DFX Intelligence

H••••• S••••• I••••••••• 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

H••••• S••••• I••••••••• A••••••• L••

CRD 145334

APEX, NC

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Search this name across graphsid dfx:ria:2716e1ec-c220-6a34-21cd-442f5fc28019

Data as of Jun 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 1
On other graphs: 0
Observed: Nov 21, 2024 to Jun 1, 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $166M••• Locked
Discretionary RAUM: $166M
Private client RAUM: $166Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor: $23.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••••• A•••••• M•••••	Certified Financial Planner\|Chartered Financial Consultant	APEX, NC	18	27	2	no
M•••••• B•••• O•••••••	n/a	APEX, NC	5	14

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••••• J•••••• A••••••	MANAGING MEMBER, CHIEF COMPLIANCE OFFICER	D	yes	09/2007	Nov 21, 2024	Dec 23, 2024
M•••••• M••••••• C••••••	MANAGING MEMBER	C	no	09/2019	Nov 21, 2024	Dec 23, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 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	$166M	$134M	24.5%	n/a	n/a	8	8	0	0

Relationships

Registered with (7)

← C•••••• D••• L••••Advisorregistration: previous registration
Apr 1, 2023 to Feb 11, 2025factForm ADV
← M•••••• C•••••• M•••••Advisorregistration: previous registration
Oct 2, 2019 to Feb 11, 2025factForm ADV
← G••••• T••••• N•••••Advisorregistration: previous registration
Oct 2, 2019 to Feb 11, 2025factForm ADV
← K•••• C•••• C••••••

Dated events

Occurred
Nov 21, 2024
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2716e1ec-c220-6a34-21cd-442f5fc28019
First observed: Nov 21, 2024
Last observed: Jun 1, 2026 3 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.