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
E••••••• F•••••••• S•••••••• L•••
Latest filing Mar 24, 2026
First filing on the tape Sep 20, 2018 · 10 filings
SEC status approved since Oct 22, 2018
RAUM
$195M
reported, Item 5.F
Discretionary
49%
of RAUM
Private clients
35%
$67.8M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$65.1M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$195M as of Mar 24, 2026
Feb 25, 2019$1.1B then
HNW client RAUM$32.5M as of Mar 24, 2026
Feb 25, 2019$1.2M then
State-registered IARs (5.B.3)2 as of Mar 24, 2026
Feb 25, 20192 then
Employees (5.A)5 as of Mar 24, 2026
Feb 25, 20195 then
Private funds: no history
RAUM +77% over the last fiscal year-44% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $65.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $780,804derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 49%derivedof RAUM
- Institutional
- 65%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +77%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +42%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$127M65%
- Individuals$35.3M18%
- High-net-worth individuals$32.5M17%
- Charitable organizations$1,0000.0%
- Individual clients
- 227reported
- HNW clients
- 19reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 250reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.35 fund_share=0.0 institutional_share=0.65 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••••• X••••• U••• | Charlottesville, Va | Aug 4, 2017 | 13 y | 2 |
| X••••• J••• U••• | Charlottesville, Va | Feb 16, 2018 | 33 y | 2 |
| M•••••• X••••• U••• | Charlottesville, Va | Mar 23, 2026 | 12 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
- X••••• J••• U••• from C••••• I••••••••• G••••Feb 16, 2018 · Other
- A•••••••• X••••• U••• from S••••••••• C•••••• M•••••• A••••••• S•••••••• L••Aug 4, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- U•••• A••••••••• X••••• · Ceo/Cco/Managing Partnercontrolsince 04/2017 · owns 10% to 25%
- U•••• X•••••• J••• · Cio/Managing Partnercontrolsince 10/2017 · owns 25% to 50%
- U•••• M••••••• X••••• · Researcher/Nonmanaging Partnersince 04/2017 · owns 10% to 25%
- U•••• N•••••••• X••••• · Researcher/Nonmanaging Partnersince 04/2017 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Charlottesville, Va · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 24, 2026institutional share of RAUM of 65% against a peer median of 0% (5676 comparable advisers, 100.0th percentile, 21.9 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 100% percentile
- RAUM up 50 %Change between filings · filing Mar 24, 2026RAUM (Item 5.F) moved from $110,401,000 to $195,201,000 (+77.0%) between the annual amendments of 2025-01-29 and 2026-03-24; the peer median change was +15.0% (4550 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 176 to 250Jan 29, 2025 to Mar 24, 2026
- Advisory activities · 3 to 4Jan 29, 2025 to Mar 24, 2026
- HNW clients · 15 to 19Jan 29, 2025 to Mar 24, 2026
- Individual clients · 158 to 227Jan 29, 2025 to Mar 24, 2026
- Financial planning clients · 11-25 to 26-50Jan 29, 2025 to Mar 24, 2026
- Discretionary RAUM · $65.4M to $95.2MJan 29, 2025 to Mar 24, 2026
- HNW RAUM · $25.0M to $32.5MJan 29, 2025 to Mar 24, 2026
- Individual RAUM · $27.0M to $35.3MJan 29, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $45.0M to $100MJan 29, 2025 to Mar 24, 2026
- RAUM · $110M to $195MJan 29, 2025 to Mar 24, 2026
- Accounts · 167 to 176Mar 25, 2024 to Jan 29, 2025
- HNW clients · 10 to 15Mar 25, 2024 to Jan 29, 2025
- Individual clients · 150 to 158Mar 25, 2024 to Jan 29, 2025
- Financial planning clients · 11-25 to 11-25Mar 25, 2024 to Jan 29, 2025
- Discretionary RAUM · $194M to $65.4MMar 25, 2024 to Jan 29, 2025
- HNW RAUM · $16.0M to $25.0MMar 25, 2024 to Jan 29, 2025
- Individual RAUM · $26.0M to $27.0MMar 25, 2024 to Jan 29, 2025
- Non-discretionary RAUM · $916M to $45.0MMar 25, 2024 to Jan 29, 2025
- RAUM · $1.1B to $110MMar 25, 2024 to Jan 29, 2025
- Accounts · 134 to 167Feb 17, 2023 to Mar 25, 2024
- HNW clients · 7 to 10Feb 17, 2023 to Mar 25, 2024
- Individual clients · 120 to 150Feb 17, 2023 to Mar 25, 2024
- Discretionary RAUM · $171M to $194MFeb 17, 2023 to Mar 25, 2024
- HNW RAUM · $11.5M to $16.0MFeb 17, 2023 to Mar 25, 2024
- Individual RAUM · $14.6M to $26.0MFeb 17, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $935M to $916MFeb 17, 2023 to Mar 25, 2024
- RAUM · $1.1B to $1.1BFeb 17, 2023 to Mar 25, 2024
- Accounts · 93 to 134Feb 3, 2022 to Feb 17, 2023
- HNW clients · unset to 7.0Feb 3, 2022 to Feb 17, 2023
- Individual clients · 82 to 120Feb 3, 2022 to Feb 17, 2023
- Financial planning clients · 1-10 to 11-25Feb 3, 2022 to Feb 17, 2023
- Discretionary RAUM · $170M to $171MFeb 3, 2022 to Feb 17, 2023
- HNW RAUM · $5.3M to $11.5MFeb 3, 2022 to Feb 17, 2023
- Individual RAUM · $8.6M to $14.6MFeb 3, 2022 to Feb 17, 2023
- Non-discretionary RAUM · $917M to $935MFeb 3, 2022 to Feb 17, 2023
- RAUM · $1.1B to $1.1BFeb 3, 2022 to Feb 17, 2023
- Accounts · 58 to 93Apr 1, 2021 to Feb 3, 2022
- Individual clients · 50 to 82Apr 1, 2021 to Feb 3, 2022
- Discretionary RAUM · $167M to $170MApr 1, 2021 to Feb 3, 2022
- HNW RAUM · $1.2M to $5.3MApr 1, 2021 to Feb 3, 2022
Signals
3 dated events
- E••••••• F•••••••• S•••••••• L••• reported RAUM $110.4M, down 90% from $1.1B (2024-03-25 to 2025-01-29)Jan 29, 2025 · RAUM change · derived
- E••••••• F•••••••• S•••••••• L••• reported RAUM $1.1B, up 627% from $149.6M (2018-09-20 to 2019-02-25)Feb 25, 2019 · RAUM change · derived
- E••••••• F•••••••• S•••••••• L••• filed its initial SEC registration (Form ADV)Sep 20, 2018 · 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
- info@emergentfs.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 434-260-1690reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 434-260-1690reportedpublic record, Form ADV, Mar 24, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $65.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026