DFX Intelligence
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S•••• C•••••• H•••••••• L••
Bank affiliated wealth manager, based in Arlington, Virginia, reporting $467M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $467M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- +9.1%
- Private clients
- 95% of RAUM, $443M
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
custody of client assets (Item 9.A): no on the filing of 2026-03-30, yes on the filing of 2026-08-25
custody of client assets (Item 9.A) 1- Contact points 4
Every filed figure, and the identifiersCRD 335568 · SEC 801-132727 · 4 filingsShowHide
CRD 335568SEC 801-132727First filing on the tape Apr 23, 2025, latest Aug 25, 2026SEC status approved since May 6, 2025IAPD
RAUM
$467M
reported, Item 5.F
Discretionary
3.4%
of RAUM
Private clients
95%
$443M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$467M as of Aug 25, 2026
Apr 23, 2025$428M then
HNW client RAUM$443M as of Aug 25, 2026
Apr 23, 2025$421M then
State-registered IARs (5.B.3)0 as of Aug 25, 2026
Apr 23, 20252 then
Employees (5.A)4 as of Aug 25, 2026
Apr 23, 20252 then
Private funds1 as of Aug 25, 2026
Mar 30, 20261 then
RAUM +9.1% over the last fiscal yearIARs 2 to 0offices 1 to 2
Practice profile
derived from the filing of Aug 25, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- 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
- $58.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 3.4%derivedof RAUM
- Institutional
- 1.9%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
- +9.1%derivedbetween 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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $332M, 3 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$443M95%
- Pooled investment vehicles$15.1M3.2%
- Charitable organizations$8.8M1.9%
- Individual clients
- 0reported
- HNW clients
- n/areported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $332M for 3 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.95 fund_share=0.03 institutional_share=0.02 related_bd=false related_bank=true bd_reps=0.0derived
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
- A•••••••• J•••••• R•••••• · Chief Executive Officer And Chief Investment Officercontrolsince 04/2025 · owns less than 5%
- G••••••• J•••••••• P••• · General Counsel And Secretarycontrolsince 04/2025 · owns less than 5%
- S••••• E•••• E•••••••• · Treasurer Senior Counselcontrolsince 04/2025 · owns less than 5%
Entity owners
- S•••• C•••••• M••••••••• L• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
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 Aug 25, 2026custody of client assets (Item 9.A): no on the filing of 2026-03-30, yes on the filing of 2026-08-25peers: independent wealth managers, $100M to $500M (5,679)
What changed
consecutive filings, newest first
- Assets in custody · unset to 331643664.0Mar 30, 2026 to Aug 25, 2026
- Custody of client assets · false to trueMar 30, 2026 to Aug 25, 2026
- Accounts · 6 to 8Jul 28, 2025 to Mar 30, 2026
- Advisory employees · 2 to 4Jul 28, 2025 to Mar 30, 2026
- Pooled vehicle clients · 0 to 1Jul 28, 2025 to Mar 30, 2026
- Employees · 2 to 4Jul 28, 2025 to Mar 30, 2026
- Insurance-licensed employees · 2 to 0Jul 28, 2025 to Mar 30, 2026
- State-registered IARs · 2 to 0Jul 28, 2025 to Mar 30, 2026
- Other offices · 1 to 2Jul 28, 2025 to Mar 30, 2026
- Private funds · unset to 1Jul 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $0 to $15.6MJul 28, 2025 to Mar 30, 2026
- HNW RAUM · $421M to $443MJul 28, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $428M to $451MJul 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $0 to $15.1MJul 28, 2025 to Mar 30, 2026
- RAUM · $428M to $467MJul 28, 2025 to Mar 30, 2026
- Financial planning clients · 1-10 to 1-10Apr 23, 2025 to Jul 28, 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 phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Aug 25, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Aug 25, 2026
- Contact form
- ••• Lockedreportedpublished 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
- Bank affiliated wealth 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