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

C•• W•••••• L••

Former SEC-registered adviserRockville, MarylandCRD 290198SEC 801-111990IAPD
Latest filing Mar 15, 2024
First filing on the tape Oct 2, 2017 · 35 filings
RAUM
$659M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
97%
$640M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$9.4M gross assets
History
35 filings and snapshots on the tape
RAUM$659M as of Mar 15, 2024
Mar 2, 2018$344M then
HNW client RAUM$366M as of Mar 15, 2024
Mar 2, 2018$229M then
State-registered IARs (5.B.3)11 as of Mar 15, 2024
Mar 2, 20188 then
Employees (5.A)16 as of Mar 15, 2024
Mar 2, 201813 then
Private funds1 as of Mar 15, 2024
Mar 17, 20231 then
RAUM +20% over the last fiscal year+5.0% a year over threeIARs 11 to 11offices 3 to 1
Practice profile
derived from the filing of Mar 15, 2024; every figure names its basis
RAUM per advisor
$59.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
75derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$307,286derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
5.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.2%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$366M56%
  • Individuals$274M42%
  • Corporations and businesses$9.6M1.5%
  • Charitable organizations$7.4M1.1%
  • Pension and profit-sharing plans$2.2M0.3%
Individual clients
637reported
HNW clients
193reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2,144reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
C•• W••••• P•••••• C••••• F•••Other Private Fund$9.4M32Mar 17, 2023
Owners and control persons
Schedule A and B, latest filing
  • C••••••••• F••••• C•••• · Managing Partner And Chief Compliance Officercontrol
    since 11/2017 · owns less than 5%
  • F•••• M••••••• B•••• · Presidentcontrol
    since 11/2017 · owns less than 5%
  • W••••••••• R•••• B•••• · Chief Executive Officercontrol
    since 11/2017 · owns less than 5%
Entity owners
  • C•• W••••• H•••••••• L•• · Managing Member
    direct · owns 75% or more
  • A•••••• H•••••••• L•• · Owner
    indirect · owns 75% or more of C•• W••••• H•••••••• L••
Related persons
Schedule D 7.A
  • C•• R••• M••••••••• G••••• L••
    real estaten
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Owing Mills, Md000
Rockville, Md · principal000
Toms River, Nj000
Owings Mills, Md000
Offices
Schedule D 1.F, the 25 largest
  • Owings Mills, MD3 employees
What changed
consecutive filings, newest first
  • Accounts · 2,029 to 2,144
    Nov 17, 2023 to Mar 15, 2024
  • Corporate clients · 7 to 6
    Nov 17, 2023 to Mar 15, 2024
  • HNW clients · 187 to 193
    Nov 17, 2023 to Mar 15, 2024
  • Individual clients · 602 to 637
    Nov 17, 2023 to Mar 15, 2024
  • Financial planning clients · 101-250 to 251-500
    Nov 17, 2023 to Mar 15, 2024
  • Other offices · 2 to 1
    Nov 17, 2023 to Mar 15, 2024
  • Discretionary RAUM · $544M to $650M
    Nov 17, 2023 to Mar 15, 2024
  • HNW RAUM · $322M to $366M
    Nov 17, 2023 to Mar 15, 2024
  • Individual RAUM · $214M to $274M
    Nov 17, 2023 to Mar 15, 2024
  • Non-discretionary RAUM · $7.0M to $8.6M
    Nov 17, 2023 to Mar 15, 2024
  • Pension RAUM · $1.6M to $2.2M
    Nov 17, 2023 to Mar 15, 2024
  • RAUM · $551M to $659M
    Nov 17, 2023 to Mar 15, 2024
  • Other offices · 3 to 2
    Sep 12, 2023 to Nov 17, 2023
  • Accounts · 1,890 to 2,029
    Oct 6, 2022 to Mar 17, 2023
  • BD registered reps · 3 to 2
    Oct 6, 2022 to Mar 17, 2023
  • Corporate clients · 6 to 7
    Oct 6, 2022 to Mar 17, 2023
  • HNW clients · 201 to 187
    Oct 6, 2022 to Mar 17, 2023
  • Individual clients · 570 to 602
    Oct 6, 2022 to Mar 17, 2023
  • Assets in custody · 73742558.0 to unset
    Oct 6, 2022 to Mar 17, 2023
  • Custody of client assets · true to false
    Oct 6, 2022 to Mar 17, 2023
  • Employees · 15 to 16
    Oct 6, 2022 to Mar 17, 2023
  • Private funds · unset to 1
    Oct 6, 2022 to Mar 17, 2023
  • Discretionary RAUM · $740M to $544M
    Oct 6, 2022 to Mar 17, 2023
  • HNW RAUM · $502M to $322M
    Oct 6, 2022 to Mar 17, 2023
  • Individual RAUM · $228M to $214M
    Oct 6, 2022 to Mar 17, 2023
  • Non-discretionary RAUM · $9.5M to $7.0M
    Oct 6, 2022 to Mar 17, 2023
  • Pension RAUM · $3.1M to $1.6M
    Oct 6, 2022 to Mar 17, 2023
  • RAUM · $750M to $551M
    Oct 6, 2022 to Mar 17, 2023
  • Accounts · 1,678 to 1,890
    Dec 2, 2021 to Mar 9, 2022
  • Corporate clients · unset to 6.0
    Dec 2, 2021 to Mar 9, 2022
  • HNW clients · 186 to 201
    Dec 2, 2021 to Mar 9, 2022
  • Individual clients · 511 to 570
    Dec 2, 2021 to Mar 9, 2022
  • Other offices · 2 to 3
    Dec 2, 2021 to Mar 9, 2022
  • Discretionary RAUM · $550M to $740M
    Dec 2, 2021 to Mar 9, 2022
  • HNW RAUM · $379M to $502M
    Dec 2, 2021 to Mar 9, 2022
  • Individual RAUM · $174M to $228M
    Dec 2, 2021 to Mar 9, 2022
  • Non-discretionary RAUM · $18.9M to $9.5M
    Dec 2, 2021 to Mar 9, 2022
  • Pension RAUM · $1.1M to $3.1M
    Dec 2, 2021 to Mar 9, 2022
  • RAUM · $569M to $750M
    Dec 2, 2021 to Mar 9, 2022
  • Accounts · 1,513 to 1,678
    Oct 8, 2020 to Mar 3, 2021
Signals
18 dated events
  • S•••••• M•••••• E••••••• left C•• W•••••• L•• for C•••••• A••• P••••••• G•••• (registered 2024-10-17)
    Dec 31, 2024 · Advisor changed firm · fact
  • R•••••• S••••• S•••••••• left C•• W•••••• L•• for A•••••• W••••• M••••••••• L•• (registered 2024-10-07)
    Dec 31, 2024 · Advisor changed firm · fact
  • A••••• L•••• P•••• left C•• W•••••• L•• for A•••••• W••••• M••••••••• L•• (registered 2024-10-07)
    Dec 31, 2024 · Advisor changed firm · fact
  • D•••••• F••••• left C•• W•••••• L•• for W••••• M••• E••••••••• I••• (registered 2024-08-28)
    Dec 31, 2024 · Advisor changed firm · fact
  • R••• B•••• W•••••••• left C•• W•••••• L•• for A•••••• W••••• M••••••••• L•• (registered 2024-10-07)
    Dec 31, 2024 · Advisor changed firm · fact
  • D••• P•••••••• W••••• left C•• W•••••• L•• for A•••••• W••••• M••••••••• L•• (registered 2024-10-10)
    Dec 31, 2024 · Advisor changed firm · fact
  • B•••• M• D•••• left C•• W•••••• L•• for A•••••• W••••• M••••••••• L•• (registered 2024-10-07)
    Dec 31, 2024 · Advisor changed firm · fact
  • M•••••• B•••• F••• left C•• W•••••• L•• for A•••••• W••••• M••••••••• L•• (registered 2024-10-07)
    Dec 31, 2024 · Advisor changed firm · fact
  • F•••• C•••• C•••••••• left C•• W•••••• L•• for A•••••• W••••• M••••••••• L•• (registered 2024-10-07)
    Dec 31, 2024 · Advisor changed firm · fact
  • D••••• J•••• P••••••• left C•• W•••••• L•• for A•••••• W••••• M••••••••• L•• (registered 2024-10-07)
    Dec 31, 2024 · Advisor changed firm · fact
  • C•• W•••••• L••'s advisors moved to A•••••• W••••• M••••••••• L•• (Rockville, MD): 7 of 10 registered, on the same day
    Dec 31, 2024 · Firm absorbed (people side) · derived
  • C••••• E••••••• S••••• left C•• W•••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2023-12-06)
    Nov 17, 2023 · Advisor changed firm · fact
  • C•• W•••••• L•• reported RAUM $550.9M, down 27% from $749.9M (2022-10-06 to 2023-03-17)
    Mar 17, 2023 · RAUM change · derived
  • K••••••• G•••• N••••• left C•• W•••••• L•• for K••••• A••••••• S•••••••• L•• (registered 2022-07-01)
    Jun 17, 2022 · Advisor changed firm · fact
  • J•••• E• R•••••• left C•• W•••••• L•• for Intentional (registered 2026-01-01)
    Mar 9, 2022 · Advisor changed firm · fact
  • C•• W•••••• L•• reported RAUM $749.9M, up 32% from $568.5M (2021-12-02 to 2022-03-09)
    Mar 9, 2022 · RAUM change · derived
  • Brian Andrew Goodman (Chief Investment Officer) no longer on Schedule A of C•• W•••••• L•• (listed 2019-08-22, absent 2019-11-15)
    Nov 15, 2019 · Control person left · inference
  • A•••••• F••••••••• L•• filed its initial SEC registration (Form ADV)
    Oct 2, 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