 2025
- Discretionary RAUM · $208M to $250MOct 28, 2024 to Mar 25, 2025
- HNW RAUM · $177M to $220MOct 28, 2024 to Mar 25, 2025
- Individual RAUM · $9.8M to $10.9MOct 28, 2024 to Mar 25, 2025
- Pension RAUM · $3.0M to $3.5MOct 28, 2024 to Mar 25, 2025
- RAUM · $208M to $250MOct 28, 2024 to Mar 25, 2025
- Accounts · 278 to 291Aug 11, 2023 to Mar 28, 2024
- Charity clients · 3 to 4Aug 11, 2023 to Mar 28, 2024
- HNW clients · 50 to 55Aug 11, 2023 to Mar 28, 2024
- Assets in custody · $4.3M to $91.7MAug 11, 2023 to Mar 28, 2024
- Custody of client assets · false to trueAug 11, 2023 to Mar 28, 2024
- Discretionary RAUM · $180M to $208MAug 11, 2023 to Mar 28, 2024
- HNW RAUM · $154M to $177MAug 11, 2023 to Mar 28, 2024
- Individual RAUM · $7.5M to $9.8MAug 11, 2023 to Mar 28, 2024
- Pension RAUM · $2.6M to $3.0MAug 11, 2023 to Mar 28, 2024
- RAUM · $180M to $208MAug 11, 2023 to Mar 28, 2024
- Accounts · 247 to 278Mar 23, 2022 to Mar 24, 2023
- Corporate clients · 7 to 8Mar 23, 2022 to Mar 24, 2023
- HNW clients · 51 to 50Mar 23, 2022 to Mar 24, 2023
- Individual clients · 32 to 34Mar 23, 2022 to Mar 24, 2023
- Pooled vehicle clients · 0.0 to unsetMar 23, 2022 to Mar 24, 2023
Signals
1 dated events
- P•••••••• • C• filed its initial SEC registration (Form ADV)Jul 14, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- D••••• C•••••• M••••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Principal office phone
- 540-687-4600reportedpublic record, Form ADV, Apr 28, 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
- $146Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026