DFX Intelligence
RIA Intelligence
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SEC-registered adviser
A•••• W••••• A••••••• L••
Latest filing Jan 20, 2026
First filing on the tape May 2, 2018 · 34 filings
SEC status approved since Jun 4, 2018
RAUM
$218M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
45%
$98.7M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$218M
derived; firm RAUM over IAPD count
Employees
1
1 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$218M as of Jan 20, 2026
Feb 8, 2019$64.7M then
HNW client RAUM$97.6M as of Jan 20, 2026
Feb 8, 2019$64.7M then
State-registered IARs (5.B.3)1 as of Jan 20, 2026
Feb 8, 20191 then
Employees (5.A)1 as of Jan 20, 2026
Feb 8, 20191 then
Private funds: no history
RAUM +9.8% over the last fiscal year+8.5% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $218MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.8MderivedHNW RAUM over HNW clients
- Average account
- $2.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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$97.6M79%
- Charitable organizations$24.2M20%
- Individuals$1.1M0.9%
- Individual clients
- 11reported
- HNW clients
- 10reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 79reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.45 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••••• J••••• F••••• | Charlottesville, Va | Jun 5, 2019 | 18 y | 1 |
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
- E••••• J••••• F••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 5, 2019 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• E•••••• J••••• · Managing Member & Chief Compliance Officercontrolsince 04/2018 · owns 75% or more
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 · 75 to 79Jan 31, 2025 to Jan 20, 2026
- Discretionary RAUM · $198M to $217MJan 31, 2025 to Jan 20, 2026
- HNW RAUM · $86.5M to $97.6MJan 31, 2025 to Jan 20, 2026
- Individual RAUM · $877,077 to $1.1MJan 31, 2025 to Jan 20, 2026
- Non-discretionary RAUM · $429,540 to $354,858Jan 31, 2025 to Jan 20, 2026
- RAUM · $198M to $218MJan 31, 2025 to Jan 20, 2026
- Accounts · 67 to 75Feb 5, 2024 to Jan 31, 2025
- HNW clients · 9 to 10Feb 5, 2024 to Jan 31, 2025
- Individual clients · 8 to 11Feb 5, 2024 to Jan 31, 2025
- Financial planning clients · unset to Feb 5, 2024 to Jan 31, 2025
- HQ city · unset to Feb 5, 2024 to Jan 31, 2025
- HQ state · unset to Feb 5, 2024 to Jan 31, 2025
- Discretionary RAUM · $180M to $198MFeb 5, 2024 to Jan 31, 2025
- HNW RAUM · $78.5M to $86.5MFeb 5, 2024 to Jan 31, 2025
- Individual RAUM · $1.1M to $877,077Feb 5, 2024 to Jan 31, 2025
- Non-discretionary RAUM · $854,033 to $429,540Feb 5, 2024 to Jan 31, 2025
- RAUM · $181M to $198MFeb 5, 2024 to Jan 31, 2025
- Accounts · 56 to 67Feb 3, 2023 to Feb 5, 2024
- HNW clients · 8 to 9Feb 3, 2023 to Feb 5, 2024
- Individual clients · 10 to 8Feb 3, 2023 to Feb 5, 2024
- Discretionary RAUM · $171M to $180MFeb 3, 2023 to Feb 5, 2024
- HNW RAUM · $71.8M to $78.5MFeb 3, 2023 to Feb 5, 2024
- Individual RAUM · $1.5M to $1.1MFeb 3, 2023 to Feb 5, 2024
- Non-discretionary RAUM · $0 to $854,033Feb 3, 2023 to Feb 5, 2024
- RAUM · $171M to $181MFeb 3, 2023 to Feb 5, 2024
- Accounts · 44 to 56Feb 28, 2022 to Feb 3, 2023
- Charity clients · 3 to 2Feb 28, 2022 to Feb 3, 2023
- HNW clients · 10 to 8Feb 28, 2022 to Feb 3, 2023
- Individual clients · 0 to 10Feb 28, 2022 to Feb 3, 2023
- Discretionary RAUM · $203M to $171MFeb 28, 2022 to Feb 3, 2023
- HNW RAUM · $102M to $71.8MFeb 28, 2022 to Feb 3, 2023
- Individual RAUM · $0 to $1.5MFeb 28, 2022 to Feb 3, 2023
- RAUM · $203M to $171MFeb 28, 2022 to Feb 3, 2023
- Accounts · 34 to 44Feb 16, 2021 to Feb 28, 2022
- Charity clients · 1 to 3Feb 16, 2021 to Feb 28, 2022
- HNW clients · 7 to 10Feb 16, 2021 to Feb 28, 2022
- Discretionary RAUM · $170M to $203MFeb 16, 2021 to Feb 28, 2022
- HNW RAUM · $97.4M to $102MFeb 16, 2021 to Feb 28, 2022
- RAUM · $170M to $203MFeb 16, 2021 to Feb 28, 2022
- Accounts · 41 to 34May 6, 2020 to Feb 16, 2021
Signals
3 dated events
- A•••• W••••• A••••••• L•• reported RAUM $104.7M, down 99% from $10.5B (2019-05-14 to 2019-05-21)May 21, 2019 · RAUM change · derived
- A•••• W••••• A••••••• L•• reported RAUM $10.5B, up 15479% from $67.2M (2019-03-20 to 2019-05-13)May 13, 2019 · RAUM change · derived
- A•••• W••••• A••••••• L•• filed its initial SEC registration (Form ADV)May 2, 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
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-997-9697reportedpublic record, Form ADV, Jan 20, 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
- $218Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026