DFX Intelligence
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SEC-registered adviser
C••••••• F••••••••
Legal name C••••••• F•••••••• G••••• L••
Latest filing Feb 27, 2026
First filing on the tape Apr 30, 2025 · 4 filings
SEC status approved since Apr 30, 2025
RAUM
$136M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$134M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$67.8M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$136M as of Feb 27, 2026
Apr 30, 2025$103M then
HNW client RAUM$113M as of Feb 27, 2026
Apr 30, 2025$78.4M then
State-registered IARs (5.B.3)2 as of Feb 27, 2026
Apr 30, 20251 then
Employees (5.A)2 as of Feb 27, 2026
Apr 30, 20252 then
Private funds: no history
RAUM +31% over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Feb 27, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $67.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 92derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $227,793derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -32%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, 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
- is an insurance broker or agent (6.A.6)
- 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$113M83%
- Individuals$21.5M16%
- Corporations and businesses$1.1M0.8%
- Individual clients
- 88reported
- HNW clients
- 96reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 595reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••••••• N••••• C••••••• | Severna Park, Md | Nov 27, 2019 | 19 y | 1 |
| D•••• J•••• B••••Certified Financial Planner | Severna Park, Md | Oct 29, 2024 | 11 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
- F•••••••• N••••• C••••••• from N••••••••• M••••• I••••••••• S•••••••••Nov 27, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• F••••••••• N••••• · Managing Member/Chief Compliance Officercontrolsince 01/2019 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Severna Park, Md · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Feb 27, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $103,156,687 to $135,536,632, advisors 1 to 2, private clients 270 to 184, offices 0 to 0 (2025-04-30 to 2026-02-27)peers: independent wealth managers, $100M to $500M (5,679)
What changed
consecutive filings, newest first
- Accounts · 643 to 595Aug 25, 2025 to Feb 27, 2026
- Advisory employees · 1 to 2Aug 25, 2025 to Feb 27, 2026
- HNW clients · 144 to 96Aug 25, 2025 to Feb 27, 2026
- Individual clients · 126 to 88Aug 25, 2025 to Feb 27, 2026
- State-registered IARs · 1 to 2Aug 25, 2025 to Feb 27, 2026
- Discretionary RAUM · $102M to $135MAug 25, 2025 to Feb 27, 2026
- HNW RAUM · $78.4M to $113MAug 25, 2025 to Feb 27, 2026
- Individual RAUM · $24.0M to $21.5MAug 25, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $1.4M to $528,443Aug 25, 2025 to Feb 27, 2026
- RAUM · $103M to $136MAug 25, 2025 to Feb 27, 2026
- Financial planning clients · 101-250 to 101-250Apr 30, 2025 to May 13, 2025
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
- Business phone
- 410-793-5210reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Feb 27, 2026
- Principal office phone
- 410-793-5210reportedpublic record, Form ADV, Feb 27, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $67.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026