DFX Intelligence

R•••••••• W••••• A•••••••• L•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

R•••••••• W••••• A•••••••• L•••

CRD 284843

RALEIGH, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1bad5916-1a70-bb06-8cc9-3ba4d40445e7

Data as of Jul 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Apr 11, 2024 to Jul 14, 2026
7 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $189M••• Locked
Discretionary RAUM: $189M
Private client RAUM: $188Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $47.3Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••••• E•• S•••	Certified Financial Planner\|Chartered Financial Consultant	FRANKLIN, TN \| RALEIGH, NC	10	27	4	no
M•••••• F• P••••••	Personal Financial Specialist	RALEIGH, NC	10	36

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•••• J•••••• E••	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	E	yes	07/2016	Apr 11, 2024	Sep 3, 2024
P••••••• M••••••• F•	Member	B	no	07/2016	Apr 11, 2024	Sep 3, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 23, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$189M	$142M	33.4%	n/a	n/a	7	5	5	5

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
E••••••• W••••• P•••••••	2	Sep 1, 2016	Sep 2, 2016	FRANKLIN, TN	Team lift out	Other	40.0%

Relationships

Registered with (5)

← T••••• M• H•••••••Advisorregistration: current employment
Mar 17, 2025 to presentfactForm ADV
← M•••••• J•••• Z••••Advisorregistration: current employment
Oct 16, 2022 to presentfactForm ADV
← M•••••• F• P••••••Advisorregistration: current employment
Sep 2, 2016 to presentfactForm ADV
← J••••• E•• S•••

Dated events

Occurred
Apr 11, 2024
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1bad5916-1a70-bb06-8cc9-3ba4d40445e7
First observed: Apr 11, 2024
Last observed: Jul 14, 2026 2 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.