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
S•••• F•••••••• A•••••••
Legal name S•••• F•••••••• A•••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Apr 11, 2025 · 3 filings
SEC status approved since Apr 28, 2025
RAUM
$147M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$147M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$49.0M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$147M as of Mar 17, 2026
Apr 11, 2025$116M then
HNW client RAUM$96.6M as of Mar 17, 2026
Apr 11, 2025$71.6M then
State-registered IARs (5.B.3)3 as of Mar 17, 2026
Apr 11, 20253 then
Employees (5.A)7 as of Mar 17, 2026
Apr 11, 20255 then
Private funds: no history
RAUM +27% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 17, 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
- RAUM per advisor
- $49.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $235,732derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, 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$96.6M66%
- Individuals$50.5M34%
- Individual clients
- 120reported
- HNW clients
- 44reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 624reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••••• K••••••• Z••••••• H•••••Certified Financial Planner | Richmond, Va | Jun 1, 2018 | 13 y | 1 |
| S•••••• A••••• G•••••Certified Financial Planner | Richmond, Va | Dec 12, 2022 | 22 y | 3 |
| M••••••• O•••••••Certified Financial Planner | Richmond, Va | Mar 18, 2024 | 11 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
- M••••••• O••••••• from V•••• F•••••••• P•••••••Mar 18, 2024 · RIA to RIA
- S•••••• A••••• G••••• from C••••• P••••••• L••Dec 12, 2022 · RIA to RIA
- L••••• K••••••• Z••••••• H••••• from E•••••••••Jun 1, 2018 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Richmond, Va · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 507 to 624Aug 4, 2025 to Mar 17, 2026
- HNW clients · 37 to 44Aug 4, 2025 to Mar 17, 2026
- Individual clients · 108 to 120Aug 4, 2025 to Mar 17, 2026
- Pension plan clients · 5.0 to unsetAug 4, 2025 to Mar 17, 2026
- Employees · 5 to 7Aug 4, 2025 to Mar 17, 2026
- Discretionary RAUM · $116M to $147MAug 4, 2025 to Mar 17, 2026
- HNW RAUM · $71.6M to $96.6MAug 4, 2025 to Mar 17, 2026
- Individual RAUM · $44.2M to $50.5MAug 4, 2025 to Mar 17, 2026
- Pension RAUM · 0.0 to unsetAug 4, 2025 to Mar 17, 2026
- RAUM · $116M to $147MAug 4, 2025 to Mar 17, 2026
Signals
No event on the tape.
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
- Firm profile
- linkedin.com/company/spark-financial-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S••••FINANCIALADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 804-451-1210reportedpublic record, Form ADV, Mar 17, 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
- $49.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026