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
M••••• W••••• S••••••••
Legal name N•• R•••• F•••••••• G••••• L••
Latest filing Feb 17, 2026
First filing on the tape Jun 16, 2022 · 5 filings
SEC status approved since Jul 29, 2022
RAUM
$377M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$377M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$75.4M
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$377M as of Feb 17, 2026
Mar 30, 2023$132M then
HNW client RAUM$156M as of Feb 17, 2026
Mar 30, 2023$20.0M then
State-registered IARs (5.B.3)5 as of Feb 17, 2026
Mar 30, 20234 then
Employees (5.A)10 as of Feb 17, 2026
Mar 30, 20237 then
Private funds: no history
RAUM +36% over the last fiscal year+42% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Feb 17, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $75.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 179derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $230,212derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +36%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +43%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Financial planning clients
- 896reportedItem 5.H
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$221M59%
- High-net-worth individuals$156M41%
- Charitable organizations$70,4590.0%
- Individual clients
- 798reported
- HNW clients
- 98reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 1,638reported
- Financial planning clients
- 896reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• S•••••• M••••• | Christiansburg, Va | May 9, 2016 | 17 y | 2 |
| T•••••• L•••• M••••• | Christiansburg, Va | May 4, 2017 | 11 y | 0 |
| S••••• C•••• B••••• | Christiansburg, Va | Mar 3, 2022 | 20 y | 1 |
| L•••••• K•••• F••••• | Christiansburg, Va | May 8, 2024 | 12 y | 0 |
| C•••• M•••••• B••• | Christiansburg, Va | May 10, 2024 | 11 y | 0 |
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
- S••••• C•••• B••••• from M••••• S••••••Mar 3, 2022 · Wirehouse to independent RIA
- J•••• S•••••• M••••• from V••• F•••••••• A•••••••• I•••May 9, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• J••••• S•••••• · Owner, Managing Member, And Ccocontrolsince 10/2011 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Christiansburg, Va · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Roanoke, VA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Feb 17, 2026RAUM (Item 5.F) moved from $276,562,734 to $377,087,213 (+36.0%) between the annual amendments of 2025-03-12 and 2026-02-17; the peer median change was +15.0% (4549 comparable advisers, 91.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 91% percentile
What changed
consecutive filings, newest first
- Accounts · 1,495 to 1,638Mar 12, 2025 to Feb 17, 2026
- HNW clients · 89 to 98Mar 12, 2025 to Feb 17, 2026
- Individual clients · 537 to 798Mar 12, 2025 to Feb 17, 2026
- Financial planning clients · 51-100 to More than 500Mar 12, 2025 to Feb 17, 2026
- Discretionary RAUM · $277M to $377MMar 12, 2025 to Feb 17, 2026
- HNW RAUM · $120M to $156MMar 12, 2025 to Feb 17, 2026
- Individual RAUM · $156M to $221MMar 12, 2025 to Feb 17, 2026
- RAUM · $277M to $377MMar 12, 2025 to Feb 17, 2026
- Accounts · 541 to 1,495Mar 26, 2024 to Mar 12, 2025
- Advisory employees · 2 to 5Mar 26, 2024 to Mar 12, 2025
- Advisory activities · 2 to 4Mar 26, 2024 to Mar 12, 2025
- Charity clients · 1.0 to unsetMar 26, 2024 to Mar 12, 2025
- HNW clients · 43 to 89Mar 26, 2024 to Mar 12, 2025
- Individual clients · 497 to 537Mar 26, 2024 to Mar 12, 2025
- Employees · 7 to 10Mar 26, 2024 to Mar 12, 2025
- Financial planning clients · 26-50 to 51-100Mar 26, 2024 to Mar 12, 2025
- State-registered IARs · 3 to 5Mar 26, 2024 to Mar 12, 2025
- Other offices · 1 to 2Mar 26, 2024 to Mar 12, 2025
- Discretionary RAUM · $184M to $277MMar 26, 2024 to Mar 12, 2025
- HNW RAUM · $59.3M to $120MMar 26, 2024 to Mar 12, 2025
- Individual RAUM · $125M to $156MMar 26, 2024 to Mar 12, 2025
- RAUM · $184M to $277MMar 26, 2024 to Mar 12, 2025
- Accounts · 458 to 541Mar 30, 2023 to Mar 26, 2024
- Advisory employees · 3 to 2Mar 30, 2023 to Mar 26, 2024
- Charity clients · 0 to 1Mar 30, 2023 to Mar 26, 2024
- HNW clients · 14 to 43Mar 30, 2023 to Mar 26, 2024
- Individual clients · 444 to 497Mar 30, 2023 to Mar 26, 2024
- State-registered IARs · 4 to 3Mar 30, 2023 to Mar 26, 2024
- Discretionary RAUM · $132M to $184MMar 30, 2023 to Mar 26, 2024
- HNW RAUM · $20.0M to $59.3MMar 30, 2023 to Mar 26, 2024
- Individual RAUM · $112M to $125MMar 30, 2023 to Mar 26, 2024
- RAUM · $132M to $184MMar 30, 2023 to Mar 26, 2024
- Accounts · 876 to 458Jun 16, 2022 to Mar 30, 2023
- HNW clients · 15 to 14Jun 16, 2022 to Mar 30, 2023
- Individual clients · 410 to 444Jun 16, 2022 to Mar 30, 2023
- Employees · 6 to 7Jun 16, 2022 to Mar 30, 2023
- State-registered IARs · 3 to 4Jun 16, 2022 to Mar 30, 2023
- Discretionary RAUM · $140M to $132MJun 16, 2022 to Mar 30, 2023
- HNW RAUM · $21.8M to $20.0MJun 16, 2022 to Mar 30, 2023
- Individual RAUM · $118M to $112MJun 16, 2022 to Mar 30, 2023
Signals
2 dated events
- M••••• W••••• S•••••••• reported RAUM $377.1M, up 36% from $276.6M (2025-03-12 to 2026-02-17)Feb 17, 2026 · RAUM change · derived
- M••••• W••••• S•••••••• filed its initial SEC registration (Form ADV)Jun 16, 2022 · 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
- Business email
- r•••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 540-639-4810reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 877-636-0317reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- w••.p•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 540-639-4810reportedpublic record, Form ADV, Feb 17, 2026
- Contact form
- p•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Team page
- p•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $75.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026