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

W••••••••• A••••••• L••

Former SEC-registered adviserRustburg, VirginiaCRD 304427SEC 801-116947IAPD
Latest filing Mar 27, 2024
First filing on the tape Jun 12, 2019 · 10 filings
RAUM
$25.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$25.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
10 filings and snapshots on the tape
RAUM$25.0M as of Mar 27, 2024
Feb 19, 2020$0 then
HNW client RAUM$25.0M as of Mar 27, 2024
Mar 18, 2023$25.4M then
State-registered IARs (5.B.3)1 as of Mar 27, 2024
Feb 19, 20201 then
Employees (5.A)1 as of Mar 27, 2024
Feb 19, 20201 then
Private funds: no history
RAUM -1.6% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2024; every figure names its basis
RAUM per advisor
$25.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$25.0MderivedHNW RAUM over HNW clients
Average account
$25.0MderivedRAUM 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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-1.6%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
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
  • 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$25.0M100%
Individual clients
n/areported
HNW clients
1reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • R••••• C•••••• M•••• · President/Cco/Shareholdercontrol
    since 06/2019 · 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
Rustburg, Va · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • HNW clients · unset to 1.0
    Mar 18, 2023 to Mar 27, 2024
  • Discretionary RAUM · $25.4M to $25.0M
    Mar 18, 2023 to Mar 27, 2024
  • HNW RAUM · $25.4M to $25.0M
    Mar 18, 2023 to Mar 27, 2024
  • RAUM · $25.4M to $25.0M
    Mar 18, 2023 to Mar 27, 2024
  • Accounts · 0 to 1
    Nov 9, 2022 to Mar 18, 2023
  • Discretionary RAUM · $0 to $25.4M
    Nov 9, 2022 to Mar 18, 2023
  • HNW RAUM · unset to 25400000.0
    Nov 9, 2022 to Mar 18, 2023
  • RAUM · $0 to $25.4M
    Nov 9, 2022 to Mar 18, 2023
  • Business name · W••••••••• I••• to W••••••••• A••••••• L••
    Oct 20, 2022 to Nov 9, 2022
  • Legal name · W••••••••• I••• to W••••••••• A••••••• L••
    Oct 20, 2022 to Nov 9, 2022
  • Succession · true to false
    Oct 20, 2022 to Nov 9, 2022
  • Organization form · Corporation to Limited Liability Company
    Mar 21, 2022 to Oct 20, 2022
  • Succession · false to true
    Mar 21, 2022 to Oct 20, 2022
  • HQ city · CHESAPEAKE to RUSTBURG
    Jun 12, 2019 to Aug 21, 2019
Signals
3 dated events
  • C••••• M•••• R•••• left W••••••••• A••••••• L•• for R•••• W••••• M••••••••• (registered 2025-01-14)
    Dec 31, 2024 · Advisor changed firm · fact
  • W••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Oct 20, 2022 · Succession (Item 4) · fact
  • W••••••••• I••• filed its initial SEC registration (Form ADV)
    Jun 12, 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