DFX Intelligence

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Former SEC-registered adviser

P••••••••• W••••• M•••••••••

Former SEC-registered adviserCRD 305940SEC 801-117607IAPD

Legal name N•• A••••••••• L••

Latest filing Mar 10, 2021

First filing on the tape Oct 10, 2019 · 10 filings

RAUM

$11.3M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$11.3M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$11.3M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

10 filings and snapshots on the tape

RAUM$11.3M as of Mar 10, 2021

Mar 28, 2020$4.2M then

HNW client RAUM: $0

State-registered IARs (5.B.3)1 as of Mar 10, 2021

Mar 28, 20201 then

Employees (5.A)1 as of Mar 10, 2021

Mar 28, 20201 then

Private funds: no history

RAUM +168% over the last fiscal yearIARs 1 to 1

Practice profile

derived from the filing of Mar 10, 2021; every figure names its basis

RAUM per advisor: $11.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 53derivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: $212,302derivedRAUM 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: +168%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, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program: $11.3MreportedItem 5.I
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

Individuals$11.3M100%

Individual clients: 53reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 53reported
Financial planning clients: 1-10reported
Wrap fee programs: $11.3M sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
B•••• E•••••• B•••••	Port Haywood, Va	Nov 2, 2021	23 y	2

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

B•••• E•••••• B••••• from N••••••••• M••••• I••••••••• S•••••••••
Nov 26, 2019 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B•••••• B••••• E•••••• · Managing Member & Chief Compliance Officercontrol
since 09/2019 · owns 25% to 50%
B•••••• N••••••• M•••• · Membercontrol
since 09/2019 · owns 50% to 75%

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 · 32 to 53
Dec 14, 2020 to Mar 9, 2021
Charity clients · unset to 0.0
Dec 14, 2020 to Mar 9, 2021
Corporate clients · unset to 0.0
Dec 14, 2020 to Mar 9, 2021
HNW clients · unset to 0.0
Dec 14, 2020 to Mar 9, 2021
Individual clients · 32 to 53
Dec 14, 2020 to Mar 9, 2021
Pension plan clients · unset to 0.0
Dec 14, 2020 to Mar 9, 2021
Pooled vehicle clients · unset to 0.0
Dec 14, 2020 to Mar 9, 2021
Financial planning clients · 51-100 to 1-10
Dec 14, 2020 to Mar 9, 2021
HQ city · RICHMOND to unset
Dec 14, 2020 to Mar 9, 2021
HQ state · VA to unset
Dec 14, 2020 to Mar 9, 2021
Discretionary RAUM · $4.2M to $11.3M
Dec 14, 2020 to Mar 9, 2021
HNW RAUM · unset to 0.0
Dec 14, 2020 to Mar 9, 2021
Individual RAUM · $4.2M to $11.3M
Dec 14, 2020 to Mar 9, 2021
Pension RAUM · unset to 0.0
Dec 14, 2020 to Mar 9, 2021
Pooled vehicle RAUM · unset to 0.0
Dec 14, 2020 to Mar 9, 2021
RAUM · $4.2M to $11.3M
Dec 14, 2020 to Mar 9, 2021
Wrap assets (manager) · $1 to $0
Dec 14, 2020 to Mar 9, 2021
Wrap assets (sponsor) · $1 to $11.3M
Dec 14, 2020 to Mar 9, 2021
Accounts · 0 to 32
Jan 21, 2020 to Mar 28, 2020
Individual clients · unset to 32.0
Jan 21, 2020 to Mar 28, 2020
Financial planning clients · 0 to 51-100
Jan 21, 2020 to Mar 28, 2020
Discretionary RAUM · $0 to $4.2M
Jan 21, 2020 to Mar 28, 2020
Individual RAUM · unset to 4200000.0
Jan 21, 2020 to Mar 28, 2020
RAUM · $0 to $4.2M
Jan 21, 2020 to Mar 28, 2020
Legal name · P••••••••• W••••• M••••••••• to N•• A••••••••• L••
Dec 4, 2019 to Jan 3, 2020

Signals

1 dated events

P••••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)
Oct 10, 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: $11.3Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026