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
R•••• C••••••• A•••••••• L••
Latest filing Jan 30, 2026
First filing on the tape Jan 30, 2025 · 7 filings
SEC status approved since Mar 3, 2025
RAUM
$137M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$137M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$68.4M
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
7 filings and snapshots on the tape
RAUM$137M as of Jan 30, 2026
Jan 30, 2025$0 then
HNW client RAUM$120M as of Jan 30, 2026
Jul 1, 2025$108M then
State-registered IARs (5.B.3)2 as of Jan 30, 2026
Jan 30, 20251 then
Employees (5.A)2 as of Jan 30, 2026
Jan 30, 20251 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Jan 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $68.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $560,738derivedRAUM 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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 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 individualsreportedItem 5.G
- Wrap fee program
- $137MreportedItem 5.I
- Custody
- $102, 52,947,568 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$120M87%
- Individuals$17.3M13%
- Individual clients
- 115reported
- HNW clients
- 25reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 244reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $102 for 52,947,568 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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 |
|---|---|---|---|---|
| R•• A•••• R••••• | Suffolk, Va | Apr 1, 2025 | 22 y | 1 |
| T•••• R••• D•••Certified Financial Planner | Suffolk, Va | Apr 3, 2025 | 10 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
- T•••• R••• D••• from P•••••• W••••• M••••••••• L••Apr 3, 2025 · RIA to a newly registered adviser
- R•• A•••• R••••• from B••••• H••••• W••••• A•••••••Apr 1, 2025 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
Entity owners
- R•••• C••••••• H••••••• L•• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Suffolk, Va · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Jan 30, 2026custody of client assets (Item 9.A): no on the filing of 2025-12-26, yes on the filing of 2026-01-30peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 170 to 244Dec 26, 2025 to Jan 30, 2026
- HNW clients · 18 to 25Dec 26, 2025 to Jan 30, 2026
- Individual clients · 66 to 115Dec 26, 2025 to Jan 30, 2026
- Assets in custody · unset to 102.0Dec 26, 2025 to Jan 30, 2026
- Custody of client assets · false to trueDec 26, 2025 to Jan 30, 2026
- Financial planning clients · 0 to 1-10Dec 26, 2025 to Jan 30, 2026
- Discretionary RAUM · $123M to $137MDec 26, 2025 to Jan 30, 2026
- HNW RAUM · $108M to $120MDec 26, 2025 to Jan 30, 2026
- Individual RAUM · $14.5M to $17.3MDec 26, 2025 to Jan 30, 2026
- RAUM · $123M to $137MDec 26, 2025 to Jan 30, 2026
- Financial planning clients · 0 to 0Aug 18, 2025 to Oct 14, 2025
- Accounts · 0 to 170Mar 28, 2025 to Jul 1, 2025
- Advisory employees · 1 to 2Mar 28, 2025 to Jul 1, 2025
- HNW clients · unset to 18.0Mar 28, 2025 to Jul 1, 2025
- Individual clients · unset to 66.0Mar 28, 2025 to Jul 1, 2025
- Employees · 1 to 2Mar 28, 2025 to Jul 1, 2025
- State-registered IARs · 1 to 2Mar 28, 2025 to Jul 1, 2025
- Discretionary RAUM · $0 to $123MMar 28, 2025 to Jul 1, 2025
- HNW RAUM · unset to 108142732.0Mar 28, 2025 to Jul 1, 2025
- Individual RAUM · unset to 14532342.0Mar 28, 2025 to Jul 1, 2025
- RAUM · $0 to $123MMar 28, 2025 to Jul 1, 2025
Signals
No event on the tape.
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@rivercrescentadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 757-651-9305reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- rivercrescentadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (757) 651-9305reportedpublic record, Form ADV, Jan 30, 2026
- Team page
- rivercrescentadvisors.com/our-teamreportedpublished 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
- $68.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026