DFX Intelligence
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SEC-registered adviser
F•••• T•••• A•••••••
Legal name F•• A•••• M••••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Aug 20, 2024 · 6 filings
SEC status approved since Sep 25, 2024
RAUM
$1.0B
reported, Item 5.F
Discretionary
1.2%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$1.0B as of Mar 25, 2026
Jan 24, 2025$123M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Jan 24, 20250 then
Employees (5.A)13 as of Mar 25, 2026
Jan 24, 202510 then
Private funds: no history
RAUM +721% over the last fiscal yearIARs 0 to 0offices 1 to 2
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $63.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 1.2%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +721%derivedbetween 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
- portfolio management for businesses and institutions, otherreportedItem 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
- State and municipal entities$883M87%
- Charitable organizations$128M13%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 14reported
- Accounts
- 16reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• H••••• K•••• · Ceo, Ccocontrolsince 06/2024 · owns less than 5%
- T•••••• T•••• H••••• · Cfocontrolsince 06/2024 · owns less than 5%
- B••••••••• H••••• K•••• · Trusteecontrolsince 12/2001 · owns F of B•••••••• C••••••••• G•• I••••••••• T•••• D•• 1•••••••
- B••••••••• H••••• K•••• · Trusteecontrolsince 09/2018 · owns F of H••••• G•• T•••• U•••• S•••••••• 5• 2•••
- G••••••••• J••••• W••••• · Shareholdercontrolsince 08/2021 · owns 75% or more of F•••••••
- H••••••••• P•••• M••••••• · Trusteecontrolsince 09/2018 · owns F of H••••• G•• T•••• U•••• S•••••••• 5• 2•••
- H••••••••• P•••• M••••••• · Trusteecontrolsince 12/2001 · owns F of B•••••••• C••••••••• G•• I••••••••• T•••• D•• 1•••••••
Entity owners
- B•••••••• • C• · Memberdirect · owns 50% to 75%
- F••••••• · Memberdirect · owns 50% to 75%
- B•••••••• C••••••••• G•• I••••••••• T•••• D•• 1••••••• · Shareholderindirect · owns 50% to 75% of B•••••••• • C•
- H••••• G•• T•••• U•••• S•••••••• 5• 2••• · Shareholderindirect · owns 25% to 50% of B•••••••• • C•
Related persons
Schedule D 7.A
- F•••• T•••• A••••••• L••y
- F•••• T•••• S••••••••• L••broker-dealery
Offices
Schedule D 1.F, the 25 largest
- Annapolis, MD3 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 25, 2026hourly charges (Item 5.E.2): no on the filing of 2025-08-21, yes on the filing of 2026-03-25peers: institutional managers, $1B to $5B (121)
- RAUM up 50 %Change between filings · filing Mar 25, 2026RAUM (Item 5.F) moved from $123,161,860 to $1,010,934,630 (+721.0%) between the annual amendments of 2025-01-24 and 2026-03-25; the peer median change was +15.0% (105 comparable advisers, 100.0th percentile of changes)peers: institutional managers, $1B to $5B (105) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 7 to 16Aug 21, 2025 to Mar 25, 2026
- Charity clients · 7 to 14Aug 21, 2025 to Mar 25, 2026
- Employees · 10 to 13Aug 21, 2025 to Mar 25, 2026
- Other offices · 1 to 2Aug 21, 2025 to Mar 25, 2026
- Discretionary RAUM · $0 to $12.1MAug 21, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $123M to $999MAug 21, 2025 to Mar 25, 2026
- RAUM · $123M to $1.0BAug 21, 2025 to Mar 25, 2026
- Business name · F•• A•••• M••••••••• L•• to F•••• T•••• A•••••••Jan 24, 2025 to Aug 21, 2025
- Accounts · 0 to 7Sep 25, 2024 to Jan 24, 2025
- Advisory employees · 6 to 7Sep 25, 2024 to Jan 24, 2025
- Business name · F•••• T•••• A••••••• to F•• A•••• M••••••••• L••Sep 25, 2024 to Jan 24, 2025
- Charity clients · unset to 7.0Sep 25, 2024 to Jan 24, 2025
- Financial planning clients · unset to Sep 25, 2024 to Jan 24, 2025
- Non-discretionary RAUM · $0 to $123MSep 25, 2024 to Jan 24, 2025
- RAUM · $0 to $123MSep 25, 2024 to Jan 24, 2025
Signals
3 dated events
- ••• LockedMar 25, 2026 · RAUM change · derived
- ••• LockedSep 9, 2024 · Control person joined · fact
- ••• LockedAug 20, 2024 · ria f•••• adv filing · 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
- Firm profile
- linkedin.com/company/wye-river-groupreportedpublic record, Form ADV, Mar 25, 2026
- Website
- f•••••••••.comreportedpublic record, Form ADV, Mar 25, 2026
- Principal office phone
- 704-926-2453reportedpublic record, Form ADV, Mar 25, 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
- Institutional managerderiveda 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