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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Former SEC-registered adviser
F•••• C•••••• F•••••••• P•••••••• I•••
Latest filing Oct 1, 2015
First filing on the tape Dec 22, 2011 · 8 filings
RAUM
$9.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
834
646 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$9.7B as of Jan 2, 2015
Dec 22, 2011$5.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)646 as of Jan 2, 2015
Jan 2, 2013597 then
Employees (5.A)834 as of Jan 2, 2015
Jan 2, 2013743 then
Private funds: no history
RAUM +18% over the last fiscal year+19% a year over threeIARs 662 to 646
Practice profile
derived from the filing of Oct 1, 2015; every figure names its basis
- RAUM per advisor
- $15.0MderivedRAUM 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
- $137,257derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 107.7derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- -2.4%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, commissions, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Financial planning clients
- 3,500reportedItem 5.H
- 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
- is a broker-dealer (6.A.1)
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 70,530reported
- Financial planning clients
- 3,500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, commissionsreported
- Class basis
- absent from the latest SEC rosterderived
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
- E•••• A••• H••••• S•••• to D•••••• F•••••••• D••••••Dec 16, 2015 · Other
- C••••••••• D•••• L•• to F•••• C•••••• B•••Dec 15, 2015 · Other
- J•••• M•••••• S•••••• to F•••• C•••••• B•••Dec 15, 2015 · Other
- J••••• P••• W••••• to H•••• F••••••••Dec 15, 2015 · Other
- J••• E•••• A••••••• to F•••• C•••••• B•••Dec 15, 2015 · Other
- M••••• L•• R•••••• to F•••• C•••••• B•••Dec 15, 2015 · Other
- J••• D•••• S•••••• to F•••• C•••••• B•••Dec 15, 2015 · Other
- D•••• E••••• S••••• to F•••• C•••••• B•••Dec 15, 2015 · Other
- R••• P••• S•••• to S•••• F••• I••••••••• M••••••••• C••••Nov 9, 2015 · Other
- L••••• M•••••• L••••••••• to V•••••• C•••••• M•••••••••Nov 9, 2015 · Other
- M••••• L•• R•••••• to W•••• F•••• A•••••••Nov 9, 2015 · Other
- T•••••• L••••• G••••• to F•••• C•••••• A••••••• S•••••••Oct 9, 2015 · Other
- J••• J••••• M••••• to M•• F•••••••• S•••••••• I•••Oct 7, 2015 · Other
- R•••• M•••• A•••• to P•• W••••• M•••••••••Oct 7, 2015 · Other
- A••• D•••• P•••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Sep 9, 2015 · Other
Joined, latest
- R•••• K••••••• T••• from T• A••••••••• I•••Nov 11, 2015 · Other
- T•••• B•••••• F••••••• from U••• F•••••••• P••••••• S•••••••Aug 31, 2015 · Other
- K••• E••••• L••••••• from L•••• F••• A••••••• S•••••••Jul 14, 2015 · Other
- I••••• P••••••• R••••••• from W•••• F•••• A•••••••Aug 28, 2014 · Other
- J••• J••••••• from A••••• A•• P••••••• S•••••••Jul 1, 2014 · Other
- M•••••• L••• W••••••••• from T• A••••••••• I•••May 21, 2014 · Other
- C•••• K•••••• M•••••• from P•• W••••• M•••••••••Apr 8, 2014 · Other
- R••• A••••• D••••• from T•••• F•••••••• A••••••••• L••Apr 3, 2014 · Other
- D••••• T•••• S•••• from T• A••••••••• I•••Feb 19, 2014 · Other
- C••••• M••••••• G•••••••• from E••••• J••••Aug 26, 2013 · Other
- M••• L••• from W•• A•••••••• L•Jun 28, 2013 · Other
- D•••• E• G••••••• from N•• E•••••• S••••••••• C•••••••••Feb 20, 2013 · Other
- B•••• C••• N••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 18, 2013 · Other
- W•••••• J••••• C•••••• from E••••• J••••Nov 29, 2012 · Other
- E••••• A•••••• H••••• from U•• F•••••••• S••••••• I•••Jul 27, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• V••••••• D••••• · Director, Co-Chief Compliance Officercontrolsince 06/2014 · owns less than 5%
- M•••••••• M•••••• F•••••• · Cfo/Exec Vice Pres/Directorcontrolsince 01/2007 · owns less than 5%
- S••••••••• M•••••• A•••• · Vice President, Co-Chief Compliance Officercontrolsince 06/2014 · owns less than 5%
- S••••••• H••• A••• · Exec Vice Pres/General Counsel/Secretarycontrolsince 01/2007 · owns less than 5%
- S•••••• J••• S•••• · President/Chief Executive Officercontrolsince 09/2007 · owns less than 5%
- S•••••• M••• D•••• · Exec Vice President, National Director, Advisor Operationscontrolsince 03/2010 · owns less than 5%
- W••••••••• J•••• A••• · Exec Vice President , Operations And Technologycontrolsince 01/2013 · owns less than 5%
- H••••••••• C•••• M•••••• · Trusteesince 11/2002 · owns F of F•••• C•••••• F•••••••• P••••••• I•• E••••••• S•••• O•••••••• P••• T••••
Entity owners
- F•••• C•••••• F•••••••• S•••••••• I••• · S••••Holder/Ownerdirect · owns 75% or more
- F•••• C•••••• F•••••••• P••••••• I•• E••••••• S•••• O•••••••• P••• T•••• · Ownerindirect · owns 75% or more of F•••• C•••••• F•••••••• S•••••••• I•••
Related persons
Schedule D 7.A
- F•••• C•••••• B•••n
- F•••• C•••••• E••••• L•••investment advisern
- F•••• C•••••• F•••••••• S•••••••• I•••real estatey
- F•••• C•••••• F•••••••• S•••••••• I••• • M•••••• D••••••• C•••••••••real estaten
- F•••• C•••••• I•••••••• S•••••••• I•••real estaten
- F•••• C•••••• L••• I•••••••• C••real estaten
Advisers that list F•••• C•••••• F•••••••• P•••••••• I••• as a related person
- 281958 n
Offices
Schedule D 1.F, the 25 largest
- Alexandria, VA
- Fairfax, VA
- Fayetteville, NC
- Lakewood, WA
- Newport News, VA
What changed
consecutive filings, newest first
- Succession · false to trueJan 2, 2015 to Oct 1, 2015
- Accounts · 58,416 to 70,530Jun 13, 2014 to Jan 2, 2015
- Advisory employees · 662 to 646Jun 13, 2014 to Jan 2, 2015
- BD registered reps · 808 to 834Jun 13, 2014 to Jan 2, 2015
- Employees · 808 to 834Jun 13, 2014 to Jan 2, 2015
- State-registered IARs · 662 to 646Jun 13, 2014 to Jan 2, 2015
- Discretionary RAUM · $8.2B to $9.7BJun 13, 2014 to Jan 2, 2015
- RAUM · $8.2B to $9.7BJun 13, 2014 to Jan 2, 2015
- Accounts · 50,505 to 58,416Nov 15, 2013 to Jan 2, 2014
- Advisory employees · 597 to 662Nov 15, 2013 to Jan 2, 2014
- BD registered reps · 743 to 808Nov 15, 2013 to Jan 2, 2014
- Employees · 743 to 808Nov 15, 2013 to Jan 2, 2014
- State-registered IARs · 597 to 662Nov 15, 2013 to Jan 2, 2014
- Discretionary RAUM · $6.7B to $8.2BNov 15, 2013 to Jan 2, 2014
- RAUM · $6.7B to $8.2BNov 15, 2013 to Jan 2, 2014
- Accounts · 45,247 to 50,505Jan 26, 2012 to Jan 2, 2013
- Advisory employees · unset to 597.0Jan 26, 2012 to Jan 2, 2013
- BD registered reps · unset to 743.0Jan 26, 2012 to Jan 2, 2013
- Employees · unset to 743.0Jan 26, 2012 to Jan 2, 2013
- State-registered IARs · unset to 597.0Jan 26, 2012 to Jan 2, 2013
- Discretionary RAUM · $5.7B to $6.7BJan 26, 2012 to Jan 2, 2013
- RAUM · $5.7B to $6.7BJan 26, 2012 to Jan 2, 2013
- Related adviser · false to trueJan 26, 2012 to Jan 2, 2013
Signals
1 dated events
- F•••• C•••••• F•••••••• P•••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Oct 1, 2015 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda 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