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.
Former SEC-registered adviser
Dixon Hughes Goodman Wealth Advisors LLC
Latest filing Mar 14, 2022
First filing on the tape Mar 28, 2012 · 43 filings
RAUM
$2.2B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
89%
$2.0B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
38
23 advisory (5.B.1)
Offices
16
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$2.2B as of Aug 25, 2021
Aug 21, 2012$944M then
HNW client RAUM$1.5B as of Aug 25, 2021
Aug 24, 2018$1.0B then
State-registered IARs (5.B.3)23 as of Aug 25, 2021
Aug 29, 201317 then
Employees (5.A)37 as of Aug 25, 2021
Aug 29, 201317 then
Private funds: no history
RAUM +30% over the last fiscal year+11% a year over threeIARs 24 to 23offices 18 to 16
Practice profile
derived from the filing of Mar 14, 2022; every figure names its basis
- RAUM per advisor
- $95.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 96derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $426,858derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.4derived17 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- -4.2%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, publications, educational seminarsreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.5B69%
- Individuals$436M20%
- Corporations and businesses$202M9.2%
- Charitable organizations$31.2M1.4%
- Pension and profit-sharing plans$6.5M0.3%
- Individual clients
- 1,585reported
- HNW clients
- 634reported
- Pension plan clients
- 24reported
- Charitable clients
- 13reported
- Accounts
- 5,168reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
- Carson Skottowe Wannamaker to Forvis Mazars Wealth Advisors, LLCAug 24, 2022 · RIA to RIA
- Suzanne R. Holbert to Forvis Mazars Wealth Advisors, LLCAug 24, 2022 · RIA to RIA
- Sarah Karp Charles to Forvis Mazars Wealth Advisors, LLCAug 24, 2022 · RIA to RIA
- Amy Elizabeth Manning to Forvis Mazars Wealth Advisors, LLCAug 24, 2022 · RIA to RIA
- Justin Robert Baas to Forvis Mazars Wealth Advisors, LLCAug 24, 2022 · RIA to RIA
- Colby Brittan Robinson to Forvis Mazars Wealth Advisors, LLCAug 24, 2022 · RIA to RIA
- Steven Paul Phillips to Forvis Mazars Wealth Advisors, LLCAug 24, 2022 · RIA to RIA
- William Thompson Sneed to Forvis Mazars Wealth Advisors, LLCAug 24, 2022 · RIA to RIA
- Clayton Lenhart Thornton to Forvis Mazars Wealth Advisors, LLCAug 24, 2022 · RIA to RIA
- Jason Andrew Lunsford to Forvis Mazars Wealth Advisors, LLCAug 24, 2022 · RIA to RIA
- Dorsey Webster Tyndall to Forvis Mazars Wealth Advisors, LLCAug 24, 2022 · RIA to RIA
- Dollie Beddingfield Halford to Forvis Mazars Wealth Advisors, LLCAug 24, 2022 · RIA to RIA
- William Fraser Laird to Forvis Mazars Wealth Advisors, LLCAug 24, 2022 · RIA to RIA
- Ellen Hawke Lindh to Forvis Mazars Wealth Advisors, LLCAug 24, 2022 · RIA to RIA
- John Davis Fleming to Forvis Mazars Wealth Advisors, LLCAug 24, 2022 · RIA to RIA
Joined, latest
- Brooke Taylor Stanford from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 10, 2021 · Wirehouse to independent RIA
- Marie Christine Hadwin from Merrill Lynch, Pierce, Fenner & Smith IncorporatedOct 29, 2018 · Wirehouse to independent RIA
- John Davis Fleming from Edward JonesMar 9, 2018 · Other
- David William Winn from Morgan StanleyApr 17, 2015 · Other
- Carson Skottowe Wannamaker from Invest Financial CorporationAug 18, 2014 · Other
- Justin Robert Baas from Credit Union Investment ServicesSep 3, 2013 · Other
- Joe Philip Moser from Raymond James Financial Services Advisors, IncMar 5, 2013 · Other
- Dorsey Webster Tyndall from Mid-Atlantic Securities, Inc.May 12, 2011 · Other
- Jason Andrew Lunsford from RBC Capital Markets, LLCMar 10, 2010 · Other
- William Fraser Laird from Raymond James & Associates, Inc.Aug 21, 2009 · Other
- Clayton Lenhart Thornton from Edward JonesMay 29, 2008 · Other
- Mary Susan Brockington Perry from Wells Fargo AdvisorsMar 5, 2008 · Other
- Dollie Beddingfield Halford from Uvest Financial Services Group, Inc.Nov 30, 2007 · Other
- William Thompson Sneed from Wells Fargo AdvisorsSep 29, 2006 · Other
- Abram Doyle Early from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 26, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Forvis Mazars Wealth Advisors, LLCAug 24, 2022 · Jacksonville, Fl
- 12 left for Forvis Mazars Wealth Advisors, LLCAug 24, 2022 · Charlotte, Nc · Firm absorbed
- 4 left for Forvis Mazars Wealth Advisors, LLCAug 24, 2022 · Greenville, Sc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Karp Sarah Charles · Director Of Business Strategycontrolsince 10/2020 · owns less than 5%
- R. Suzanne Holbert · Director Of Financial Planningcontrolsince 10/2020 · owns less than 5%
- Fraser William Laird · Chief Investment Officercontrolsince 05/2021 · owns less than 5%
- Thompson William Sneed · Presidentcontrolsince 06/2017 · owns less than 5%
- Michael Kevin Broadwater · Chief Compliance Officer | Chief Operating Officersince 06/2018 · owns less than 5%
Entity owners
- Dixon Hughes Goodman Financial Services LLC · Memberdirect · owns 75% or more
- Dixon Hughes Goodman Llp · Memberindirect · owns 75% or more of Dixon Hughes Goodman Financial Services LLC
Related persons
Schedule D 7.A
- Dixon Hughes Goodman Agency LLCreal estaten
- Dixon Hughes Goodman Llpinsurancey
Offices
Schedule D 1.F, the 25 largest
- Charlotte, NC3 employees
- Greenville, SC3 employees
- Hendersonville, NC2 employees
- Jacksonville, FL2 employees
- Greenville, NC2 employees
- Charleston, SC2 employees
- Richmond, VA1 employees
- Spartanburg, SC1 employees
- Summerville, SC1 employees
- Tysons, VA1 employees
- Winston-Salem, NC1 employees
- Charleston, WV1 employees
- High Point, NC1 employees
- Memphis, TN1 employees
- Pinehurst, NC1 employees
- Raleigh, NC1 employees
What changed
consecutive filings, newest first
- Charity clients · 15 to 13Dec 10, 2021 to Mar 14, 2022
- Corporate clients · 61 to 19Dec 10, 2021 to Mar 14, 2022
- HNW clients · 1,952 to 634Dec 10, 2021 to Mar 14, 2022
- Individual clients · 3,108 to 1,585Dec 10, 2021 to Mar 14, 2022
- Pension plan clients · 29 to 24Dec 10, 2021 to Mar 14, 2022
- Employees · 37 to 38Aug 30, 2021 to Dec 10, 2021
- Accounts · 5,036 to 5,168Apr 30, 2021 to Aug 25, 2021
- Corporate clients · 47 to 61Apr 30, 2021 to Aug 25, 2021
- HNW clients · 1,655 to 1,952Apr 30, 2021 to Aug 25, 2021
- Individual clients · 3,291 to 3,108Apr 30, 2021 to Aug 25, 2021
- Pension plan clients · 25 to 29Apr 30, 2021 to Aug 25, 2021
- Other offices · 18 to 16Apr 30, 2021 to Aug 25, 2021
- Discretionary RAUM · $1.7B to $2.2BApr 30, 2021 to Aug 25, 2021
- HNW RAUM · $1.1B to $1.5BApr 30, 2021 to Aug 25, 2021
- Individual RAUM · $400M to $436MApr 30, 2021 to Aug 25, 2021
- Non-discretionary RAUM · $10.8M to $14.6MApr 30, 2021 to Aug 25, 2021
- Pension RAUM · $5.6M to $6.5MApr 30, 2021 to Aug 25, 2021
- RAUM · $1.7B to $2.2BApr 30, 2021 to Aug 25, 2021
- Advisory employees · 22 to 23Mar 29, 2021 to Apr 30, 2021
- Employees · 36 to 37Mar 29, 2021 to Apr 30, 2021
- State-registered IARs · 22 to 23Mar 29, 2021 to Apr 30, 2021
- Advisory employees · 23 to 22Nov 13, 2020 to Mar 29, 2021
- Employees · 35 to 36Nov 13, 2020 to Mar 29, 2021
- State-registered IARs · 23 to 22Nov 13, 2020 to Mar 29, 2021
- Advisory employees · 24 to 23Aug 12, 2020 to Oct 9, 2020
- Employees · 36 to 35Aug 12, 2020 to Oct 9, 2020
- State-registered IARs · 24 to 23Aug 12, 2020 to Oct 9, 2020
- Accounts · 4,850 to 5,036Jun 30, 2020 to Aug 12, 2020
- Charity clients · 7 to 15Jun 30, 2020 to Aug 12, 2020
- Corporate clients · 11 to 47Jun 30, 2020 to Aug 12, 2020
- HNW clients · 1,438 to 1,655Jun 30, 2020 to Aug 12, 2020
- Individual clients · 3,303 to 3,291Jun 30, 2020 to Aug 12, 2020
- Pension plan clients · 26 to 25Jun 30, 2020 to Aug 12, 2020
- Financial planning clients · 101-250 to 251-500Jun 30, 2020 to Aug 12, 2020
- Other offices · 19 to 18Jun 30, 2020 to Aug 12, 2020
- Discretionary RAUM · $1.6B to $1.7BJun 30, 2020 to Aug 12, 2020
- HNW RAUM · $1.0B to $1.1BJun 30, 2020 to Aug 12, 2020
- Individual RAUM · $422M to $400MJun 30, 2020 to Aug 12, 2020
- Non-discretionary RAUM · $10.8M to $10.8MJun 30, 2020 to Aug 12, 2020
- Pension RAUM · $4.5M to $5.6MJun 30, 2020 to Aug 12, 2020
Signals
31 dated events
- Adrian George Castner Vassallo left Dixon Hughes Goodman Wealth Advisors Llc for Forvis Mazars Wealth Advisors, Llc (registered 2022-06-01)Aug 24, 2022 · Advisor changed firm · fact
- Dorsey Webster Tyndall left Dixon Hughes Goodman Wealth Advisors Llc for Forvis Mazars Wealth Advisors, Llc (registered 2022-06-01)Aug 24, 2022 · Advisor changed firm · fact
- John Davis Fleming left Dixon Hughes Goodman Wealth Advisors Llc for Forvis Mazars Wealth Advisors, Llc (registered 2022-06-01)Aug 24, 2022 · Advisor changed firm · fact
- Justin Robert Baas left Dixon Hughes Goodman Wealth Advisors Llc for Forvis Mazars Wealth Advisors, Llc (registered 2022-06-01)Aug 24, 2022 · Advisor changed firm · fact
- Brooke Taylor Stanford left Dixon Hughes Goodman Wealth Advisors Llc for Forvis Mazars Wealth Advisors, Llc (registered 2022-06-16)Aug 24, 2022 · Advisor changed firm · fact
- David John Koppenheffer left Dixon Hughes Goodman Wealth Advisors Llc for Forvis Mazars Wealth Advisors, Llc (registered 2022-06-01)Aug 24, 2022 · Advisor changed firm · fact
- Ellen Hawke Lindh left Dixon Hughes Goodman Wealth Advisors Llc for Forvis Mazars Wealth Advisors, Llc (registered 2022-06-01)Aug 24, 2022 · Advisor changed firm · fact
- Ashley Witt Israel left Dixon Hughes Goodman Wealth Advisors Llc for Forvis Mazars Wealth Advisors, Llc (registered 2022-06-01)Aug 24, 2022 · Advisor changed firm · fact
- Steven Paul Phillips left Dixon Hughes Goodman Wealth Advisors Llc for Forvis Mazars Wealth Advisors, Llc (registered 2022-06-01)Aug 24, 2022 · Advisor changed firm · fact
- Jason Andrew Lunsford left Dixon Hughes Goodman Wealth Advisors Llc for Forvis Mazars Wealth Advisors, Llc (registered 2022-06-13)Aug 24, 2022 · Advisor changed firm · fact
- Carson Skottowe Wannamaker left Dixon Hughes Goodman Wealth Advisors Llc for Forvis Mazars Wealth Advisors, Llc (registered 2022-06-01)Aug 24, 2022 · Advisor changed firm · fact
- Suzanne R. Holbert left Dixon Hughes Goodman Wealth Advisors Llc for Forvis Mazars Wealth Advisors, Llc (registered 2022-06-01)Aug 24, 2022 · Advisor changed firm · fact
- Colby Brittan Robinson left Dixon Hughes Goodman Wealth Advisors Llc for Forvis Mazars Wealth Advisors, Llc (registered 2022-06-01)Aug 24, 2022 · Advisor changed firm · fact
- William Thompson Sneed left Dixon Hughes Goodman Wealth Advisors Llc for Forvis Mazars Wealth Advisors, Llc (registered 2022-06-01)Aug 24, 2022 · Advisor changed firm · fact
- William Fraser Laird left Dixon Hughes Goodman Wealth Advisors Llc for Forvis Mazars Wealth Advisors, Llc (registered 2022-06-16)Aug 24, 2022 · Advisor changed firm · fact
- Sarah Karp Charles left Dixon Hughes Goodman Wealth Advisors Llc for Forvis Mazars Wealth Advisors, Llc (registered 2022-06-01)Aug 24, 2022 · Advisor changed firm · fact
- Clayton Lenhart Thornton left Dixon Hughes Goodman Wealth Advisors Llc for Forvis Mazars Wealth Advisors, Llc (registered 2022-06-01)Aug 24, 2022 · Advisor changed firm · fact
- Dollie Beddingfield Halford left Dixon Hughes Goodman Wealth Advisors Llc for Forvis Mazars Wealth Advisors, Llc (registered 2022-06-01)Aug 24, 2022 · Advisor changed firm · fact
- Amy Elizabeth Manning left Dixon Hughes Goodman Wealth Advisors Llc for Forvis Mazars Wealth Advisors, Llc (registered 2022-06-01)Aug 24, 2022 · Advisor changed firm · fact
- Marie Christine Hadwin left Dixon Hughes Goodman Wealth Advisors Llc for Forvis Mazars Wealth Advisors, Llc (registered 2022-06-01)Aug 24, 2022 · Advisor changed firm · fact
- 2 advisors left Dixon Hughes Goodman Wealth Advisors LLC (Jacksonville, FL) for Forvis Mazars Wealth Advisors, LLC on the same dayAug 24, 2022 · Team lift-out · derived
- Dixon Hughes Goodman Wealth Advisors LLC's advisors moved to Forvis Mazars Wealth Advisors, LLC (Charlotte, NC): 12 of 20 registered, on the same dayAug 24, 2022 · Firm absorbed (people side) · derived
- 4 advisors left Dixon Hughes Goodman Wealth Advisors LLC (Greenville, SC) for Forvis Mazars Wealth Advisors, LLC on the same dayAug 24, 2022 · Team lift-out · derived
- Dixon Hughes Goodman Wealth Advisors Llc reported RAUM $2.2B, up 30% from $1.7B (2021-04-30 to 2021-08-25)Aug 25, 2021 · RAUM change · derived
- Franklin Frederick Kramer (Director) no longer on Schedule A of Dixon Hughes Goodman Wealth Advisors Llc (listed 2021-04-30, absent 2021-08-25)Aug 25, 2021 · Control person left · inference
- Jeffrey Paul Harteg (Co-Chief Investment Officer) no longer on Schedule A of Dixon Hughes Goodman Wealth Advisors Llc (listed 2021-04-30, absent 2021-08-25)Aug 25, 2021 · Control person left · inference
- Karp Sarah Charles (Director Of Business Strategy) appeared on Schedule A of Dixon Hughes Goodman Wealth Advisors LlcAug 25, 2021 · Control person joined · fact
- R. Suzanne Holbert (Director Of Financial Planning) appeared on Schedule A of Dixon Hughes Goodman Wealth Advisors LlcAug 25, 2021 · Control person joined · fact
- Fraser William Laird (Co-Chief Investment Officer) appeared on Schedule A of Dixon Hughes Goodman Wealth Advisors LlcAug 12, 2020 · Control person joined · fact
- Jeffrey Paul Harteg (Chief Investment Officer) appeared on Schedule A of Dixon Hughes Goodman Wealth Advisors LlcAug 22, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Dixon Hughes Goodman Wealth Advisors LLC · Private Equityshared crd · intermediary
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