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
T••••••••• C••••••• L••
Latest filing Aug 31, 2026
First filing on the tape Jul 2, 2025 · 6 filings
SEC status approved since Jul 1, 2025
RAUM
$250M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$222M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$62.5M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$250M as of Aug 31, 2026
Jul 2, 2025$0 then
HNW client RAUM$167M as of Aug 31, 2026
Oct 29, 2025$79.8M then
State-registered IARs (5.B.3)1 as of Aug 31, 2026
Jul 2, 20250 then
Employees (5.A)3 as of Aug 31, 2026
Jul 2, 20252 then
Private funds2 as of Aug 31, 2026
Dec 4, 20251 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 31, 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
- 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
- $62.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $665,369derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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 fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$167M67%
- Individuals$55.5M22%
- Pooled investment vehicles$24.8M9.9%
- Corporations and businesses$3.2M1.3%
- Individual clients
- 86reported
- HNW clients
- 95reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 376reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.89 fund_share=0.1 institutional_share=0.0 related_bd=false related_bank=false 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
1 left, 1 joined in 12 months
net 0 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount1 left over 36 months
Left, latest
- A••••• P•••• to M••••••Jul 1, 2026 · RIA to affiliated broker-dealer or bank
Joined, latest
- A••••• P•••• from T••••••••• W•••••• L••May 18, 2026 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• G••••••• E••••• · Partnercontrolsince 02/2025 · owns 10% to 25%
- S•••••• A•••••• K•••• · Partnercontrolsince 02/2025 · owns 5% to 10%
- S•••••••• W••••••• A••• · Partner, Chief Executive Officer, Presidentcontrolsince 02/2025 · owns 25% to 50%
- V•••••• D•••••• L•••••• · Partner, Chief Compliance Officercontrolsince 02/2025 · owns 10% to 25%
- H•••••• H•••••• L•••• · Ownersince 02/2025 · owns 10% to 25%
Entity owners
- T••••••• H•••••••• L•• · Ownerdirect · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Chevy Chase, Md · principal | 4 | 3 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 161 to 376Dec 4, 2025 to Mar 30, 2026
- Advisory employees · 3 to 1Dec 4, 2025 to Mar 30, 2026
- Charity clients · 1.0 to unsetDec 4, 2025 to Mar 30, 2026
- Corporate clients · 1.0 to unsetDec 4, 2025 to Mar 30, 2026
- HNW clients · 53 to 95Dec 4, 2025 to Mar 30, 2026
- Individual clients · 18 to 86Dec 4, 2025 to Mar 30, 2026
- Pooled vehicle clients · 88 to 95Dec 4, 2025 to Mar 30, 2026
- Employees · 4 to 3Dec 4, 2025 to Mar 30, 2026
- State-registered IARs · 0 to 1Dec 4, 2025 to Mar 30, 2026
- Private funds · 1 to 2Dec 4, 2025 to Mar 30, 2026
- Discretionary RAUM · $112M to $250MDec 4, 2025 to Mar 30, 2026
- HNW RAUM · $79.8M to $167MDec 4, 2025 to Mar 30, 2026
- Individual RAUM · $6.1M to $55.5MDec 4, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $23.0M to $24.8MDec 4, 2025 to Mar 30, 2026
- RAUM · $112M to $250MDec 4, 2025 to Mar 30, 2026
- Advisory employees · 2 to 3Oct 29, 2025 to Dec 4, 2025
- Employees · 2 to 4Oct 29, 2025 to Dec 4, 2025
- Private funds · unset to 1Oct 29, 2025 to Dec 4, 2025
- Accounts · 0 to 161Aug 8, 2025 to Oct 29, 2025
- Charity clients · unset to 1.0Aug 8, 2025 to Oct 29, 2025
- Corporate clients · unset to 1.0Aug 8, 2025 to Oct 29, 2025
- HNW clients · unset to 53.0Aug 8, 2025 to Oct 29, 2025
- Individual clients · unset to 18.0Aug 8, 2025 to Oct 29, 2025
- Pooled vehicle clients · unset to 88.0Aug 8, 2025 to Oct 29, 2025
- Financial planning clients · 0 to 0Aug 8, 2025 to Oct 29, 2025
- Discretionary RAUM · $0 to $112MAug 8, 2025 to Oct 29, 2025
- HNW RAUM · unset to 79814387.0Aug 8, 2025 to Oct 29, 2025
- Individual RAUM · unset to 6057821.0Aug 8, 2025 to Oct 29, 2025
- Pooled vehicle RAUM · unset to 22982000.0Aug 8, 2025 to Oct 29, 2025
- RAUM · $0 to $112MAug 8, 2025 to Oct 29, 2025
Signals
2 dated events
- A••••• P•••• left T••••••••• C••••••• L•• for Mariner (registered 2026-07-10)Jul 1, 2026 · Advisor changed firm · fact
- T••••••••• C••••••• L•• reported RAUM $250.2M, up 123% from $112.2M (2025-12-04 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- T••••••••• C••••••• L•• · Independent Sponsorsshared crd · capital_provider
- T••••••••• C••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 301-799-9001reportedpublic record, Form ADV, Aug 31, 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
- $62.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026