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•••••••
Legal name L•• S•••••••• L••
Latest filing Apr 10, 2026
First filing on the tape Sep 30, 2025 · 3 filings
SEC status approved since Sep 30, 2025
RAUM
$235M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$231M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$58.7M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$235M as of Apr 10, 2026
Sep 30, 2025$0 then
HNW client RAUM$175M as of Apr 10, 2026
Jan 26, 2026$175M then
State-registered IARs (5.B.3)4 as of Apr 10, 2026
Sep 30, 20253 then
Employees (5.A)6 as of Apr 10, 2026
Sep 30, 20256 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 10, 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
- RAUM per advisor
- $58.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $261,589derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 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 feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $2.5M, 5 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$175M74%
- Individuals$56.1M24%
- Pension and profit-sharing plans$3.4M1.4%
- Corporations and businesses$295,2190.1%
- Charitable organizations$288,6010.1%
- Individual clients
- 158reported
- HNW clients
- 103reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 898reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.5M for 5 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• E••••• C••••Certified Financial Planner, Chartered Financial Consultant | Virginia Beach, Va | Oct 1, 2025 | 15 y | 1 |
| R••• H••••• L•••••• | Virginia Beach, Va | Oct 1, 2025 | 30 y | 1 |
| R••••• T• W••• | Virginia Beach, Va | Oct 1, 2025 | 30 y | 2 |
| B•••• T••• | Virginia Beach, Va | Mar 24, 2026 | 13 y | 0 |
Advisor movement
0 left, 3 joined in 12 months
net +3 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
- R•••• E••••• C•••• from N••••••••• M••••• I••••••••• S•••••••••Oct 1, 2025 · Other
- R••• H••••• L•••••• from N••••••••• M••••• I••••••••• S•••••••••Oct 1, 2025 · Other
- R••••• T• W••• from N••••••••• M••••• I••••••••• S•••••••••Oct 1, 2025 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from N••••••••• M••••• I••••••••• S•••••••••Sep 30, 2025 · Virginia Bch, Va
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• R••••• E••••• · Co-Founder And Chief Compliance Officercontrolsince 07/2025 · owns less than 5%
- L••••••• R•••• H••••• · Foundercontrolsince 07/2025 · owns less than 5%
- W•••• R•••••• T• · Director Of Operationscontrolsince 07/2025 · owns less than 5%
Entity owners
- L•• L•• · Ownerdirect · owns 75% or more
- R••• L•• · Ownerdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Virginia Beach, Va · principal | 4 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Jan 26, 2026 to Apr 10, 2026
- BD registered reps · 2 to 0Jan 26, 2026 to Apr 10, 2026
- State-registered IARs · 3 to 4Jan 26, 2026 to Apr 10, 2026
- Accounts · 0 to 898Sep 30, 2025 to Jan 26, 2026
- HNW clients · unset to 103.0Sep 30, 2025 to Jan 26, 2026
- Individual clients · unset to 158.0Sep 30, 2025 to Jan 26, 2026
- Assets in custody · unset to 2543070.0Sep 30, 2025 to Jan 26, 2026
- Custody of client assets · false to trueSep 30, 2025 to Jan 26, 2026
- Financial planning clients · 0 to 1-10Sep 30, 2025 to Jan 26, 2026
- Discretionary RAUM · $0 to $235MSep 30, 2025 to Jan 26, 2026
- HNW RAUM · unset to 174828622.0Sep 30, 2025 to Jan 26, 2026
- Individual RAUM · unset to 56114062.0Sep 30, 2025 to Jan 26, 2026
- Non-discretionary RAUM · $0 to $36,742Sep 30, 2025 to Jan 26, 2026
- Pension RAUM · unset to 3380561.0Sep 30, 2025 to Jan 26, 2026
- RAUM · $0 to $235MSep 30, 2025 to Jan 26, 2026
Signals
1 dated events
- 3 advisors left N••••••••• M••••• I••••••••• S••••••••• (Virginia Bch, VA) for A••••• W••••• A••••••• a day apartSep 30, 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 email
- i•••@a•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 757-834-7606reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (757) 834-7606reportedpublic record, Form ADV, Apr 10, 2026
- Contact form
- a•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- a•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $58.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026