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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

C••••••• D••••• F••••••••• L••

Former SEC-registered adviserRichmond, VirginiaCRD 286640SEC 801-109951IAPD
Latest filing Mar 29, 2018
First filing on the tape Jan 30, 2017 · 5 filings
RAUM
$354M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$354M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$354M as of Mar 29, 2018
Jan 30, 2017$0 then
HNW client RAUM: $124M
State-registered IARs (5.B.3)2 as of Mar 29, 2018
Jan 30, 20170 then
Employees (5.A)4 as of Mar 29, 2018
Jan 30, 20171 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 29, 2018; every figure names its basis
RAUM per advisor
$177MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
262derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$673,962derivedHNW RAUM over HNW clients
Average account
$289,707derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Wrap fee program
$629MreportedItem 5.I
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$230M65%
  • High-net-worth individuals$124M35%
Individual clients
339reported
HNW clients
184reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,223reported
Financial planning clients
0reported
Wrap fee programs
$314M sponsored, $314M managedreported
Custody of client assets
noreported
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
Left, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• S•••• C•••• · Managing Membercontrol
        since 02/2017 · owns 75% or more
      • D•••••• T••••••• R• · Chief Compliance Officer And Membercontrol
        since 02/2017 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1,156 to 1,223
        Jul 20, 2017 to Mar 29, 2018
      • Advisory employees · 4 to 2
        Jul 20, 2017 to Mar 29, 2018
      • HNW clients · unset to 184.0
        Jul 20, 2017 to Mar 29, 2018
      • Individual clients · unset to 339.0
        Jul 20, 2017 to Mar 29, 2018
      • State-registered IARs · 4 to 2
        Jul 20, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Jul 20, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 124008964.0
        Jul 20, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 230302362.0
        Jul 20, 2017 to Mar 29, 2018
      • Non-discretionary RAUM · $311M to $354M
        Jul 20, 2017 to Mar 29, 2018
      • RAUM · $311M to $354M
        Jul 20, 2017 to Mar 29, 2018
      • Wrap assets (manager) · unset to 314272132.0
        Jul 20, 2017 to Mar 29, 2018
      • Wrap assets (sponsor) · unset to 314272132.0
        Jul 20, 2017 to Mar 29, 2018
      • Advisory employees · 2 to 4
        Jun 9, 2017 to Jul 20, 2017
      • BD registered reps · 2 to 4
        Jun 9, 2017 to Jul 20, 2017
      • Employees · 2 to 4
        Jun 9, 2017 to Jul 20, 2017
      • State-registered IARs · 2 to 4
        Jun 9, 2017 to Jul 20, 2017
      • Discretionary RAUM · $311M to $0
        Jun 9, 2017 to Jul 20, 2017
      • Non-discretionary RAUM · $0 to $311M
        Jun 9, 2017 to Jul 20, 2017
      • Accounts · 0 to 1,156
        Feb 17, 2017 to Jun 9, 2017
      • Business name · S•••• A•••••••• L•• to C••••••• D••••• F••••••••• L••
        Feb 17, 2017 to Jun 9, 2017
      • Legal name · S•••• A•••••••• L•• to C••••••• D••••• F••••••••• L••
        Feb 17, 2017 to Jun 9, 2017
      • Discretionary RAUM · $0 to $311M
        Feb 17, 2017 to Jun 9, 2017
      • RAUM · $0 to $311M
        Feb 17, 2017 to Jun 9, 2017
      • Advisory employees · 0 to 2
        Jan 30, 2017 to Feb 17, 2017
      • BD registered reps · 0 to 2
        Jan 30, 2017 to Feb 17, 2017
      • Employees · 1 to 2
        Jan 30, 2017 to Feb 17, 2017
      • HQ city · ENGLEWOOD to RICHMOND
        Jan 30, 2017 to Feb 17, 2017
      • HQ state · NJ to VA
        Jan 30, 2017 to Feb 17, 2017
      • State-registered IARs · 0 to 2
        Jan 30, 2017 to Feb 17, 2017
      Signals
      1 dated events
      • S•••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 30, 2017 · 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.
      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