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
C••• A•••• M••••••••• L••
Latest filing Sep 1, 2026
First filing on the tape Jul 6, 2021 · 11 filings
SEC status approved since Aug 6, 2021
RAUM
$128M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$119M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$128M
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
11 filings and snapshots on the tape
RAUM$122M as of May 18, 2026
Jan 11, 2022$135M then
HNW client RAUM$114M as of May 18, 2026
Jan 11, 2022$115M then
State-registered IARs (5.B.3)1 as of May 18, 2026
Jan 11, 20221 then
Employees (5.A)1 as of May 18, 2026
Jan 11, 20221 then
Private funds: no history
RAUM -7.3% over the last fiscal year+5.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 1, 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
- $128MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.7%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
- -2.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$119M93%
- Corporations and businesses$7.7M6.0%
- Charitable organizations$899,4160.7%
- Individual clients
- n/areported
- HNW clients
- 42reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 65reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.01 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• G••••• A••••• | Charlottesville, Va | Aug 23, 2018 | 10 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• J••••• G••••• · Managing Member/Chief Compliance Officercontrolsince 05/2018 · 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 · 66 to 65May 18, 2026 to Sep 1, 2026
- HNW clients · 43 to 42May 18, 2026 to Sep 1, 2026
- Financial planning clients · 0 to 0May 18, 2026 to Sep 1, 2026
- Discretionary RAUM · $122M to $128MMay 18, 2026 to Sep 1, 2026
- HNW RAUM · $114M to $119MMay 18, 2026 to Sep 1, 2026
- RAUM · $122M to $128MMay 18, 2026 to Sep 1, 2026
- Related adviser · false to unsetMay 18, 2026 to Sep 1, 2026
- Related bank · false to unsetMay 18, 2026 to Sep 1, 2026
- Related broker-dealer · false to unsetMay 18, 2026 to Sep 1, 2026
- Related insurance company · false to unsetMay 18, 2026 to Sep 1, 2026
- Succession · false to unsetMay 18, 2026 to Sep 1, 2026
- Accounts · 71 to 66Jan 26, 2026 to May 18, 2026
- Advisory activities · 2 to 3Jan 26, 2026 to May 18, 2026
- HNW clients · 47 to 43Jan 26, 2026 to May 18, 2026
- Financial planning clients · to 0Jan 26, 2026 to May 18, 2026
- Discretionary RAUM · $135M to $122MJan 26, 2026 to May 18, 2026
- HNW RAUM · $126M to $114MJan 26, 2026 to May 18, 2026
- RAUM · $135M to $122MJan 26, 2026 to May 18, 2026
- Accounts · 72 to 71Sep 8, 2025 to Jan 26, 2026
- Discretionary RAUM · $142M to $135MSep 8, 2025 to Jan 26, 2026
- HNW RAUM · $133M to $126MSep 8, 2025 to Jan 26, 2026
- RAUM · $142M to $135MSep 8, 2025 to Jan 26, 2026
- Accounts · 74 to 72Jan 14, 2025 to Sep 8, 2025
- Corporate clients · 4 to 3Jan 14, 2025 to Sep 8, 2025
- HNW clients · 45 to 47Jan 14, 2025 to Sep 8, 2025
- Individual clients · 2.0 to unsetJan 14, 2025 to Sep 8, 2025
- Discretionary RAUM · $138M to $142MJan 14, 2025 to Sep 8, 2025
- HNW RAUM · $118M to $133MJan 14, 2025 to Sep 8, 2025
- Individual RAUM · 1599529.0 to unsetJan 14, 2025 to Sep 8, 2025
- RAUM · $138M to $142MJan 14, 2025 to Sep 8, 2025
- Accounts · 75 to 74Jan 19, 2024 to Jan 14, 2025
- Financial planning clients · unset to Jan 19, 2024 to Jan 14, 2025
- Discretionary RAUM · $125M to $138MJan 19, 2024 to Jan 14, 2025
- HNW RAUM · $107M to $118MJan 19, 2024 to Jan 14, 2025
- Individual RAUM · $1.5M to $1.6MJan 19, 2024 to Jan 14, 2025
- RAUM · $125M to $138MJan 19, 2024 to Jan 14, 2025
- Accounts · 79 to 75Jun 8, 2023 to Jan 19, 2024
- Corporate clients · 5 to 4Jun 8, 2023 to Jan 19, 2024
- HNW clients · 47 to 45Jun 8, 2023 to Jan 19, 2024
- Discretionary RAUM · $116M to $125MJun 8, 2023 to Jan 19, 2024
Signals
1 dated events
- C••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 6, 2021 · 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 phone
- 434-285-0879reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/clioamreportedpublic record, Form ADV, Sep 19, 2026
- Website
- c•••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 434-329-7463reportedpublic record, Form ADV, Sep 1, 2026
- Contact form
- c•••••.comreportedpublished by the firm, firm site, Sep 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
- $128Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026