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
C•••••• S•••••• F•••••••• L••
Latest filing Feb 10, 2026
First filing on the tape Oct 28, 2024 · 3 filings
SEC status approved since Nov 27, 2024
RAUM
$199M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$198M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$99.3M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$199M as of Feb 10, 2026
Mar 28, 2025$122M then
HNW client RAUM$14.9M as of Feb 10, 2026
Mar 28, 2025$110M then
State-registered IARs (5.B.3)2 as of Feb 10, 2026
Mar 28, 20252 then
Employees (5.A)3 as of Feb 10, 2026
Mar 28, 20253 then
Private funds: no history
RAUM +63% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $99.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $281,377derivedHNW RAUM over HNW clients
- Average account
- $712,186derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +63%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +26%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- Individuals$183M92%
- High-net-worth individuals$14.9M7.5%
- Charitable organizations$437,0000.2%
- Individual clients
- 34reported
- HNW clients
- 53reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 279reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••••• S• S•••••••Certified Financial Planner | R•••Ville, Md | Jul 21, 2023 | 14 y | 2 |
| A••••• S••••••• D• S••••Chartered Financial Analyst | R•••Ville, Md | Mar 27, 2024 | 23 y | 2 |
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
- A••••• S••••••• D• S•••• from R••• D•• A•••••••• L••Mar 27, 2024 · Other
- A•••••••• S• S••••••• from M•• • B•••••••• P•Jul 21, 2023 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D• S••••• A•••••• S••••••• · Chief Investment Officer & Chief Compliance Officercontrolsince 04/2024 · owns 5% to 10%
- S•••••••• A••••••••• S• · Founder And Presidentcontrolsince 05/2023 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| R•••Ville, Md · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Feb 10, 2026hourly charges (Item 5.E.2): yes on the filing of 2025-03-28, no on the filing of 2026-02-10peers: independent wealth managers, $100M to $500M (5,676)
- RAUM up 50 %Change between filings · filing Feb 10, 2026RAUM (Item 5.F) moved from $122,097,788 to $198,700,000 (+63.0%) between the annual amendments of 2025-03-28 and 2026-02-10; the peer median change was +15.0% (4550 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 97% percentile
- HNW share shiftChange between filings · filing Feb 10, 2026HNW share of RAUM moved from 90.0% to 8.0% between the annual amendments of 2025-03-28 and 2026-02-10peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 226 to 279Mar 28, 2025 to Feb 10, 2026
- HNW clients · 41 to 53Mar 28, 2025 to Feb 10, 2026
- Individual clients · 28 to 34Mar 28, 2025 to Feb 10, 2026
- Discretionary RAUM · $122M to $199MMar 28, 2025 to Feb 10, 2026
- HNW RAUM · $110M to $14.9MMar 28, 2025 to Feb 10, 2026
- Individual RAUM · $12.2M to $183MMar 28, 2025 to Feb 10, 2026
- RAUM · $122M to $199MMar 28, 2025 to Feb 10, 2026
- Accounts · 56 to 226Oct 28, 2024 to Mar 28, 2025
- HNW clients · 29 to 41Oct 28, 2024 to Mar 28, 2025
- Individual clients · 24 to 28Oct 28, 2024 to Mar 28, 2025
- Employees · 2 to 3Oct 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to 11-25Oct 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $109M to $122MOct 28, 2024 to Mar 28, 2025
- HNW RAUM · $13.4M to $110MOct 28, 2024 to Mar 28, 2025
- Individual RAUM · $94.5M to $12.2MOct 28, 2024 to Mar 28, 2025
- RAUM · $109M to $122MOct 28, 2024 to Mar 28, 2025
Signals
1 dated events
- C•••••• S•••••• F•••••••• L•• filed its initial SEC registration (Form ADV)Oct 28, 2024 · 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
- Business email
- info@csqfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 240-600-1678reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- csqfinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 240-600-1678reportedpublic record, Form ADV, Feb 10, 2026
- Contact form
- csqfinancial.com/contact-usreportedpublished 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
- $99.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026