DFX Intelligence

Data Factory

F•••• T•••• A•••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 1b 10b

F•••• T•••• A•••••••

FTA ASSET MANAGEMENT, LLC, CRD 332377

CHARLOTTE, 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:f85b77fe-5186-8276-2db1-63256c06bd0d

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 3
On other graphs: 0
Observed: Aug 20, 2024 to Mar 25, 2026
6 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: institutional managerderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=true related_bank=false bd_reps=1.0
Regulatory AUM: $1.0BItem 5.F on the latest filing (2026-03-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $12.1M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• • C•	Member	D	yes	06/2024	Aug 20, 2024	Sep 25, 2024
B•••••••• C••••••••• G•• I••••••••• T•••• D•• 1•••••••	Shareholder	D	yes	12/2001	Aug 20, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F•••• T•••• A••••••• L••	n/a	n/a	n/a	Y	yes	n/a
F•••• T•••• S••••••••• L••	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Annapolis	Md	United States	3	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.0B	$123M	720.8%	n/a	n/a	13	10	2	1

Relationships

Controls (8)

← B••••••••• H••••• K••••OwnerTRUSTEE, ownership code F, individual
Aug 20, 2024 to Sep 25, 2024factForm ADV
← G••••••••• J••••• W•••••OwnerSHAREHOLDER, ownership code E, individual
Aug 20, 2024 to Sep 25, 2024factForm ADV
← H••••••••• P•••• M•••••••OwnerTRUSTEE, ownership code F, individual
Sep 9, 2024 to Sep 25, 2024factForm ADV
← T•••••• T•••• H•••••OwnerCFO, ownership code NA, individual
Aug 20, 2024 to Sep 25, 2024fact

Dated events

Occurred
Mar 25, 2026
Regulatory AUM changed
F•••• T•••• A••••••• reported RAUM $1.0B, up 721% from $123.2M (2025-08-21 to 2026-03-25)
Form ADVobserved 7 days ago
$888M
Occurred
Sep 9, 2024
Control person joined
Mcdonald P••• H••••••••• (Trustee) appeared on Schedule A of F•••• T•••• A•••••••
Form ADVobserved 7 days ago
Occurred
Aug 20, 2024
Ria f•••• adv filing
F•••• T•••• A••••••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f85b77fe-5186-8276-2db1-63256c06bd0d
First observed: Aug 20, 2024
Last observed: Mar 25, 2026 6 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.