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
D••••• F•••••••• P•••••••
Legal name H• S• D••••• C•••••• M••••••••• L••
Latest filing Feb 13, 2026
First filing on the tape Jan 12, 2012 · 11 filings
SEC status approved since May 17, 2022
RAUM
$148M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$140M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$74.1M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$148M as of Feb 13, 2026
Jan 19, 2012$44.9M then
HNW client RAUM$94.3M as of Feb 13, 2026
Jan 31, 2023$79.0M then
State-registered IARs (5.B.3)2 as of Feb 13, 2026
Jan 19, 20120 then
Employees (5.A)2 as of Feb 13, 2026
Jan 31, 20233 then
Private funds: no history
RAUM +9.1% over the last fiscal year+7.5% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 13, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $74.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $298,871derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $95.0M, 360 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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$94.3M64%
- Individuals$45.6M31%
- Pension and profit-sharing plans$8.0M5.4%
- Charitable organizations$450,0000.3%
- Individual clients
- 142reported
- HNW clients
- 36reported
- Pension plan clients
- 4reported
- Charitable clients
- 2reported
- Accounts
- 496reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $95.0M for 360 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• E••••• V••••••Certified Financial Planner | Southern Pines, Nc | Dec 23, 1999 | 33 y | 0 |
| M•••••• S•••••• W••••Certified Financial Planner | Southern Pines, Nc | Jul 17, 2015 | 11 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V••••••• T•••••• E••••• · Managing Principal / Chief Compliance Officercontrolsince 09/2010 · owns 75% or more
- W••••• M••••••• S•••••• · Partnersince 12/2021 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Southern Pines, Nc · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 488 to 496Mar 11, 2025 to Feb 13, 2026
- HNW clients · 38 to 36Mar 11, 2025 to Feb 13, 2026
- Individual clients · 132 to 142Mar 11, 2025 to Feb 13, 2026
- Assets in custody · $90.0M to $95.0MMar 11, 2025 to Feb 13, 2026
- Discretionary RAUM · $136M to $148MMar 11, 2025 to Feb 13, 2026
- HNW RAUM · $86.3M to $94.3MMar 11, 2025 to Feb 13, 2026
- Individual RAUM · $41.8M to $45.6MMar 11, 2025 to Feb 13, 2026
- Pension RAUM · $7.3M to $8.0MMar 11, 2025 to Feb 13, 2026
- RAUM · $136M to $148MMar 11, 2025 to Feb 13, 2026
- Accounts · 470 to 488Sep 27, 2024 to Mar 11, 2025
- HNW clients · 35 to 38Sep 27, 2024 to Mar 11, 2025
- Individual clients · 120 to 132Sep 27, 2024 to Mar 11, 2025
- Pension plan clients · 3 to 4Sep 27, 2024 to Mar 11, 2025
- Assets in custody · $24.1M to $90.0MSep 27, 2024 to Mar 11, 2025
- Financial planning clients · 0 to 0Sep 27, 2024 to Mar 11, 2025
- Discretionary RAUM · $124M to $136MSep 27, 2024 to Mar 11, 2025
- HNW RAUM · $82.6M to $86.3MSep 27, 2024 to Mar 11, 2025
- Individual RAUM · $36.1M to $41.8MSep 27, 2024 to Mar 11, 2025
- Pension RAUM · $4.9M to $7.3MSep 27, 2024 to Mar 11, 2025
- RAUM · $124M to $136MSep 27, 2024 to Mar 11, 2025
- Advisory employees · 3 to 2Feb 21, 2024 to Sep 27, 2024
- Employees · 3 to 2Feb 21, 2024 to Sep 27, 2024
- State-registered IARs · 3 to 2Feb 21, 2024 to Sep 27, 2024
- Accounts · 467 to 470Jan 31, 2023 to Feb 21, 2024
- HNW clients · 36 to 35Jan 31, 2023 to Feb 21, 2024
- Individual clients · 116 to 120Jan 31, 2023 to Feb 21, 2024
- Assets in custody · $24.5M to $24.1MJan 31, 2023 to Feb 21, 2024
- Discretionary RAUM · $119M to $124MJan 31, 2023 to Feb 21, 2024
- HNW RAUM · $79.0M to $82.6MJan 31, 2023 to Feb 21, 2024
- Individual RAUM · $35.0M to $36.1MJan 31, 2023 to Feb 21, 2024
- Pension RAUM · $4.7M to $4.9MJan 31, 2023 to Feb 21, 2024
- RAUM · $119M to $124MJan 31, 2023 to Feb 21, 2024
- Accounts · 487 to 467Apr 14, 2022 to Jan 31, 2023
- HNW clients · 34 to 36Apr 14, 2022 to Jan 31, 2023
- Individual clients · 106 to 116Apr 14, 2022 to Jan 31, 2023
- Assets in custody · unset to 24522163.0Apr 14, 2022 to Jan 31, 2023
- Custody of client assets · false to trueApr 14, 2022 to Jan 31, 2023
- Discretionary RAUM · $119M to $119MApr 14, 2022 to Jan 31, 2023
- HNW RAUM · $74.4M to $79.0MApr 14, 2022 to Jan 31, 2023
- Individual RAUM · $39.8M to $35.0MApr 14, 2022 to Jan 31, 2023
Signals
1 dated events
- D••••• F•••••••• P••••••• filed its initial SEC registration (Form ADV)Apr 12, 2022 · First SEC registration · fact
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
- Website
- INTERESTONINTEREST.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 910 692-4330reportedpublic record, Form ADV, Feb 13, 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
- $74.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026