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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SEC-registered adviser
F••••••••• W••••• M••••••••• I•••
Latest filing Sep 15, 2026
First filing on the tape Jan 6, 2026 · 3 filings
SEC status approved since Jan 15, 2026
RAUM
$124M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$124M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$17.6M
derived; firm RAUM over IAPD count
Employees
13
6 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$124M as of Mar 23, 2026
Jan 6, 2026$114M then
HNW client RAUM$77.9M as of Mar 23, 2026
Jan 6, 2026$59.1M then
State-registered IARs (5.B.3)6 as of Mar 23, 2026
Jan 6, 20264 then
Employees (5.A)13 as of Mar 23, 2026
Jan 6, 20267 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 15, 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
- RAUM per advisor
- $17.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $949,409derivedHNW RAUM over HNW clients
- Average account
- $194,873derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 1.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
- High-net-worth individuals$77.9M63%
- Individuals$45.7M37%
- Individual clients
- 552reported
- HNW clients
- 82reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 634reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• J••••• L••••••• | Chesapeake, Va | Jun 1, 2021 | 14 y | 1 |
| J•••• P•••••••• L••••••• | Chesapeake, Va | Dec 1, 2021 | 23 y | 5 |
| R••••• J••••• S•••••• | Chesapeake, Va | May 12, 2023 | 16 y | 0 |
| T•••••• J••• F••••••••• | Chesapeake, Va | Aug 5, 2025 | 18 y | 0 |
| M•••••• H••••• S••••••Chartered Financial Consultant | Virginia Beach, Va | Nov 24, 2025 | 43 y | 4 |
| M•••••• C••••••••• N•••••• | Chesapeake, Va | Mar 10, 2026 | 11 y | 0 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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••••••• A• G•••••• from P•••• F••••••••Feb 9, 2026 · Other
- M•••••• H••••• S•••••• from T••••• A•••• M••••••••• L••Nov 24, 2025 · RIA to RIA
- J•••• P•••••••• L••••••• from A• W••••• M••••••••• L••Dec 1, 2021 · Affiliated broker-dealer or bank to independent RIA
- B•••• J••••• L••••••• from A• W••••• M••••••••• L••Jun 1, 2021 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••••• T••••••• J••• · Chief Executive Officercontrolsince 12/2020 · owns 75% or more
- S•••••• L••••• M•••••• · Chief Compliance Officersince 09/2025 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Chesapeake, Va · principal | 7 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 251-500 to 251-500Mar 23, 2026 to Sep 15, 2026
- Succession · false to unsetMar 23, 2026 to Sep 15, 2026
- Accounts · 428 to 634Jan 6, 2026 to Mar 23, 2026
- Advisory employees · 4 to 6Jan 6, 2026 to Mar 23, 2026
- Advisory activities · 4 to 3Jan 6, 2026 to Mar 23, 2026
- HNW clients · 64 to 82Jan 6, 2026 to Mar 23, 2026
- Individual clients · 364 to 552Jan 6, 2026 to Mar 23, 2026
- Employees · 7 to 13Jan 6, 2026 to Mar 23, 2026
- State-registered IARs · 4 to 6Jan 6, 2026 to Mar 23, 2026
- Discretionary RAUM · $114M to $124MJan 6, 2026 to Mar 23, 2026
- HNW RAUM · $59.1M to $77.9MJan 6, 2026 to Mar 23, 2026
- Individual RAUM · $54.7M to $45.7MJan 6, 2026 to Mar 23, 2026
- RAUM · $114M to $124MJan 6, 2026 to Mar 23, 2026
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
- 305-938-0423reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 757-961-0700reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- f•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 757-961-0700reportedpublic record, Form ADV, Sep 15, 2026
- Contact form
- f•••••••••.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
- $17.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026