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
D•••••••• P•••••••
Legal name D•••••••• P•••••••• L••
Latest filing Jan 10, 2026
First filing on the tape Dec 14, 2016 · 34 filings
SEC status approved since Apr 23, 2018
RAUM
$423M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$423M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$423M as of Jan 10, 2026
Jan 16, 2019$106M then
HNW client RAUM$403M as of Jan 10, 2026
Jan 16, 2019$81.4M then
State-registered IARs (5.B.3)4 as of Jan 10, 2026
Jan 16, 20192 then
Employees (5.A)8 as of Jan 10, 2026
Jan 16, 20195 then
Private funds: no history
RAUM +31% over the last fiscal year+29% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jan 10, 2026; every figure names its basis
- RAUM per advisor
- $106MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $440,682derivedRAUM 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
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Custody
- $169M, 237 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$403M95%
- Individuals$20.6M4.9%
- Individual clients
- 68reported
- HNW clients
- 200reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 960reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $169M for 237 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
- A•• P•••••• A••••••••• to E• W••••• A•••••••Apr 23, 2026 · RIA to RIA
- M•••••• B••••• B•••• to E• W••••• A•••••••Apr 23, 2026 · RIA to RIA
- J••••• R••••• S•••••••• to E• W••••• A•••••••Apr 23, 2026 · RIA to RIA
- K•••• M•••••• H•••••• to E• W••••• A•••••••Apr 23, 2026 · RIA to RIA
Joined, latest
- J••••• R••••• S•••••••• from W•••••••• F•••••••• A•••••••Jan 3, 2022 · RIA to RIA
- A•• P•••••• A••••••••• from H• B•••• I•••Jan 9, 2017 · Other
- M•••••• B••••• B•••• from H• B•••• I•••Jan 9, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for E• W••••• A•••••••Apr 23, 2026 · Bethesda, Md
- 2 left for E• W••••• A•••••••Apr 23, 2026 · Suffolk, Va
- 2 joined from H• B•••• I•••Feb 9, 2017 · Bethesda, Md
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• A••• P•••••• · Managing Membercontrolsince 01/2017 · owns 50% to 75%
- B••••• M••••••• B••••• · Managing Member & Chief Compliance Officercontrolsince 01/2017 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Bethesda, Md · principal | 0 | 0 | 2 | 1 | |
| Mouth Of Wilson, Va | 0 | 0 | 1 | ||
| Suffolk, Va | 0 | 0 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 895 to 960Jan 10, 2025 to Jan 10, 2026
- HNW clients · 196 to 200Jan 10, 2025 to Jan 10, 2026
- Individual clients · 65 to 68Jan 10, 2025 to Jan 10, 2026
- Assets in custody · $127M to $169MJan 10, 2025 to Jan 10, 2026
- Employees · 10 to 8Jan 10, 2025 to Jan 10, 2026
- Financial planning clients · 51-100 to 26-50Jan 10, 2025 to Jan 10, 2026
- Discretionary RAUM · $323M to $423MJan 10, 2025 to Jan 10, 2026
- HNW RAUM · $306M to $403MJan 10, 2025 to Jan 10, 2026
- Individual RAUM · $17.6M to $20.6MJan 10, 2025 to Jan 10, 2026
- RAUM · $323M to $423MJan 10, 2025 to Jan 10, 2026
- Accounts · 834 to 895Aug 9, 2024 to Jan 10, 2025
- HNW clients · 182 to 196Aug 9, 2024 to Jan 10, 2025
- Individual clients · 73 to 65Aug 9, 2024 to Jan 10, 2025
- Assets in custody · $194M to $127MAug 9, 2024 to Jan 10, 2025
- Employees · 9 to 10Aug 9, 2024 to Jan 10, 2025
- Financial planning clients · 51-100 to 51-100Aug 9, 2024 to Jan 10, 2025
- Discretionary RAUM · $257M to $323MAug 9, 2024 to Jan 10, 2025
- HNW RAUM · $238M to $306MAug 9, 2024 to Jan 10, 2025
- Individual RAUM · $19.6M to $17.6MAug 9, 2024 to Jan 10, 2025
- RAUM · $257M to $323MAug 9, 2024 to Jan 10, 2025
- Accounts · 768 to 834Nov 27, 2023 to Jan 25, 2024
- HNW clients · 163 to 182Nov 27, 2023 to Jan 25, 2024
- Individual clients · 76 to 73Nov 27, 2023 to Jan 25, 2024
- Assets in custody · $187M to $194MNov 27, 2023 to Jan 25, 2024
- Employees · 8 to 9Nov 27, 2023 to Jan 25, 2024
- Discretionary RAUM · $198M to $257MNov 27, 2023 to Jan 25, 2024
- HNW RAUM · $179M to $238MNov 27, 2023 to Jan 25, 2024
- Individual RAUM · $18.7M to $19.6MNov 27, 2023 to Jan 25, 2024
- RAUM · $198M to $257MNov 27, 2023 to Jan 25, 2024
- Accounts · 705 to 768Feb 8, 2022 to Jan 24, 2023
- HNW clients · 143 to 163Feb 8, 2022 to Jan 24, 2023
- Individual clients · 89 to 76Feb 8, 2022 to Jan 24, 2023
- Assets in custody · $194M to $187MFeb 8, 2022 to Jan 24, 2023
- Employees · 7 to 8Feb 8, 2022 to Jan 24, 2023
- Other offices · 1 to 0Feb 8, 2022 to Jan 24, 2023
- Discretionary RAUM · $200M to $198MFeb 8, 2022 to Jan 24, 2023
- HNW RAUM · $178M to $179MFeb 8, 2022 to Jan 24, 2023
- Individual RAUM · $22.5M to $18.7MFeb 8, 2022 to Jan 24, 2023
- RAUM · $200M to $198MFeb 8, 2022 to Jan 24, 2023
- Accounts · 664 to 705Jul 13, 2021 to Feb 8, 2022
Signals
8 dated events
- D•••••••• P••••••• no longer on the SEC adviser roster (last listed 2026-04-01, RAUM $423.1M)May 1, 2026 · Left the SEC roster · derived
- K•••• M•••••• H•••••• left D•••••••• P••••••• for E• W••••• A••••••• (registered 2026-03-27)Apr 23, 2026 · Advisor changed firm · fact
- 2 advisors left D•••••••• P••••••• (Bethesda, MD) for E• W••••• A••••••• on the same dayApr 23, 2026 · Team lift-out · derived
- J••••• R••••• S•••••••• left D•••••••• P••••••• for E• W••••• A••••••• (registered 2026-03-27)Apr 23, 2026 · Advisor changed firm · fact
- A•• P•••••• A••••••••• left D•••••••• P••••••• for E• W••••• A••••••• (registered 2026-03-27)Apr 23, 2026 · Advisor changed firm · fact
- M•••••• B••••• B•••• left D•••••••• P••••••• for E• W••••• A••••••• (registered 2026-03-27)Apr 23, 2026 · Advisor changed firm · fact
- 2 advisors left D•••••••• P••••••• (Suffolk, VA) for E• W••••• A••••••• on the same dayApr 23, 2026 · Team lift-out · derived
- D•••••••• P••••••• filed its initial SEC registration (Form ADV)Dec 14, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- D•••••••• P•••••••, LLC · Family Officesshared cik · office
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