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
I••••••• A••••••• G••••
Legal name I••••••• A••••••• G••••• L••
Latest filing Mar 4, 2026
First filing on the tape Feb 9, 2012 · 29 filings
SEC status approved since Apr 2, 2014
RAUM
$172M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
99%
$170M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$43.0M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$172M as of Mar 4, 2026
Feb 9, 2012$76.7M then
HNW client RAUM$131M as of Mar 4, 2026
Mar 8, 2018$74.3M then
State-registered IARs (5.B.3)4 as of Mar 4, 2026
Feb 9, 20120 then
Employees (5.A)4 as of Mar 4, 2026
Mar 13, 20154 then
Private funds: no history
RAUM +13% over the last fiscal year+11% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 4, 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
- RAUM per advisor
- $43.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $389,262derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$131M76%
- Individuals$39.5M23%
- Pension and profit-sharing plans$1.7M1.0%
- Individual clients
- 129reported
- HNW clients
- 54reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 442reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••••• K•••• J•••••• | Charlotte, Nc | Jul 5, 2011 | 26 y | 0 |
| R••••• J••• J•••• | Charlotte, Nc | Feb 10, 2016 | 12 y | 0 |
| M••• T• C••••• | Charleston, Sc | Aug 6, 2020 | 18 y | 0 |
| M•••••• F••••• J•••••• | Charlotte, Nc | Sep 22, 2021 | 16 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
- J••••••• E•••••• K•••• · Managercontrolsince 07/2015 · owns less than 5%
- J••••• R•••••• J••• · Manager/Chief Compliance Officercontrolsince 12/2015 · owns less than 5%
- J••••••• E•••••• K•••• · Ownercontrolsince 07/2012 · owns 75% or more of A••••••••• I••••••••• L••
- J••••• R•••••• J••• · Ownercontrolsince 01/2017 · owns 75% or more of J•••• • C•••••• W••••• A•••••••• L••
- J••••••• J••••• F••••• · Ownersince 07/2012 · owns F of A••••••••• I••••••••• L••
Entity owners
- A••••••••• I••••••••• L•• · Ownerdirect · owns 50% to 75%
- J•••• • C•••••• W••••• A•••••••• L•• · Ownerdirect · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Charlotte, Nc · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 4, 2026discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 435 to 442Mar 13, 2025 to Mar 4, 2026
- HNW clients · 60 to 54Mar 13, 2025 to Mar 4, 2026
- Individual clients · 117 to 129Mar 13, 2025 to Mar 4, 2026
- Pension plan clients · 4 to 1Mar 13, 2025 to Mar 4, 2026
- HNW RAUM · $119M to $131MMar 13, 2025 to Mar 4, 2026
- Individual RAUM · $29.3M to $39.5MMar 13, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $153M to $172MMar 13, 2025 to Mar 4, 2026
- Pension RAUM · $4.9M to $1.7MMar 13, 2025 to Mar 4, 2026
- RAUM · $153M to $172MMar 13, 2025 to Mar 4, 2026
- Accounts · 464 to 435Dec 19, 2024 to Mar 13, 2025
- HNW clients · 67 to 60Dec 19, 2024 to Mar 13, 2025
- Individual clients · 113 to 117Dec 19, 2024 to Mar 13, 2025
- Financial planning clients · 1-10 to 1-10Dec 19, 2024 to Mar 13, 2025
- HNW RAUM · $113M to $119MDec 19, 2024 to Mar 13, 2025
- Individual RAUM · $23.0M to $29.3MDec 19, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $141M to $153MDec 19, 2024 to Mar 13, 2025
- Pension RAUM · $4.7M to $4.9MDec 19, 2024 to Mar 13, 2025
- RAUM · $141M to $153MDec 19, 2024 to Mar 13, 2025
- Accounts · 418 to 464May 25, 2023 to Mar 29, 2024
- HNW clients · 63 to 67May 25, 2023 to Mar 29, 2024
- Individual clients · 105 to 113May 25, 2023 to Mar 29, 2024
- Financial planning clients · 0 to 1-10May 25, 2023 to Mar 29, 2024
- HNW RAUM · $96.6M to $113MMay 25, 2023 to Mar 29, 2024
- Individual RAUM · $21.2M to $23.0MMay 25, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $126M to $141MMay 25, 2023 to Mar 29, 2024
- Pension RAUM · $7.8M to $4.7MMay 25, 2023 to Mar 29, 2024
- RAUM · $126M to $141MMay 25, 2023 to Mar 29, 2024
- Accounts · 426 to 418Mar 14, 2022 to Jan 30, 2023
- HNW clients · 66 to 63Mar 14, 2022 to Jan 30, 2023
- Individual clients · 99 to 105Mar 14, 2022 to Jan 30, 2023
- HNW RAUM · $121M to $96.6MMar 14, 2022 to Jan 30, 2023
- Individual RAUM · $24.6M to $21.2MMar 14, 2022 to Jan 30, 2023
- Non-discretionary RAUM · $155M to $126MMar 14, 2022 to Jan 30, 2023
- Pension RAUM · $8.8M to $7.8MMar 14, 2022 to Jan 30, 2023
- RAUM · $155M to $126MMar 14, 2022 to Jan 30, 2023
- Accounts · 437 to 426Mar 15, 2021 to Mar 14, 2022
- HNW clients · 68 to 66Mar 15, 2021 to Mar 14, 2022
- Individual clients · 96 to 99Mar 15, 2021 to Mar 14, 2022
- HNW RAUM · $114M to $121MMar 15, 2021 to Mar 14, 2022
- Individual RAUM · $19.7M to $24.6MMar 15, 2021 to Mar 14, 2022
Signals
2 dated events
- Lee Erskine Harkey (Owner) no longer on Schedule A of I••••••• A••••••• G•••• (listed 2018-04-13, absent 2019-03-11)Mar 11, 2019 · Control person left · inference
- I••••••• A••••••• G•••• filed its initial SEC registration (Form ADV)Mar 17, 2014 · 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
- Business email
- i•••@t•••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 704-362-1120reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 704-366-1120reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.t•••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 704-366-1120reportedpublic record, Form ADV, Mar 4, 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
- $43.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026