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
H••••••••• I••••••••• C•
Latest filing Mar 30, 2026
First filing on the tape Dec 5, 2011 · 26 filings
SEC status approved since Aug 14, 1995
RAUM
$661M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
93%
$613M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$110M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$661M as of Mar 30, 2026
Mar 28, 2012$96.8M then
HNW client RAUM$498M as of Mar 30, 2026
Mar 19, 2018$220M then
State-registered IARs (5.B.3)6 as of Mar 30, 2026
Mar 21, 20133 then
Employees (5.A)8 as of Mar 30, 2026
Mar 21, 20135 then
Private funds: no history
RAUM +6.4% over the last fiscal year+24% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 30, 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
- RAUM per advisor
- $110MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.4MderivedHNW RAUM over HNW clients
- Average account
- $849,249derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 5.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $273M, 139 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
- High-net-worth individuals$498M75%
- Individuals$115M17%
- Charitable organizations$19.4M2.9%
- Pension and profit-sharing plans$18.1M2.7%
- Corporations and businesses$9.9M1.5%
- Individual clients
- 231reported
- HNW clients
- 93reported
- Pension plan clients
- 10reported
- Charitable clients
- n/areported
- Accounts
- 778reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $273M for 139 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•• C••••••• E•••Chartered Financial Analyst | Greensboro, Nc | Dec 31, 2001 | 31 y | 0 |
| R•••••• T••••••• H•••••••••Chartered Financial Analyst | Greensboro, Nc | Oct 28, 2009 | 31 y | 0 |
| K•••••• J••••• S••••••Certified Financial Planner, Personal Financial Specialist | Greensboro, Nc | Jan 26, 2017 | 28 y | 2 |
| S••••• M•• F••••Certified Financial Planner, Personal Financial Specialist | Advance, Nc | Nov 9, 2017 | 15 y | 4 |
| J••••••• M•••••• M•••••Chartered Financial Analyst | Charlotte, Nc | Feb 23, 2024 | 29 y | 2 |
| R••• M•••••• V••••••Certified Financial Planner | Greensboro, Nc | Aug 25, 2024 | 13 y | 2 |
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
- S••••• M•• F•••• to P••• A••••• S••••••••• L••Jun 30, 2017 · Other
- C•••••• F• F•••••• to A••••••••• I••••••••• L••May 18, 2017 · Other
Joined, latest
- R••• M•••••• V•••••• from W•••••• A•••••••• L••Aug 25, 2024 · RIA to RIA
- J••••••• M•••••• M••••• from M•••••• P•••••••Feb 23, 2024 · RIA to RIA
- S••••• M•• F•••• from P••• A••••• S••••••••• L••Nov 9, 2017 · Other
- S••••• M•• F•••• from K••••• A••••••• S•••••••• L••Jan 26, 2017 · Other
- K•••••• J••••• S•••••• from K••••• A••••••• S•••••••• L••Jan 26, 2017 · Other
- C•••••• F• F•••••• from E•••••••• A•••••••• L••Apr 19, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from K••••• A••••••• S•••••••• L••Jan 27, 2017 · Greensboro, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••• K••• C••••••• · Vice-President/Chief Compliance Officercontrolsince 03/2004 · owns 25% to 50%
- H••••••••• R••••••• T••••••• · Presidentcontrolsince 08/1995 · owns 75% or more
Related persons
Schedule D 7.A
- H••••••••• A•••• S•••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Greensboro, Nc · principal | 6 | 0 | 0 | ||
| Charlotte, Nc | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Charlotte, NC1 employees
- Greensboro, NC1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 750 to 778Mar 26, 2025 to Mar 30, 2026
- BD registered reps · 1 to 0Mar 26, 2025 to Mar 30, 2026
- HNW clients · 123 to 93Mar 26, 2025 to Mar 30, 2026
- Individual clients · 199 to 231Mar 26, 2025 to Mar 30, 2026
- Assets in custody · $247M to $273MMar 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $597M to $642MMar 26, 2025 to Mar 30, 2026
- HNW RAUM · $497M to $498MMar 26, 2025 to Mar 30, 2026
- Individual RAUM · $81.8M to $115MMar 26, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $24.4M to $19.1MMar 26, 2025 to Mar 30, 2026
- Pension RAUM · $15.6M to $18.1MMar 26, 2025 to Mar 30, 2026
- RAUM · $621M to $661MMar 26, 2025 to Mar 30, 2026
- Accounts · 679 to 750Aug 23, 2024 to Mar 26, 2025
- Advisory employees · 4 to 6Aug 23, 2024 to Mar 26, 2025
- Corporate clients · unset to 5.0Aug 23, 2024 to Mar 26, 2025
- HNW clients · 121 to 123Aug 23, 2024 to Mar 26, 2025
- Individual clients · 172 to 199Aug 23, 2024 to Mar 26, 2025
- Pension plan clients · 11 to 10Aug 23, 2024 to Mar 26, 2025
- Assets in custody · $191M to $247MAug 23, 2024 to Mar 26, 2025
- Employees · 6 to 8Aug 23, 2024 to Mar 26, 2025
- Financial planning clients · 26-50 to 26-50Aug 23, 2024 to Mar 26, 2025
- State-registered IARs · 4 to 6Aug 23, 2024 to Mar 26, 2025
- Discretionary RAUM · $486M to $597MAug 23, 2024 to Mar 26, 2025
- HNW RAUM · $433M to $497MAug 23, 2024 to Mar 26, 2025
- Individual RAUM · $50.8M to $81.8MAug 23, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $24.8M to $24.4MAug 23, 2024 to Mar 26, 2025
- Pension RAUM · $10.8M to $15.6MAug 23, 2024 to Mar 26, 2025
- RAUM · $511M to $621MAug 23, 2024 to Mar 26, 2025
- Accounts · 546 to 679Nov 1, 2023 to Mar 25, 2024
- BD registered reps · 2 to 1Nov 1, 2023 to Mar 25, 2024
- HNW clients · 96 to 121Nov 1, 2023 to Mar 25, 2024
- Individual clients · 139 to 172Nov 1, 2023 to Mar 25, 2024
- Pension plan clients · unset to 11.0Nov 1, 2023 to Mar 25, 2024
- Assets in custody · $144M to $191MNov 1, 2023 to Mar 25, 2024
- Other offices · 1 to 3Nov 1, 2023 to Mar 25, 2024
- Discretionary RAUM · $327M to $486MNov 1, 2023 to Mar 25, 2024
- HNW RAUM · $298M to $433MNov 1, 2023 to Mar 25, 2024
- Individual RAUM · $35.2M to $50.8MNov 1, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $19.5M to $24.8MNov 1, 2023 to Mar 25, 2024
- Pension RAUM · $5.3M to $10.8MNov 1, 2023 to Mar 25, 2024
- RAUM · $347M to $511MNov 1, 2023 to Mar 25, 2024
Signals
1 dated events
- H••••••••• I••••••••• C• reported RAUM $510.8M, up 47% from $346.7M (2023-11-01 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
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
- Business phone
- 336-574-1400reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-541-1400reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••INVESTMENTS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 336-574-1400reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- h•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $110Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026