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
P••••••••• W••••• M•••••••••
Legal name P••••••••• W••••• M••••••••• L••
Latest filing Aug 27, 2026
First filing on the tape Mar 31, 2021 · 12 filings
SEC status approved since May 3, 2021
RAUM
$235M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$235M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$117M
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
12 filings and snapshots on the tape
RAUM$235M as of Aug 27, 2026
Feb 9, 2022$173M then
HNW client RAUM$209M as of Aug 27, 2026
Feb 9, 2022$157M then
State-registered IARs (5.B.3)2 as of Aug 27, 2026
Feb 9, 20223 then
Employees (5.A)3 as of Aug 27, 2026
Feb 9, 20224 then
Private funds: no history
RAUM +22% over the last fiscal year+7.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $117MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $484,342derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%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
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publicationsreportedItem 5.G
- Wrap fee program
- $223MreportedItem 5.I
- Custody
- $56.5M, 69 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$209M89%
- Individuals$25.6M11%
- Individual clients
- 77reported
- HNW clients
- 62reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 485reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $56.5M for 69 clientsreported
- Compensation
- % of AUM, fixed, 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•••••• J••• D•••••••Certified Financial Planner | Towson, Md | Dec 1, 2016 | 28 y | 4 |
| D•••••• D•••• | Towson, Md | Dec 5, 2025 | 13 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 headcount1 left over 36 months
Left, latest
- S•••••• V•••••• H•• to B••••••• C•••••• M••••••••• L••Jul 8, 2024 · RIA to a state-registered adviser
Joined, latest
- S•••••• V•••••• H•• from B••••••• C•••••• M•••••••••Oct 15, 2020 · Other
- E•••••• J••• D••••••• from F•••••••• A•••••••• I••••••••• M•••••••••Dec 1, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• E••••••• J••• · President / Ccocontrolsince 09/2005 · 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 |
|---|---|---|---|---|---|
| Towson, Md · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 451 to 485Mar 11, 2025 to Feb 24, 2026
- HNW clients · 55 to 62Mar 11, 2025 to Feb 24, 2026
- Assets in custody · $45.5M to $56.5MMar 11, 2025 to Feb 24, 2026
- Discretionary RAUM · $187M to $226MMar 11, 2025 to Feb 24, 2026
- HNW RAUM · $170M to $209MMar 11, 2025 to Feb 24, 2026
- Individual RAUM · $22.9M to $25.6MMar 11, 2025 to Feb 24, 2026
- Non-discretionary RAUM · $6.1M to $9.1MMar 11, 2025 to Feb 24, 2026
- RAUM · $193M to $235MMar 11, 2025 to Feb 24, 2026
- Accounts · 484 to 451Sep 11, 2024 to Mar 11, 2025
- Advisory employees · 3 to 2Sep 11, 2024 to Mar 11, 2025
- HNW clients · 64 to 55Sep 11, 2024 to Mar 11, 2025
- Individual clients · 78 to 77Sep 11, 2024 to Mar 11, 2025
- Assets in custody · $52.6M to $45.5MSep 11, 2024 to Mar 11, 2025
- Employees · 6 to 3Sep 11, 2024 to Mar 11, 2025
- Financial planning clients · 1-10 to 1-10Sep 11, 2024 to Mar 11, 2025
- State-registered IARs · 3 to 2Sep 11, 2024 to Mar 11, 2025
- Discretionary RAUM · $183M to $187MSep 11, 2024 to Mar 11, 2025
- HNW RAUM · $168M to $170MSep 11, 2024 to Mar 11, 2025
- Individual RAUM · $21.3M to $22.9MSep 11, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $6.0M to $6.1MSep 11, 2024 to Mar 11, 2025
- RAUM · $189M to $193MSep 11, 2024 to Mar 11, 2025
- Accounts · 462 to 484Mar 9, 2023 to Mar 15, 2024
- HNW clients · 66 to 64Mar 9, 2023 to Mar 15, 2024
- Individual clients · 79 to 78Mar 9, 2023 to Mar 15, 2024
- Assets in custody · $25.6M to $52.6MMar 9, 2023 to Mar 15, 2024
- Employees · 4 to 6Mar 9, 2023 to Mar 15, 2024
- Financial planning clients · 11-25 to 1-10Mar 9, 2023 to Mar 15, 2024
- Discretionary RAUM · $186M to $183MMar 9, 2023 to Mar 15, 2024
- HNW RAUM · $170M to $168MMar 9, 2023 to Mar 15, 2024
- Individual RAUM · $21.3M to $21.3MMar 9, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $5.4M to $6.0MMar 9, 2023 to Mar 15, 2024
- RAUM · $191M to $189MMar 9, 2023 to Mar 15, 2024
- Accounts · 449 to 462Feb 11, 2022 to Mar 9, 2023
- Individual clients · 57 to 79Feb 11, 2022 to Mar 9, 2023
- Assets in custody · unset to 25578000.0Feb 11, 2022 to Mar 9, 2023
- Custody of client assets · false to trueFeb 11, 2022 to Mar 9, 2023
- Financial planning clients · 1-10 to 11-25Feb 11, 2022 to Mar 9, 2023
- Discretionary RAUM · $168M to $186MFeb 11, 2022 to Mar 9, 2023
- HNW RAUM · $157M to $170MFeb 11, 2022 to Mar 9, 2023
- Individual RAUM · $16.0M to $21.3MFeb 11, 2022 to Mar 9, 2023
Signals
2 dated events
- S•••••• V•••••• H•• left P••••••••• W••••• M••••••••• for B••••••• C•••••• M••••••••• L•• (registered 2026-01-02)Jul 8, 2024 · Advisor changed firm · fact
- P••••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 31, 2021 · 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 phone
- 410-732-2633reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 877-807-2633reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- P•••••••••WM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (410) 732-2633reportedpublic record, Form ADV, Aug 27, 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
- $117Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026