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

O•• H••• W••••• A•••••••• L••

Former SEC-registered adviserLansdowne, VirginiaCRD 318606SEC 801-123308websiteIAPD
Latest filing Mar 26, 2025
First filing on the tape Jan 25, 2022 · 11 filings
SEC status approved since Feb 24, 2022
RAUM
$603M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
99%
$597M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$603M as of Mar 26, 2025
Mar 3, 2023$486M then
HNW client RAUM$490M as of Mar 26, 2025
Mar 3, 2023$397M then
State-registered IARs (5.B.3)5 as of Mar 26, 2025
Mar 3, 20234 then
Employees (5.A)10 as of Mar 26, 2025
Mar 3, 20237 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 5 to 5
Practice profile
derived from the filing of Mar 26, 2025; every figure names its basis
RAUM per advisor
$121MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
87derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$506,497derivedRAUM over accounts (5.F.2.f)
Discretionary
92%derivedof RAUM
Institutional
1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.8%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Wrap fee program
$603MreportedItem 5.I
Custody
$85.7M, 128 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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$490M81%
  • Individuals$107M18%
  • Charitable organizations$6.7M1.1%
Individual clients
270reported
HNW clients
164reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,191reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$85.7M for 128 clientsreported
Compensation
% of AUM, fixedreported
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
5 left, 0 joined in 12 months
net -5 in 12 months0 left in 90 days0 joined in 90 days6 left over 36 months
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C•••••• N•••• L•••••• · Chief Compliance Officercontrol
    since 11/2024 · owns less than 5%
  • L•••••• P••••••• W•••••• · Managing Membercontrol
    since 01/2022 · 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
Lansdowne, Va · principal005
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 1,156 to 1,191
    Jan 31, 2025 to Mar 26, 2025
  • Advisory employees · 6 to 5
    Jan 31, 2025 to Mar 26, 2025
  • HNW clients · 155 to 164
    Jan 31, 2025 to Mar 26, 2025
  • Individual clients · 259 to 270
    Jan 31, 2025 to Mar 26, 2025
  • Assets in custody · $76.0M to $85.7M
    Jan 31, 2025 to Mar 26, 2025
  • State-registered IARs · 6 to 5
    Jan 31, 2025 to Mar 26, 2025
  • Discretionary RAUM · $468M to $554M
    Jan 31, 2025 to Mar 26, 2025
  • HNW RAUM · $451M to $490M
    Jan 31, 2025 to Mar 26, 2025
  • Individual RAUM · $85.9M to $107M
    Jan 31, 2025 to Mar 26, 2025
  • Non-discretionary RAUM · $74.1M to $49.4M
    Jan 31, 2025 to Mar 26, 2025
  • RAUM · $542M to $603M
    Jan 31, 2025 to Mar 26, 2025
  • Advisory employees · 5 to 6
    Nov 15, 2024 to Jan 31, 2025
  • Employees · 9 to 10
    Nov 15, 2024 to Jan 31, 2025
  • State-registered IARs · 5 to 6
    Nov 15, 2024 to Jan 31, 2025
  • Accounts · 1,097 to 1,156
    Jul 11, 2023 to Mar 25, 2024
  • Advisory employees · 2 to 5
    Jul 11, 2023 to Mar 25, 2024
  • Advisory activities · 5 to 4
    Jul 11, 2023 to Mar 25, 2024
  • HNW clients · 146 to 155
    Jul 11, 2023 to Mar 25, 2024
  • Individual clients · 217 to 259
    Jul 11, 2023 to Mar 25, 2024
  • Assets in custody · $30.7M to $76.0M
    Jul 11, 2023 to Mar 25, 2024
  • Employees · 7 to 9
    Jul 11, 2023 to Mar 25, 2024
  • State-registered IARs · 4 to 5
    Jul 11, 2023 to Mar 25, 2024
  • Discretionary RAUM · $404M to $468M
    Jul 11, 2023 to Mar 25, 2024
  • HNW RAUM · $397M to $451M
    Jul 11, 2023 to Mar 25, 2024
  • Individual RAUM · $84.1M to $85.9M
    Jul 11, 2023 to Mar 25, 2024
  • Non-discretionary RAUM · $81.9M to $74.1M
    Jul 11, 2023 to Mar 25, 2024
  • RAUM · $486M to $542M
    Jul 11, 2023 to Mar 25, 2024
  • Accounts · 1,008 to 1,097
    Sep 8, 2022 to Mar 3, 2023
  • HNW clients · 160 to 146
    Sep 8, 2022 to Mar 3, 2023
  • Individual clients · 176 to 217
    Sep 8, 2022 to Mar 3, 2023
  • Assets in custody · $32.0M to $30.7M
    Sep 8, 2022 to Mar 3, 2023
  • Employees · 5 to 7
    Sep 8, 2022 to Mar 3, 2023
  • State-registered IARs · 5 to 4
    Sep 8, 2022 to Mar 3, 2023
  • Discretionary RAUM · $409M to $404M
    Sep 8, 2022 to Mar 3, 2023
  • HNW RAUM · $435M to $397M
    Sep 8, 2022 to Mar 3, 2023
  • Individual RAUM · $58.3M to $84.1M
    Sep 8, 2022 to Mar 3, 2023
  • Non-discretionary RAUM · $88.0M to $81.9M
    Sep 8, 2022 to Mar 3, 2023
  • RAUM · $497M to $486M
    Sep 8, 2022 to Mar 3, 2023
  • Accounts · 0 to 1,008
    Jan 25, 2022 to Jun 22, 2022
  • HNW clients · unset to 160.0
    Jan 25, 2022 to Jun 22, 2022
Signals
14 dated events
  • O•• H••• W••••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $603.2M)
    Dec 20, 2025 · Left the SEC roster · derived
  • E••• M••••• H•••• left O•• H••• W••••• A•••••••• L•• for C••••• P••••••• L•• (registered 2025-10-01)
    Oct 3, 2025 · Advisor changed firm · fact
  • B•••••• M•••• B•••••• left O•• H••• W••••• A•••••••• L•• for C••••• P••••••• L•• (registered 2025-10-01)
    Oct 2, 2025 · Advisor changed firm · fact
  • P•••••• W•••••• L••••• left O•• H••• W••••• A•••••••• L•• for C••••• P••••••• L•• (registered 2025-10-01)
    Oct 2, 2025 · Advisor changed firm · fact
  • O•• H••• W••••• A•••••••• L••'s advisors moved to C••••• P••••••• L•• (Lansdowne, VA): 5 of 5 registered, a day apart
    Oct 2, 2025 · Firm absorbed (people side) · derived
  • B•••••• J••••• G•••••••• left O•• H••• W••••• A•••••••• L•• for C••••• P••••••• L•• (registered 2025-10-01)
    Oct 2, 2025 · Advisor changed firm · fact
  • A••••• M•••• L••••• left O•• H••• W••••• A•••••••• L•• for C••••• P••••••• L•• (registered 2025-10-01)
    Oct 2, 2025 · Advisor changed firm · fact
  • Lambdin Neil Christ (Chief Compliance Officer) appeared on Schedule A of O•• H••• W••••• A•••••••• L••
    Nov 15, 2024 · Control person joined · fact
  • Lynn Bonny Brown (Chief Compliance Officer) no longer on Schedule A of O•• H••• W••••• A•••••••• L•• (listed 2024-03-25, absent 2024-11-15)
    Nov 15, 2024 · Control person left · inference
  • B•••• L••• B•••• left O•• H••• W••••• A•••••••• L•• for W•••• F•••• A••••••• (registered 2025-07-29)
    Oct 28, 2024 · Advisor changed firm · fact
  • Bonny Brown (Chief Compliance Officer) appeared on Schedule A of O•• H••• W••••• A•••••••• L••
    Mar 3, 2023 · Control person joined · fact
  • Wayne Timothy Schmidt (Chief Compliance Officer) no longer on Schedule A of O•• H••• W••••• A•••••••• L•• (listed 2022-09-08, absent 2023-03-03)
    Mar 3, 2023 · Control person left · inference
  • 3 advisors left W•••• F•••• A••••••• (Leesburg, VA) for O•• H••• W••••• A•••••••• L•• on the same day
    May 23, 2022 · Team lift-out · derived
  • O•• H••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Jan 25, 2022 · 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