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
F••••••• F•••••••• P•••••••• L•••
Latest filing Feb 12, 2026
First filing on the tape Mar 8, 2012 · 24 filings
SEC status approved since May 23, 2001
RAUM
$404M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$404M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$135M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$404M as of Feb 12, 2026
Mar 8, 2012$168M then
HNW client RAUM$379M as of Feb 12, 2026
Mar 29, 2018$216M then
State-registered IARs (5.B.3)3 as of Feb 12, 2026
Mar 8, 20120 then
Employees (5.A)3 as of Feb 12, 2026
Mar 6, 20132 then
Private funds: no history
RAUM +9.2% over the last fiscal year+9.5% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 12, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $135MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $748,830derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%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
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.7%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Custody
- $21.7M, 14 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$379M94%
- Individuals$25.1M6.2%
- Individual clients
- 48reported
- HNW clients
- 93reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 540reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $21.7M for 14 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••••• E••• B••••Certified Financial Planner | Alpharetta, Ga | Jan 4, 2022 | 9 y | 0 |
| A••••• M•••••• H•••••Certified Financial Planner | Okatie, Sc | Jan 17, 2023 | 44 y | 0 |
| A••• M•••• H•••••Certified Financial Planner | Okatie, Sc | Jan 17, 2023 | 36 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
- J•••• E••••• P•••••• to P••••••• I• F•••••••• P•••••••• L••Nov 13, 2009 · Other
- P••••• D••••• P•••••• to P••••••• I• F•••••••• P•••••••• L••Nov 13, 2009 · Other
- A••••• L••• K•••• to A••••••••• F•••••••• P••••••• L••Aug 5, 2009 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• M•••••••• E••• · Membercontrolsince 09/2016 · owns 5% to 10%
- H•••••• A•••••• M•••••• · Managing Membercontrolsince 01/1993 · owns 50% to 75%
- H•••••• A•••• M•••• · Principal/Chief Compliance Officercontrolsince 01/2001 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Okatie, Sc | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 520 to 540Feb 18, 2025 to Feb 12, 2026
- HNW clients · 82 to 93Feb 18, 2025 to Feb 12, 2026
- Individual clients · 60 to 48Feb 18, 2025 to Feb 12, 2026
- Assets in custody · $16.1M to $21.7MFeb 18, 2025 to Feb 12, 2026
- Discretionary RAUM · $364M to $395MFeb 18, 2025 to Feb 12, 2026
- HNW RAUM · $330M to $379MFeb 18, 2025 to Feb 12, 2026
- Individual RAUM · $40.1M to $25.1MFeb 18, 2025 to Feb 12, 2026
- Non-discretionary RAUM · $6.1M to $9.7MFeb 18, 2025 to Feb 12, 2026
- RAUM · $370M to $404MFeb 18, 2025 to Feb 12, 2026
- Accounts · 516 to 520Mar 10, 2024 to Feb 18, 2025
- HNW clients · 85 to 82Mar 10, 2024 to Feb 18, 2025
- Individual clients · 61 to 60Mar 10, 2024 to Feb 18, 2025
- Assets in custody · $203M to $16.1MMar 10, 2024 to Feb 18, 2025
- Financial planning clients · 101-250 to 101-250Mar 10, 2024 to Feb 18, 2025
- HQ city · unset to Mar 10, 2024 to Feb 18, 2025
- HQ state · unset to Mar 10, 2024 to Feb 18, 2025
- Discretionary RAUM · $341M to $364MMar 10, 2024 to Feb 18, 2025
- HNW RAUM · $312M to $330MMar 10, 2024 to Feb 18, 2025
- Individual RAUM · $35.6M to $40.1MMar 10, 2024 to Feb 18, 2025
- Non-discretionary RAUM · $6.7M to $6.1MMar 10, 2024 to Feb 18, 2025
- RAUM · $348M to $370MMar 10, 2024 to Feb 18, 2025
- Accounts · 495 to 516Oct 2, 2023 to Mar 8, 2024
- HNW clients · 86 to 85Oct 2, 2023 to Mar 8, 2024
- Individual clients · 59 to 61Oct 2, 2023 to Mar 8, 2024
- Assets in custody · unset to 202968628.0Oct 2, 2023 to Mar 8, 2024
- Custody of client assets · false to trueOct 2, 2023 to Mar 8, 2024
- Discretionary RAUM · $303M to $341MOct 2, 2023 to Mar 8, 2024
- HNW RAUM · $277M to $312MOct 2, 2023 to Mar 8, 2024
- Individual RAUM · $30.3M to $35.6MOct 2, 2023 to Mar 8, 2024
- Non-discretionary RAUM · $5.2M to $6.7MOct 2, 2023 to Mar 8, 2024
- RAUM · $308M to $348MOct 2, 2023 to Mar 8, 2024
- Accounts · 484 to 495Oct 3, 2022 to Mar 28, 2023
- Charity clients · 0.0 to unsetOct 3, 2022 to Mar 28, 2023
- Corporate clients · 0.0 to unsetOct 3, 2022 to Mar 28, 2023
- HNW clients · 97 to 86Oct 3, 2022 to Mar 28, 2023
- Individual clients · 38 to 59Oct 3, 2022 to Mar 28, 2023
- Pension plan clients · 0.0 to unsetOct 3, 2022 to Mar 28, 2023
- Pooled vehicle clients · 0.0 to unsetOct 3, 2022 to Mar 28, 2023
- Discretionary RAUM · $356M to $303MOct 3, 2022 to Mar 28, 2023
- HNW RAUM · $343M to $277MOct 3, 2022 to Mar 28, 2023
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
- Business phone
- 540-342-7102reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- f•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 540-342-7102reportedpublic record, Form ADV, Feb 12, 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
- $135Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026