DFX Intelligence

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P•••••• P••••••• A••••••••• I••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $165M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-02-13 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $165M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +4.4%
Private clients: 100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-02-13 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 13 Feb 2026, RAUM $158M to $165M (+4.4%) on the Form ADV filed 13 Feb 2026.

Every filed figure, and the identifiersCRD 105409 · SEC 801-27115 · 26 filingsShow

CRD 105409SEC 801-27115Legal name P•••••• P••••••• A••••••••• I•••First filing on the tape Feb 8, 2012, latest Feb 13, 2026SEC status approved since May 30, 1986IAPD

RAUM

$165M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$165M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$165M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

26 filings and snapshots on the tape

RAUM +6.5% a year over three years · the tape starts Feb 8, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$165M as of Feb 13, 2026

Feb 8, 2012$103M then

HNW client RAUM$157M as of Feb 13, 2026

Jan 17, 2018$136M then

State-registered IARs (5.B.3)1 as of Feb 13, 2026

Feb 8, 20120 then

Employees (5.A)1 as of Feb 13, 2026

Feb 28, 20131 then

Private funds: no history

RAUM +4.4% over the last fiscal year+6.5% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Feb 13, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $165MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 66derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.3MderivedHNW RAUM over HNW clients
Average account: $532,408derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +4.4%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -9.6%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Custody: $64.8M, 52 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)
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

95% high-net-worth individuals, 4.8% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$157M95%
Individuals$7.9M4.8%

Individual clients: 19reported
HNW clients: 47reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 309reported
Financial planning clients: 26-50reported
Wrap fee programs: noreported
Custody of client assets: $64.8M for 52 clientsreported
Compensation: % of AUM, fixedreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
S••••• L•••••• P••••••Certified Financial Planner	Asheville, Nc	Jul 20, 2018	25 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

P••••••• S•••••• L•••••• · President/Chief Compliance Officercontrol
since 07/2006 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 306 to 309
Jan 27, 2025 to Feb 13, 2026
HNW clients · 50 to 47
Jan 27, 2025 to Feb 13, 2026
Individual clients · 23 to 19
Jan 27, 2025 to Feb 13, 2026
Assets in custody · $61.7M to $64.8M
Jan 27, 2025 to Feb 13, 2026
Discretionary RAUM · $158M to $165M
Jan 27, 2025 to Feb 13, 2026

Full history · 80 changes

HNW RAUM · $148M to $157M
Jan 27, 2025 to Feb 13, 2026
Individual RAUM · $9.5M to $7.9M
Jan 27, 2025 to Feb 13, 2026
RAUM · $158M to $165M
Jan 27, 2025 to Feb 13, 2026
Accounts · 326 to 306
Mar 5, 2024 to Jan 27, 2025
HNW clients · 52 to 50
Mar 5, 2024 to Jan 27, 2025
Individual clients · 25 to 23
Mar 5, 2024 to Jan 27, 2025
Assets in custody · $66.6M to $61.7M
Mar 5, 2024 to Jan 27, 2025
Financial planning clients · 26-50 to 26-50
Mar 5, 2024 to Jan 27, 2025
HQ city · unset to
Mar 5, 2024 to Jan 27, 2025
HQ state · unset to
Mar 5, 2024 to Jan 27, 2025
Discretionary RAUM · $153M to $158M
Mar 5, 2024 to Jan 27, 2025
HNW RAUM · $144M to $148M
Mar 5, 2024 to Jan 27, 2025
Individual RAUM · $9.0M to $9.5M
Mar 5, 2024 to Jan 27, 2025
RAUM · $153M to $158M
Mar 5, 2024 to Jan 27, 2025
Accounts · 331 to 326
Jan 26, 2023 to Mar 1, 2024
HNW clients · 50 to 52
Jan 26, 2023 to Mar 1, 2024
Individual clients · 29 to 25
Jan 26, 2023 to Mar 1, 2024
Assets in custody · $41.5M to $66.6M
Jan 26, 2023 to Mar 1, 2024
Discretionary RAUM · $136M to $153M
Jan 26, 2023 to Mar 1, 2024
HNW RAUM · $125M to $144M
Jan 26, 2023 to Mar 1, 2024
Individual RAUM · $11.4M to $9.0M
Jan 26, 2023 to Mar 1, 2024
RAUM · $136M to $153M
Jan 26, 2023 to Mar 1, 2024
Accounts · 335 to 331
Nov 4, 2022 to Jan 24, 2023
HNW clients · 54 to 50
Nov 4, 2022 to Jan 24, 2023
Individual clients · 26 to 29
Nov 4, 2022 to Jan 24, 2023
Assets in custody · $51.8M to $41.5M
Nov 4, 2022 to Jan 24, 2023
Discretionary RAUM · $163M to $136M
Nov 4, 2022 to Jan 24, 2023
HNW RAUM · $153M to $125M
Nov 4, 2022 to Jan 24, 2023
Individual RAUM · $10.3M to $11.4M
Nov 4, 2022 to Jan 24, 2023
RAUM · $163M to $136M
Nov 4, 2022 to Jan 24, 2023
Accounts · 341 to 335
Oct 22, 2021 to Feb 7, 2022
Individual clients · 28 to 26
Oct 22, 2021 to Feb 7, 2022
Assets in custody · $87.8M to $51.8M
Oct 22, 2021 to Feb 7, 2022
Financial planning clients · 51-100 to 26-50
Oct 22, 2021 to Feb 7, 2022
Discretionary RAUM · $150M to $163M
Oct 22, 2021 to Feb 7, 2022
HNW RAUM · $138M to $153M
Oct 22, 2021 to Feb 7, 2022
Individual RAUM · $11.6M to $10.3M
Oct 22, 2021 to Feb 7, 2022
RAUM · $150M to $163M
Oct 22, 2021 to Feb 7, 2022
Accounts · 324 to 341
Jun 30, 2020 to Mar 2, 2021
HNW clients · 53 to 54
Jun 30, 2020 to Mar 2, 2021
Individual clients · 27 to 28
Jun 30, 2020 to Mar 2, 2021
Assets in custody · $82.5M to $87.8M
Jun 30, 2020 to Mar 2, 2021
Discretionary RAUM · $148M to $150M
Jun 30, 2020 to Mar 2, 2021
HNW RAUM · $133M to $138M
Jun 30, 2020 to Mar 2, 2021
Individual RAUM · $14.2M to $11.6M
Jun 30, 2020 to Mar 2, 2021
RAUM · $148M to $150M
Jun 30, 2020 to Mar 2, 2021
Accounts · 80 to 324
Oct 17, 2019 to Feb 8, 2020
HNW clients · 50 to 53
Oct 17, 2019 to Feb 8, 2020
Individual clients · 30 to 27
Oct 17, 2019 to Feb 8, 2020
Assets in custody · $11.6M to $82.5M
Oct 17, 2019 to Feb 8, 2020
Financial planning clients · 26-50 to 51-100
Oct 17, 2019 to Feb 8, 2020
Discretionary RAUM · $141M to $148M
Oct 17, 2019 to Feb 8, 2020
HNW RAUM · $121M to $133M
Oct 17, 2019 to Feb 8, 2020
Individual RAUM · $19.5M to $14.2M
Oct 17, 2019 to Feb 8, 2020
RAUM · $141M to $148M
Oct 17, 2019 to Feb 8, 2020
HNW clients · 54 to 50
Jul 20, 2018 to Jan 31, 2019
Individual clients · 26 to 30
Jul 20, 2018 to Jan 31, 2019
Assets in custody · $20.1M to $11.6M
Jul 20, 2018 to Jan 31, 2019
Financial planning clients · 51-100 to 26-50
Jul 20, 2018 to Jan 31, 2019
Discretionary RAUM · $153M to $141M
Jul 20, 2018 to Jan 31, 2019
HNW RAUM · $136M to $121M
Jul 20, 2018 to Jan 31, 2019
Individual RAUM · $17.3M to $19.5M
Jul 20, 2018 to Jan 31, 2019
RAUM · $153M to $141M
Jul 20, 2018 to Jan 31, 2019
Accounts · 92 to 80
Mar 1, 2017 to Jan 17, 2018
HNW clients · unset to 54.0
Mar 1, 2017 to Jan 17, 2018
Individual clients · unset to 26.0
Mar 1, 2017 to Jan 17, 2018
Assets in custody · unset to 20143746.0
Mar 1, 2017 to Jan 17, 2018
Custody of client assets · false to true
Mar 1, 2017 to Jan 17, 2018
Other offices · unset to 0.0
Mar 1, 2017 to Jan 17, 2018
Discretionary RAUM · $135M to $153M
Mar 1, 2017 to Jan 17, 2018
HNW RAUM · unset to 136022000.0
Mar 1, 2017 to Jan 17, 2018
Individual RAUM · unset to 17286000.0
Mar 1, 2017 to Jan 17, 2018
RAUM · $135M to $153M
Mar 1, 2017 to Jan 17, 2018
Accounts · 100 to 92
Feb 8, 2016 to Mar 1, 2017
Discretionary RAUM · $131M to $135M
Feb 8, 2016 to Mar 1, 2017

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

Website: ••• Lockedreportedpublic record, Form ADV, Feb 13, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 13, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $165Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026