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

R••• C•••• W••••• P••••••• A•• A••••••• L••

Former SEC-registered adviserSilver Spring, MarylandCRD 298104SEC 801-115087IAPD
Latest filing Mar 29, 2024
First filing on the tape Mar 27, 2019 · 20 filings
RAUM
$50.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$50.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$50.2M as of Mar 29, 2024
Mar 27, 2020$25.7M then
HNW client RAUM$23.0M as of Apr 3, 2023
Mar 27, 2020$11.6M then
State-registered IARs (5.B.3)2 as of Mar 29, 2024
Mar 27, 20201 then
Employees (5.A)5 as of Mar 29, 2024
Mar 27, 20203 then
Private funds: no history
RAUM +25% over the last fiscal year+7.3% a year over threeIARs 2 to 2offices 2 to 0
Practice profile
derived from the filing of Mar 29, 2024; every figure names its basis
RAUM per advisor
$25.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$111,573derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+25%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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$50.1M100%
  • Charitable organizations$136,1440.3%
Individual clients
171reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
450reported
Financial planning clients
51-100reported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••• L••••• D• · Managing Member/Chief Compliance Officercontrol
      since 03/2019 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Silver Spring, Md · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 166 to 450
      Aug 2, 2023 to Mar 29, 2024
    • Advisory employees · 3 to 2
      Aug 2, 2023 to Mar 29, 2024
    • Charity clients · unset to 1.0
      Aug 2, 2023 to Mar 29, 2024
    • HNW clients · 37.0 to unset
      Aug 2, 2023 to Mar 29, 2024
    • Individual clients · 129 to 171
      Aug 2, 2023 to Mar 29, 2024
    • Other offices · 2 to 0
      Aug 2, 2023 to Mar 29, 2024
    • Discretionary RAUM · $40.3M to $50.2M
      Aug 2, 2023 to Mar 29, 2024
    • HNW RAUM · 22950354.0 to unset
      Aug 2, 2023 to Mar 29, 2024
    • Individual RAUM · $17.3M to $50.1M
      Aug 2, 2023 to Mar 29, 2024
    • RAUM · $40.3M to $50.2M
      Aug 2, 2023 to Mar 29, 2024
    • Accounts · 407 to 166
      Jun 9, 2022 to Apr 3, 2023
    • BD registered reps · 1 to 0
      Jun 9, 2022 to Apr 3, 2023
    • HNW clients · 48 to 37
      Jun 9, 2022 to Apr 3, 2023
    • Individual clients · 130 to 129
      Jun 9, 2022 to Apr 3, 2023
    • Employees · 4 to 5
      Jun 9, 2022 to Apr 3, 2023
    • State-registered IARs · 0 to 2
      Jun 9, 2022 to Apr 3, 2023
    • Other offices · 4 to 2
      Jun 9, 2022 to Apr 3, 2023
    • Discretionary RAUM · $37.8M to $40.3M
      Jun 9, 2022 to Apr 3, 2023
    • HNW RAUM · $650,247 to $23.0M
      Jun 9, 2022 to Apr 3, 2023
    • Individual RAUM · $37.8M to $17.3M
      Jun 9, 2022 to Apr 3, 2023
    • Non-discretionary RAUM · $650,247 to $0
      Jun 9, 2022 to Apr 3, 2023
    • RAUM · $38.5M to $40.3M
      Jun 9, 2022 to Apr 3, 2023
    • Related broker-dealer · true to false
      Jun 9, 2022 to Apr 3, 2023
    • Accounts · 285 to 407
      Apr 1, 2021 to Mar 30, 2022
    • HNW clients · 45 to 48
      Apr 1, 2021 to Mar 30, 2022
    • Individual clients · 100 to 130
      Apr 1, 2021 to Mar 30, 2022
    • Employees · 3 to 4
      Apr 1, 2021 to Mar 30, 2022
    • State-registered IARs · 3 to 0
      Apr 1, 2021 to Mar 30, 2022
    • Discretionary RAUM · $29.7M to $37.8M
      Apr 1, 2021 to Mar 30, 2022
    • HNW RAUM · $17.3M to $650,247
      Apr 1, 2021 to Mar 30, 2022
    • Individual RAUM · $13.1M to $37.8M
      Apr 1, 2021 to Mar 30, 2022
    • Non-discretionary RAUM · $11.0M to $650,247
      Apr 1, 2021 to Mar 30, 2022
    • Pension RAUM · 10284863.0 to unset
      Apr 1, 2021 to Mar 30, 2022
    • RAUM · $40.7M to $38.5M
      Apr 1, 2021 to Mar 30, 2022
    • Related broker-dealer · false to true
      Apr 1, 2021 to Mar 30, 2022
    • Accounts · 107 to 285
      Jan 21, 2021 to Apr 1, 2021
    • Advisory activities · 3 to 4
      Jan 21, 2021 to Apr 1, 2021
    • BD registered reps · 3 to 1
      Jan 21, 2021 to Apr 1, 2021
    • HNW clients · 6 to 45
      Jan 21, 2021 to Apr 1, 2021
    • Insurance-licensed employees · 1 to 0
      Jan 21, 2021 to Apr 1, 2021
    Signals
    2 dated events
    • L•••• D• B•••• left R••• C•••• W••••• P••••••• A•• A••••••• L•• for Farther (registered 2024-07-23)
      Oct 11, 2024 · Advisor changed firm · fact
    • R••• C•••• W••••• P••••••• A•• A••••••• L•• filed its initial SEC registration (Form ADV)
      Mar 27, 2019 · 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