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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Former SEC-registered adviser
W•••• F•••••••• S••••••••• I•••
Latest filing Feb 14, 2022
First filing on the tape Mar 20, 2012 · 14 filings
RAUM
$225M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
97%
$219M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$225M as of Mar 1, 2021
Mar 20, 2012$103M then
HNW client RAUM$177M as of Mar 1, 2021
Mar 15, 2018$107M then
State-registered IARs (5.B.3)3 as of Mar 1, 2021
Mar 20, 20120 then
Employees (5.A)3 as of Mar 1, 2021
Mar 21, 20133 then
Private funds: no history
RAUM +15% over the last fiscal year+14% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Feb 14, 2022; every figure names its basis
- RAUM per advisor
- $75.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $477,531derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$177M79%
- Individuals$42.2M19%
- Pension and profit-sharing plans$6.0M2.7%
- Individual clients
- 120reported
- HNW clients
- 63reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 472reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- A•• R•• B••• to M••••• G••••• A••••••• I•••Mar 29, 2022 · RIA to RIA
- F•••••• H••••••••• H••••••• to M••••• G••••• A••••••• I•••Mar 29, 2022 · RIA to RIA
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for M••••• G••••• A••••••• I•••Mar 29, 2022 · Raleigh, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••• J•••••• R••• · Vice Presidentcontrolsince 04/1988 · owns less than 5%
- W••••• M••••• E••••• · President/Chief Compliance Officercontrolsince 04/1988 · owns less than 5%
Entity owners
- M••••• G••••• A••••••• I••• · Parent Companydirect · 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
- HNW RAUM · $150M to $177MJun 10, 2020 to Mar 1, 2021
- Individual RAUM · $40.0M to $42.2MJun 10, 2020 to Mar 1, 2021
- Non-discretionary RAUM · $35.2M to $38.4MJun 10, 2020 to Mar 1, 2021
- Pension RAUM · $6.2M to $6.0MJun 10, 2020 to Mar 1, 2021
- RAUM · $196M to $225MJun 10, 2020 to Mar 1, 2021
- Accounts · 475 to 472Jun 10, 2020 to Mar 1, 2021
- Advisory employees · 2 to 3Jun 10, 2020 to Mar 1, 2021
- HNW clients · 61 to 63Jun 10, 2020 to Mar 1, 2021
- Individual clients · 119 to 120Jun 10, 2020 to Mar 1, 2021
- State-registered IARs · 2 to 3Jun 10, 2020 to Mar 1, 2021
- Discretionary RAUM · $161M to $187MJun 10, 2020 to Mar 1, 2021
- Accounts · 490 to 475Feb 15, 2019 to Mar 3, 2020
- HNW clients · 52 to 61Feb 15, 2019 to Mar 3, 2020
- Individual clients · 130 to 119Feb 15, 2019 to Mar 3, 2020
- Discretionary RAUM · $120M to $161MFeb 15, 2019 to Mar 3, 2020
- HNW RAUM · $103M to $150MFeb 15, 2019 to Mar 3, 2020
- Individual RAUM · $42.3M to $40.0MFeb 15, 2019 to Mar 3, 2020
- Non-discretionary RAUM · $30.4M to $35.2MFeb 15, 2019 to Mar 3, 2020
- Pension RAUM · $5.3M to $6.2MFeb 15, 2019 to Mar 3, 2020
- RAUM · $151M to $196MFeb 15, 2019 to Mar 3, 2020
- Accounts · 528 to 490Mar 15, 2018 to Feb 15, 2019
- HNW clients · 55 to 52Mar 15, 2018 to Feb 15, 2019
- Individual clients · 135 to 130Mar 15, 2018 to Feb 15, 2019
- Discretionary RAUM · $119M to $120MMar 15, 2018 to Feb 15, 2019
- HNW RAUM · $107M to $103MMar 15, 2018 to Feb 15, 2019
- Individual RAUM · $42.1M to $42.3MMar 15, 2018 to Feb 15, 2019
- Non-discretionary RAUM · $35.1M to $30.4MMar 15, 2018 to Feb 15, 2019
- Pension RAUM · $5.3M to $5.3MMar 15, 2018 to Feb 15, 2019
- RAUM · $154M to $151MMar 15, 2018 to Feb 15, 2019
- Accounts · 551 to 528Mar 8, 2017 to Mar 15, 2018
- HNW clients · unset to 55.0Mar 8, 2017 to Mar 15, 2018
- Individual clients · unset to 135.0Mar 8, 2017 to Mar 15, 2018
- Other offices · unset to 0.0Mar 8, 2017 to Mar 15, 2018
- Discretionary RAUM · $107M to $119MMar 8, 2017 to Mar 15, 2018
- HNW RAUM · unset to 106521006.0Mar 8, 2017 to Mar 15, 2018
- Individual RAUM · unset to 42056480.0Mar 8, 2017 to Mar 15, 2018
- Non-discretionary RAUM · $31.5M to $35.1MMar 8, 2017 to Mar 15, 2018
- Pension RAUM · unset to 5334446.0Mar 8, 2017 to Mar 15, 2018
- RAUM · $138M to $154MMar 8, 2017 to Mar 15, 2018
- Accounts · 564 to 551Dec 6, 2016 to Mar 8, 2017
Signals
3 dated events
- F•••••• H••••••••• H••••••• left W•••• F•••••••• S••••••••• I••• for M••••• G••••• A••••••• I••• (registered 2022-02-22)Mar 29, 2022 · Advisor changed firm · fact
- A•• R•• B••• left W•••• F•••••••• S••••••••• I••• for M••••• G••••• A••••••• I••• (registered 2022-02-22)Mar 29, 2022 · Advisor changed firm · fact
- 2 advisors left W•••• F•••••••• S••••••••• I••• (Raleigh, NC) for M••••• G••••• A••••••• I••• on the same dayMar 29, 2022 · Team lift-out · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026