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
S•••••••• W••••• M•••••••••
Legal name S•••••••• W••••• M••••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Oct 1, 2025 · 3 filings
SEC status approved since Nov 14, 2025
RAUM
$342M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$342M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$342M as of Mar 19, 2026
Oct 1, 2025$0 then
HNW client RAUM$265M as of Mar 19, 2026
Oct 1, 2025$0 then
State-registered IARs (5.B.3)3 as of Mar 19, 2026
Oct 1, 20250 then
Employees (5.A)7 as of Mar 19, 2026
Oct 1, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 19, 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
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 93derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 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 consultingreportedItem 5.G
- Custody
- $48.4M, 39 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$265M78%
- Individuals$76.5M22%
- Charitable organizations$171,8910.1%
- Corporations and businesses$12,4880.0%
- Individual clients
- 175reported
- HNW clients
- 103reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 280reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $48.4M for 39 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••• G•••••• E••••••••Certified Financial Planner | Glen Allen, Va | Dec 16, 2025 | 13 y | 0 |
| M•••••• S• E•••• | Glen Allen, Va | Feb 2, 2026 | 38 y | 2 |
| C•••••• W••••••• P••••••Certified Financial Planner | Glen Allen, Va | Feb 2, 2026 | 27 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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
- M•••••• S• E•••• from I••••••• F••Feb 2, 2026 · RIA to a newly registered adviser
- C•••••• W••••••• P•••••• from I••••••• F••Feb 2, 2026 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from I••••••• F••Feb 2, 2026 · Glen Allen, Va
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••••••• T•••• G•••••• · Cco, Investment Advisor Representativecontrolsince 09/2025 · owns less than 5%
- E••••• M••••••• S• · Member/Investment Advisor Representativecontrolsince 12/2025 · owns 50% to 75%
- P••••••• C••••••• W••••••• · Member/Investment Advisor Representativecontrolsince 12/2025 · 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 |
|---|---|---|---|---|---|
| Glen Allen, Va · principal | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 280Dec 22, 2025 to Mar 19, 2026
- Charity clients · 0 to 1Dec 22, 2025 to Mar 19, 2026
- Corporate clients · 0 to 1Dec 22, 2025 to Mar 19, 2026
- HNW clients · 0 to 103Dec 22, 2025 to Mar 19, 2026
- Individual clients · 0 to 175Dec 22, 2025 to Mar 19, 2026
- Assets in custody · $0 to $48.4MDec 22, 2025 to Mar 19, 2026
- Other offices · 0 to 1Dec 22, 2025 to Mar 19, 2026
- Discretionary RAUM · $0 to $342MDec 22, 2025 to Mar 19, 2026
- HNW RAUM · $0 to $265MDec 22, 2025 to Mar 19, 2026
- Individual RAUM · $0 to $76.5MDec 22, 2025 to Mar 19, 2026
- RAUM · $0 to $342MDec 22, 2025 to Mar 19, 2026
- Advisory employees · 1 to 3Oct 1, 2025 to Dec 22, 2025
- Employees · 1 to 7Oct 1, 2025 to Dec 22, 2025
- State-registered IARs · 0 to 3Oct 1, 2025 to Dec 22, 2025
Signals
1 dated events
- 2 advisors left I••••••• F•• (Glen Allen, VA) for S•••••••• W••••• M••••••••• on the same dayFeb 2, 2026 · 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
- 804-548-0781reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- steelheadwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (804) 548-0781reportedpublic record, Form ADV, Mar 19, 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
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026