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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
F•••••• F•••••••• A•••••••• L••
Latest filing Apr 6, 2026
First filing on the tape Apr 6, 2026 · 1 filings
RAUM
$13.0M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$13.0M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Apr 6, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $302,326derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 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 assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- is an insurance broker or agent (6.A.6)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$13.0M100%
- Individual clients
- 43reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 43reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• D••• G•••• | South Charleston, Wv | Jun 22, 2022 | 24 y | 1 |
| J•••• D••• P••••• | South Charleston, Wv | Jul 8, 2022 | 42 y | 1 |
| B•••• R••• | South Charleston, Wv | Aug 26, 2022 | 30 y | 0 |
| K•••••• S••••• | South Charleston, Wv | Aug 28, 2026 | 11 y | 0 |
Advisor movement
Left, latest
- J••••• H••••• S•••• to J••••••••• F•••••••• G••••• I•••Jun 2, 2023 · Other
- J•••• K•• L••• to J••••••••• F•••••••• G••••• I•••Mar 5, 2023 · Other
Joined, latest
- J•••• K•• L••• from J• W• C••• A•••••••• I•••Sep 20, 2022 · Other
- J•••• D••• P••••• from P•••••• F•••••••• C•••••••••Jul 8, 2022 · Other
- J••••• H••••• S•••• from P•••••• F•••••••• C•••••••••Jul 8, 2022 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from P•••••• F•••••••• C•••••••••Nov 8, 2022 · South Charelston, Wv
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| South Charleston, Wv · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
3 dated events
- J••••• H••••• S•••• left F•••••• F•••••••• A•••••••• L•• for J••••••••• F•••••••• G••••• I••• (registered 2023-05-05)Jun 2, 2023 · Advisor changed firm · fact
- J•••• K•• L••• left F•••••• F•••••••• A•••••••• L•• for J••••••••• F•••••••• G••••• I••• (registered 2023-03-23)Mar 5, 2023 · Advisor changed firm · fact
- 2 advisors left P•••••• F•••••••• C••••••••• (South Charelston, WV) for F•••••• F•••••••• A•••••••• L•• on the same dayNov 8, 2022 · Team lift-out · derived
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
- ffadvisors.usreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 8333279997reportedpublic record, Form ADV, Apr 6, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026