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
A•• F•••••••• G••••• L••
Latest filing Mar 28, 2024
First filing on the tape Jan 17, 2020 · 17 filings
RAUM
$245M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$236M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$245M as of Mar 28, 2024
Mar 12, 2021$411M then
HNW client RAUM$162M as of Mar 28, 2024
Mar 12, 2021$346M then
State-registered IARs (5.B.3)6 as of Mar 28, 2024
Mar 12, 20214 then
Employees (5.A)8 as of Mar 28, 2024
Mar 12, 20218 then
Private funds: no history
RAUM -44% over the last fiscal year-16% a year over threeIARs 4 to 6
Practice profile
derived from the filing of Mar 28, 2024; every figure names its basis
- RAUM per advisor
- $40.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $347,307derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -44%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -16%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $21.6M, 56 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$162M66%
- Individuals$74.2M30%
- Corporations and businesses$6.1M2.5%
- Charitable organizations$2.4M1.0%
- Individual clients
- 197reported
- HNW clients
- 71reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 705reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $41.4M managedreported
- Custody of client assets
- $21.6M for 56 clientsreported
- Compensation
- % of AUM, 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
Left, latest
- C••••••••• R••• V••••••••• to H•• I••••••••• P•••••••• L••Dec 31, 2024 · Other
- O••••• N•••••• D••••••• to H•• I••••••••• P•••••••• L••Dec 31, 2024 · Other
- A•• A••••• A••••• to H•• I••••••••• P•••••••• L••Dec 31, 2024 · Other
- J•••• W•••••• D••• to H•• I••••••••• P•••••••• L••Dec 31, 2024 · Other
- D••••• E•••••• E•••• to A•••••••Oct 7, 2021 · RIA to RIA
Joined, latest
- C••••••••• R••• V••••••••• from C••••••••• F•••••••• N••••••Feb 17, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- D••••• E•••••• E•••• from C••••••••• F•••••••• N••••••Feb 17, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- A•• A••••• A••••• from A•• F•••••••• G••••Feb 17, 2020 · Other
- J•••• W•••••• D••• from C••••••••• F•••••••• N••••••Feb 17, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for H•• I••••••••• P•••••••• L••Dec 31, 2024 · Bethesda, Md · Firm absorbed
- 3 joined from C••••••••• F•••••••• N••••••May 8, 2020 · Bethesda, Md
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• A••• A••••• · Chief Compliance Officercontrolsince 07/2009 · owns less than 5%
- A•••••• A••• A••••• · Managing Membercontrolsince 01/2010 · owns 75% or more of A•• A• A•••••• L••
- D•••• J••••• W•••••• · Director Of Financial Planningsince 01/2022 · owns less than 5%
- N••••••• O••••• · Director Of Operationssince 01/2022 · owns less than 5%
Entity owners
- A•• A• A•••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- A•• 4••• R••••••••• S••••••• L••LP sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bethesda, Md · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 907 to 705Feb 18, 2023 to Mar 28, 2024
- Advisory employees · 3 to 4Feb 18, 2023 to Mar 28, 2024
- Charity clients · 1.0 to unsetFeb 18, 2023 to Mar 28, 2024
- Corporate clients · 4.0 to unsetFeb 18, 2023 to Mar 28, 2024
- HNW clients · 120 to 71Feb 18, 2023 to Mar 28, 2024
- Individual clients · 198 to 197Feb 18, 2023 to Mar 28, 2024
- Pension plan clients · 2.0 to unsetFeb 18, 2023 to Mar 28, 2024
- Assets in custody · $150M to $21.6MFeb 18, 2023 to Mar 28, 2024
- State-registered IARs · 4 to 6Feb 18, 2023 to Mar 28, 2024
- Discretionary RAUM · $435M to $245MFeb 18, 2023 to Mar 28, 2024
- HNW RAUM · $359M to $162MFeb 18, 2023 to Mar 28, 2024
- Individual RAUM · $70.5M to $74.2MFeb 18, 2023 to Mar 28, 2024
- Pension RAUM · 5025675.0 to unsetFeb 18, 2023 to Mar 28, 2024
- RAUM · $435M to $245MFeb 18, 2023 to Mar 28, 2024
- Wrap assets (manager) · $123M to $41.4MFeb 18, 2023 to Mar 28, 2024
- Accounts · 885 to 907Oct 27, 2022 to Feb 18, 2023
- Advisory employees · 4 to 3Oct 27, 2022 to Feb 18, 2023
- HNW clients · 134 to 120Oct 27, 2022 to Feb 18, 2023
- Individual clients · 170 to 198Oct 27, 2022 to Feb 18, 2023
- Assets in custody · $124M to $150MOct 27, 2022 to Feb 18, 2023
- Financial planning clients · 51-100 to 101-250Oct 27, 2022 to Feb 18, 2023
- Discretionary RAUM · $506M to $435MOct 27, 2022 to Feb 18, 2023
- HNW RAUM · $434M to $359MOct 27, 2022 to Feb 18, 2023
- Individual RAUM · $64.9M to $70.5MOct 27, 2022 to Feb 18, 2023
- Pension RAUM · $4.3M to $5.0MOct 27, 2022 to Feb 18, 2023
- RAUM · $506M to $435MOct 27, 2022 to Feb 18, 2023
- Wrap assets (manager) · $140M to $123MOct 27, 2022 to Feb 18, 2023
- Accounts · 817 to 885May 3, 2021 to Mar 15, 2022
- Advisory employees · 5 to 4May 3, 2021 to Mar 15, 2022
- HNW clients · 114 to 134May 3, 2021 to Mar 15, 2022
- Assets in custody · $106M to $124MMay 3, 2021 to Mar 15, 2022
- Financial planning clients · 26-50 to 51-100May 3, 2021 to Mar 15, 2022
- Discretionary RAUM · $411M to $506MMay 3, 2021 to Mar 15, 2022
- HNW RAUM · $346M to $434MMay 3, 2021 to Mar 15, 2022
- Individual RAUM · $60.7M to $64.9MMay 3, 2021 to Mar 15, 2022
- Pension RAUM · $3.0M to $4.3MMay 3, 2021 to Mar 15, 2022
- RAUM · $411M to $506MMay 3, 2021 to Mar 15, 2022
- Wrap assets (manager) · $130M to $140MMay 3, 2021 to Mar 15, 2022
- Accounts · 998 to 817Jan 25, 2021 to Mar 12, 2021
- Charity clients · unset to 1.0Jan 25, 2021 to Mar 12, 2021
Signals
8 dated events
- C••••••••• R••• V••••••••• left A•• F•••••••• G••••• L•• for H•• I••••••••• P•••••••• L•• (registered 2023-10-06)Dec 31, 2024 · Advisor changed firm · fact
- J•••• W•••••• D••• left A•• F•••••••• G••••• L•• for H•• I••••••••• P•••••••• L•• (registered 2023-10-06)Dec 31, 2024 · Advisor changed firm · fact
- A•• A••••• A••••• left A•• F•••••••• G••••• L•• for H•• I••••••••• P•••••••• L•• (registered 2023-10-06)Dec 31, 2024 · Advisor changed firm · fact
- O••••• N•••••• D••••••• left A•• F•••••••• G••••• L•• for H•• I••••••••• P•••••••• L•• (registered 2023-10-06)Dec 31, 2024 · Advisor changed firm · fact
- A•• F•••••••• G••••• L••'s advisors moved to H•• I••••••••• P•••••••• L•• (Bethesda, MD): 4 of 4 registered, on the same dayDec 31, 2024 · Firm absorbed (people side) · derived
- A•• F•••••••• G••••• L•• reported RAUM $244.9M, down 44% from $435.4M (2023-02-18 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- A•• F•••••••• G••••• L•• reported RAUM $410.9M, up 32% from $310.7M (2021-01-25 to 2021-03-12)Mar 12, 2021 · RAUM change · derived
- A•• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)Jan 17, 2020 · 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