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.

Former SEC-registered adviser

Monocacy Wealth Management, LLC

Former SEC-registered adviserFrederick, MarylandCRD 315979SEC 801-122100IAPD
Latest filing Jan 3, 2022
First filing on the tape Jul 16, 2021 · 10 filings
RAUM
$100,000
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$100,000 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$33,333
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$100,000 as of Jan 3, 2022
Jul 16, 2021$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jan 3, 2022
Jul 16, 20210 then
Employees (5.A)2 as of Jan 3, 2022
Jul 16, 20211 then
Private funds: no history
Practice profile
derived from the filing of Jan 3, 2022; every figure names its basis
RAUM per advisor
$33,333derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$20,000derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.7derivedItem 5.A over advisors
Advisors per office
1.5derived2 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 individualsreportedItem 5.G
Custody
$100,000, 3 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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$100,000100%
Individual clients
3reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$100,000 for 3 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Carter ShafferCertified Financial PlannerFrederick, MdAug 16, 202110 y1
Timothy Lawrence MillerFrederick, MdAug 24, 202113 y0
Gavin Carl CollinsFrederick, Md Oct 24, 202512 y0
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Shawn Burman · Ownercontrol
      since 08/2021 · owns 25% to 50%
    • Asser Faragalla · Ownercontrol
      since 08/2021 · owns 25% to 50%
    • Timothy Miller · Ownercontrol
      since 08/2021 · owns 25% to 50%
    • Carter Shaffer · Chief Compliance Officer
      since 08/2021 · owns less than 5%
    Related persons
    Schedule D 7.A
    • Faragalla & Associates
      investment companyn
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Frederick, Md · principal310
    Offices
    Schedule D 1.F, the 25 largest
    • Middletown, MD1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 0 to 5
      Sep 20, 2021 to Oct 28, 2021
    • Individual clients · unset to 3.0
      Sep 20, 2021 to Oct 28, 2021
    • Assets in custody · unset to 100000.0
      Sep 20, 2021 to Oct 28, 2021
    • Custody of client assets · false to true
      Sep 20, 2021 to Oct 28, 2021
    • Discretionary RAUM · $0 to $100,000
      Sep 20, 2021 to Oct 28, 2021
    • Individual RAUM · unset to 100000.0
      Sep 20, 2021 to Oct 28, 2021
    • RAUM · $0 to $100,000
      Sep 20, 2021 to Oct 28, 2021
    • Advisory employees · 1 to 2
      Aug 23, 2021 to Aug 23, 2021
    • Employees · 1 to 2
      Aug 23, 2021 to Aug 23, 2021
    • State-registered IARs · 0 to 2
      Aug 23, 2021 to Aug 23, 2021
    • Other offices · 0 to 1
      Jul 16, 2021 to Jul 28, 2021
    Signals
    1 dated events
    • Monocacy Wealth Management, Llc filed its initial SEC registration (Form ADV)
      Jul 16, 2021 · 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.
    How to reach
    public business contact points only, each with its source
    Website
    monocacywm.comreportedpublic record, Form ADV, Sep 17, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $33,333derivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026