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
F•••• G••••••••• S••••••••• I••
Legal name F•••• G••••••••• S••••••••• I•••
Latest filing Aug 12, 2026
First filing on the tape Dec 13, 2011 · 5 filings
SEC status approved since Aug 5, 2026
RAUM
$116M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$116M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$57.9M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$116M as of Aug 12, 2026
Dec 13, 2011$66.0M then
HNW client RAUM: $75.2M
State-registered IARs (5.B.3)2 as of Aug 12, 2026
Dec 13, 20110 then
Employees (5.A): 4
Private funds: no history
Practice profile
derived from the filing of Aug 12, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $57.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $752,296derivedHNW RAUM over HNW clients
- Average account
- $940,958derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $116M, 123 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
- is a broker-dealer (6.A.1)
- 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)
- 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)
- the adviser acts as qualified custodian (9.D.1)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$75.2M65%
- Individuals$40.5M35%
- Individual clients
- 23reported
- HNW clients
- 100reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 123reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $116M for 123 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=4.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• T••••• M••• | Alexandria, Va | May 12, 2008 | 51 y | 0 |
| C•••••• W•••••• H••••• | Alexandria, Va | Jun 27, 2019 | 44 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- S••• M•••••• D•••• to A••••••••• F•••••••• S•••••••• L••Dec 14, 2016 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• C•••••• W•••••• · Chief Compliance Officercontrolsince 07/2009 · owns less than 5%
- M•••• R••••• T••••• · Presidentcontrolsince 01/1983 · owns 75% or more
Related persons
Schedule D 7.A
- N••••••• F•••••••• S•••••• L••broker-dealercustodiann
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Alexandria, Va · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Aug 12, 2026custody of client assets (Item 9.A): no on the filing of 2012-06-27, yes on the filing of 2026-08-12peers: independent wealth managers, $100M to $500M (5,678)
- compensation changedChange between filings · filing Aug 12, 2026commissions (Item 5.E.5): yes on the filing of 2012-06-27, no on the filing of 2026-08-12peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 35 to 123Jun 27, 2012 to Aug 12, 2026
- Advisory employees · unset to 2.0Jun 27, 2012 to Aug 12, 2026
- BD registered reps · unset to 4.0Jun 27, 2012 to Aug 12, 2026
- Charity clients · unset to 0.0Jun 27, 2012 to Aug 12, 2026
- Corporate clients · unset to 0.0Jun 27, 2012 to Aug 12, 2026
- HNW clients · unset to 100.0Jun 27, 2012 to Aug 12, 2026
- Individual clients · unset to 23.0Jun 27, 2012 to Aug 12, 2026
- Pension plan clients · unset to 0.0Jun 27, 2012 to Aug 12, 2026
- Pooled vehicle clients · unset to 0.0Jun 27, 2012 to Aug 12, 2026
- Commission compensation · true to falseJun 27, 2012 to Aug 12, 2026
- Assets in custody · unset to 115737800.0Jun 27, 2012 to Aug 12, 2026
- Custody of client assets · false to trueJun 27, 2012 to Aug 12, 2026
- Employees · unset to 4.0Jun 27, 2012 to Aug 12, 2026
- Financial planning clients · unset to Jun 27, 2012 to Aug 12, 2026
- State-registered IARs · 0 to 2Jun 27, 2012 to Aug 12, 2026
- Other offices · unset to 0.0Jun 27, 2012 to Aug 12, 2026
- Discretionary RAUM · $70.0M to $116MJun 27, 2012 to Aug 12, 2026
- HNW RAUM · unset to 75229570.0Jun 27, 2012 to Aug 12, 2026
- Individual RAUM · unset to 40508230.0Jun 27, 2012 to Aug 12, 2026
- Pension RAUM · unset to 0.0Jun 27, 2012 to Aug 12, 2026
- Pooled vehicle RAUM · unset to 0.0Jun 27, 2012 to Aug 12, 2026
- RAUM · $70.0M to $116MJun 27, 2012 to Aug 12, 2026
- Related adviser · false to trueJun 27, 2012 to Aug 12, 2026
- Financial planning clients · 26-50 to unsetDec 13, 2011 to Mar 14, 2012
- Discretionary RAUM · $66.0M to $70.0MDec 13, 2011 to Mar 14, 2012
- RAUM · $66.0M to $70.0MDec 13, 2011 to Mar 14, 2012
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
- 703-519-7700reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 703-519-7704reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 703-519-7969reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- F••••G•••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 703-519-7700reportedpublic record, Form ADV, Aug 12, 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
- $57.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026