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
P•••••••••
Legal name P••••••••• A•••••••• L••
Latest filing Aug 26, 2026
First filing on the tape Dec 16, 2023 · 15 filings
SEC status approved since Jan 24, 2024
RAUM
$235M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$231M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$58.8M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$235M as of Aug 26, 2026
Mar 28, 2025$212M then
HNW client RAUM$219M as of Aug 26, 2026
Mar 28, 2025$15.3M then
State-registered IARs (5.B.3)4 as of Aug 26, 2026
Mar 28, 20253 then
Employees (5.A)4 as of Aug 26, 2026
Mar 28, 20253 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Aug 26, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $58.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $819,690derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +208%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- $233MreportedItem 5.I
- Custody
- $108M, 66 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
- is an insurance broker or agent (6.A.6)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$219M93%
- Individuals$11.6M4.9%
- Corporations and businesses$4.6M2.0%
- Individual clients
- 69reported
- HNW clients
- 208reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 287reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $108M for 66 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• F•••••• P••• | Bethesda, Md | Feb 2, 2024 | 42 y | 2 |
| E••••• M••••••• G•••• | Bethesda, Md | Feb 9, 2024 | 15 y | 2 |
| E•••• C••• J•••••••• | Bethesda, Md | Oct 29, 2024 | 11 y | 0 |
| D•••• P••• | Bethesda, Md | Jan 11, 2026 | 10 y | 0 |
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
- E••••• M••••••• G•••• from S•••••• I••••••••• G••••Feb 9, 2024 · RIA to a newly registered adviser
- C••••••••• F•••••• P••• from M••••• S••••••Feb 2, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• C••••••••• G••••• · Chief Compliance Officercontrolsince 05/2024 · owns less than 5%
- P•••• C••••••••• F•••••• · Founder/Managing Directorcontrolsince 02/2024 · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bethesda, Md · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 26, 2026HNW share of RAUM moved from 7.0% to 93.0% between the annual amendments of 2025-03-28 and 2026-03-26peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Related adviser · false to trueJul 31, 2026 to Aug 26, 2026
- Accounts · 274 to 287Mar 28, 2025 to Mar 26, 2026
- Advisory employees · 3 to 4Mar 28, 2025 to Mar 26, 2026
- Corporate clients · unset to 10.0Mar 28, 2025 to Mar 26, 2026
- HNW clients · 40 to 208Mar 28, 2025 to Mar 26, 2026
- Individual clients · 50 to 69Mar 28, 2025 to Mar 26, 2026
- Assets in custody · unset to 107817186.0Mar 28, 2025 to Mar 26, 2026
- Custody of client assets · false to trueMar 28, 2025 to Mar 26, 2026
- Employees · 3 to 4Mar 28, 2025 to Mar 26, 2026
- State-registered IARs · 3 to 4Mar 28, 2025 to Mar 26, 2026
- Discretionary RAUM · $212M to $235MMar 28, 2025 to Mar 26, 2026
- HNW RAUM · $15.3M to $219MMar 28, 2025 to Mar 26, 2026
- Individual RAUM · $196M to $11.6MMar 28, 2025 to Mar 26, 2026
- RAUM · $212M to $235MMar 28, 2025 to Mar 26, 2026
- Wrap assets (manager) · $212M to $0Mar 28, 2025 to Mar 26, 2026
- Accounts · 201 to 274Jun 26, 2024 to Mar 28, 2025
- Advisory employees · 2 to 3Jun 26, 2024 to Mar 28, 2025
- HNW clients · 37 to 40Jun 26, 2024 to Mar 28, 2025
- Individual clients · 34 to 50Jun 26, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 1-10Jun 26, 2024 to Mar 28, 2025
- State-registered IARs · 2 to 3Jun 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $282M to $212MJun 26, 2024 to Mar 28, 2025
- HNW RAUM · $270M to $15.3MJun 26, 2024 to Mar 28, 2025
- Individual RAUM · $12.1M to $196MJun 26, 2024 to Mar 28, 2025
- RAUM · $282M to $212MJun 26, 2024 to Mar 28, 2025
- Wrap assets (manager) · $282M to $212MJun 26, 2024 to Mar 28, 2025
- Business name · P••••••••• A•••••••• L•• to P•••••••••Jun 4, 2024 to Jun 26, 2024
- Accounts · 0 to 201Mar 15, 2024 to May 22, 2024
- HNW clients · unset to 37.0Mar 15, 2024 to May 22, 2024
- Individual clients · unset to 34.0Mar 15, 2024 to May 22, 2024
- Discretionary RAUM · $0 to $282MMar 15, 2024 to May 22, 2024
- HNW RAUM · unset to 269755062.0Mar 15, 2024 to May 22, 2024
- Individual RAUM · unset to 12070544.0Mar 15, 2024 to May 22, 2024
- RAUM · $0 to $282MMar 15, 2024 to May 22, 2024
- Wrap assets (manager) · $0 to $282MMar 15, 2024 to May 22, 2024
- HQ city · CHEVY CHASE to BETHESDAJan 23, 2024 to Jan 24, 2024
Signals
7 dated events
- George C••••••••• Plummer (Chief Compliance Officer) appeared on Schedule A of PromethiumMay 22, 2024 · Control person joined · fact
- Leigh Stacy Sizemore (Chief Compliance Officer) no longer on Schedule A of Promethium (listed 2024-03-15, absent 2024-05-22)May 22, 2024 · Control person left · inference
- F•••••• C••••••••• P••• (Founder/Managing Director) appeared on Schedule A of PromethiumFeb 2, 2024 · Control person joined · fact
- Nmn C•••• K••••• (Sole Member) no longer on Schedule A of Promethium (listed 2024-01-29, absent 2024-02-02)Feb 2, 2024 · Control person left · inference
- F•••••• C••••••••• P••• (Founder/Managing Director) no longer on Schedule A of Promethium (listed 2024-01-23, absent 2024-01-24)Jan 24, 2024 · Control person left · inference
- F•••••• C••••••••• P••• (Founder/Managing Director) appeared on Schedule A of PromethiumJan 23, 2024 · Control person joined · fact
- P••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Dec 16, 2023 · 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
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 202-978-2519reportedpublic record, Form ADV, Aug 26, 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
- $58.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026