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
A••• W••••• A•••••••• L••
Latest filing Dec 8, 2025
First filing on the tape Jan 31, 2025 · 6 filings
SEC status approved since Mar 4, 2025
RAUM
$256M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
88%
$226M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$128M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$256M as of Dec 8, 2025
Jan 31, 2025$0 then
HNW client RAUM$216M as of Dec 8, 2025
Jun 12, 2025$194M then
State-registered IARs (5.B.3)2 as of Dec 8, 2025
Jan 31, 20251 then
Employees (5.A)2 as of Dec 8, 2025
Jan 31, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Dec 8, 2025; 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $128MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $602,750derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $9.4M, 15 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$216M84%
- Pension and profit-sharing plans$29.5M12%
- Individuals$9.5M3.7%
- Charitable organizations$918,8810.4%
- Individual clients
- 20reported
- HNW clients
- 70reported
- Pension plan clients
- 9reported
- Charitable clients
- n/areported
- Accounts
- 425reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $9.4M for 15 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.12 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 |
|---|---|---|---|---|
| J•••• R•••••• H•••••Certified Financial Planner, Chartered Financial Consultant | Mclean, Va | May 1, 2025 | 23 y | 5 |
| K•••• L••• C••••••• | Mclean, Va | May 1, 2025 | 25 y | 1 |
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
- J•••• R•••••• H••••• from R•••••• J•••• • A••••••••• I•••May 1, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- K•••• L••• C••••••• from R•••••• J•••• • A••••••••• I•••May 1, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R•••••• J•••• • A••••••••• I•••May 2, 2025 · Haymarket, Va
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• J••••• R•••••• · Member And Chief Compliance Officercontrolsince 01/2025 · 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 |
|---|---|---|---|---|---|
| Mclean, Va · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Dec 8, 2025selection of other advisers (Item 5.G.7): no on the filing of 2025-10-31, yes on the filing of 2025-12-08peers: independent wealth managers, $100M to $500M (5,676)
- custody status changedChange between filings · filing Dec 8, 2025custody of client assets (Item 9.A): no on the filing of 2025-10-31, yes on the filing of 2025-12-08peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 402 to 425Oct 31, 2025 to Dec 8, 2025
- Advisory activities · 3 to 4Oct 31, 2025 to Dec 8, 2025
- HNW clients · 74 to 70Oct 31, 2025 to Dec 8, 2025
- Individual clients · 26 to 20Oct 31, 2025 to Dec 8, 2025
- Pension plan clients · unset to 9.0Oct 31, 2025 to Dec 8, 2025
- Assets in custody · unset to 9420000.0Oct 31, 2025 to Dec 8, 2025
- Custody of client assets · false to trueOct 31, 2025 to Dec 8, 2025
- Discretionary RAUM · $205M to $226MOct 31, 2025 to Dec 8, 2025
- HNW RAUM · $194M to $216MOct 31, 2025 to Dec 8, 2025
- Individual RAUM · $17.0M to $9.5MOct 31, 2025 to Dec 8, 2025
- Non-discretionary RAUM · $6.0M to $30.2MOct 31, 2025 to Dec 8, 2025
- Pension RAUM · unset to 29482563.0Oct 31, 2025 to Dec 8, 2025
- RAUM · $211M to $256MOct 31, 2025 to Dec 8, 2025
- Financial planning clients · 0 to 0Aug 19, 2025 to Oct 31, 2025
- Accounts · 0 to 402May 1, 2025 to Jun 12, 2025
- HNW clients · unset to 74.0May 1, 2025 to Jun 12, 2025
- Individual clients · unset to 26.0May 1, 2025 to Jun 12, 2025
- Discretionary RAUM · $0 to $205MMay 1, 2025 to Jun 12, 2025
- HNW RAUM · unset to 194000000.0May 1, 2025 to Jun 12, 2025
- Individual RAUM · unset to 17000000.0May 1, 2025 to Jun 12, 2025
- Non-discretionary RAUM · $0 to $6.0MMay 1, 2025 to Jun 12, 2025
- RAUM · $0 to $211MMay 1, 2025 to Jun 12, 2025
- Advisory employees · 1 to 2Jan 31, 2025 to May 1, 2025
- Employees · 1 to 2Jan 31, 2025 to May 1, 2025
- HQ city · VIENNA to MCLEANJan 31, 2025 to May 1, 2025
- State-registered IARs · 1 to 2Jan 31, 2025 to May 1, 2025
Signals
1 dated events
- 2 advisors left R•••••• J•••• • A••••••••• I••• (Haymarket, VA) for A••• W••••• A•••••••• L•• on the same dayMay 2, 2025 · 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
- Business phone
- 703-914-3830reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 703-914-3830reportedpublic record, Form ADV, Dec 8, 2025
- Contact form
- a•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $128Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026