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
A•••• I••••••••• A•••••••
Legal name A•••• I••••••••• A•••••••• L••
Latest filing Sep 3, 2026
First filing on the tape Mar 29, 2012 · 26 filings
SEC status approved since Jan 24, 2001
RAUM
$1.3B
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
97%
$1.2B individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$258M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$1.3B as of Mar 30, 2026
Mar 29, 2012$317M then
HNW client RAUM$1.2B as of Mar 30, 2026
Mar 26, 2018$501M then
State-registered IARs (5.B.3)4 as of Mar 30, 2026
Mar 22, 20130 then
Employees (5.A)8 as of Mar 30, 2026
Mar 22, 20137 then
Private funds: no history
RAUM +19% over the last fiscal year+17% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Sep 3, 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
- $258MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 94derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $884,256derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publications, otherreportedItem 5.G
- Custody
- $1.0B, 322 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)
- 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$1.2B90%
- Individuals$82.1M6.4%
- Charitable organizations$28.2M2.2%
- Pension and profit-sharing plans$14.6M1.1%
- Corporations and businesses$380,0690.0%
- Individual clients
- 181reported
- HNW clients
- 290reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 1,457reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.0B for 322 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• E••••• C•••••Certified Financial Planner, Chartered Financial Analyst | Winston Salem, Nc | Apr 17, 2009 | 27 y | 0 |
| S•••• D••••• J••••Certified Financial Planner | Winston Salem, Nc | Apr 17, 2009 | 20 y | 0 |
| W•••••• E•••• H•••••Certified Financial Planner | Winston Salem, Nc | May 13, 2011 | 15 y | 0 |
| E•••• L•••• M•••••Certified Financial Planner | Winston Salem, Nc | Jan 12, 2018 | 21 y | 1 |
| J•••• H•••••• H•••• | Winston Salem, Nc | Aug 13, 2026 | 12 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
- E•••• L•••• M••••• from W•••• F•••• A•••••••Jan 12, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• A•••• Y• · Chief Compliance Officercontrolsince 03/2015 · owns 5% to 10%
- B••••••••• P•••• P••••• · Chief Operating Officercontrolsince 03/2015 · owns 5% to 10%
- C•••••• S••••• E••••• · Chief Executive Officer And Chief Investment Officercontrolsince 09/2003 · owns 25% to 50%
- H•••••• W••••••• E•••• · Security Holdercontrolsince 03/2011 · owns 10% to 25%
- J••••• S••••• D••••• · Chief Financial Officer, Treasurer, Secretarycontrolsince 06/2006 · owns 10% to 25%
- M•••••• E••••• L•••• · Chief Growth Officercontrolsince 01/2018 · owns 10% to 25%
- J••••••••• J••••••• L• · Security Holdersince 03/2024 · owns less than 5%
Related persons
Schedule D 7.A
- E•••• L• M•••••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Winston Salem, Nc · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Sep 3, 2026B•••••• A•••• Y• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-03-21 and 2026-09-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Sep 3, 2026B••••••••• P•••• P••••• (CHIEF OPERATING OFFICER) left Schedule A between the filings of 2024-03-21 and 2026-09-03peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Financial planning clients · 11-25 to 11-25Mar 30, 2026 to Sep 3, 2026
- Succession · false to unsetMar 30, 2026 to Sep 3, 2026
- Accounts · 1,356 to 1,457Sep 4, 2025 to Mar 30, 2026
- HNW clients · 251 to 290Sep 4, 2025 to Mar 30, 2026
- Individual clients · 168 to 181Sep 4, 2025 to Mar 30, 2026
- Assets in custody · $882M to $1.0BSep 4, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.1B to $1.1BSep 4, 2025 to Mar 30, 2026
- HNW RAUM · $982M to $1.2BSep 4, 2025 to Mar 30, 2026
- Individual RAUM · $67.7M to $82.1MSep 4, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $15.8M to $154MSep 4, 2025 to Mar 30, 2026
- Pension RAUM · $12.3M to $14.6MSep 4, 2025 to Mar 30, 2026
- RAUM · $1.1B to $1.3BSep 4, 2025 to Mar 30, 2026
- Accounts · 1,255 to 1,356Apr 26, 2024 to Mar 27, 2025
- Advisory activities · 4 to 5Apr 26, 2024 to Mar 27, 2025
- HNW clients · 236 to 251Apr 26, 2024 to Mar 27, 2025
- Individual clients · 155 to 168Apr 26, 2024 to Mar 27, 2025
- Assets in custody · $758M to $882MApr 26, 2024 to Mar 27, 2025
- Financial planning clients · 11-25 to 11-25Apr 26, 2024 to Mar 27, 2025
- Discretionary RAUM · $942M to $1.1BApr 26, 2024 to Mar 27, 2025
- HNW RAUM · $868M to $982MApr 26, 2024 to Mar 27, 2025
- Individual RAUM · $56.8M to $67.7MApr 26, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $14.3M to $15.8MApr 26, 2024 to Mar 27, 2025
- Pension RAUM · $11.0M to $12.3MApr 26, 2024 to Mar 27, 2025
- RAUM · $957M to $1.1BApr 26, 2024 to Mar 27, 2025
- Accounts · 1,163 to 1,255Mar 8, 2023 to Mar 21, 2024
- Charity clients · 6 to 7Mar 8, 2023 to Mar 21, 2024
- HNW clients · 212 to 236Mar 8, 2023 to Mar 21, 2024
- Individual clients · 52 to 155Mar 8, 2023 to Mar 21, 2024
- Assets in custody · $705M to $758MMar 8, 2023 to Mar 21, 2024
- Discretionary RAUM · $801M to $942MMar 8, 2023 to Mar 21, 2024
- HNW RAUM · $758M to $868MMar 8, 2023 to Mar 21, 2024
- Individual RAUM · $29.5M to $56.8MMar 8, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $12.6M to $14.3MMar 8, 2023 to Mar 21, 2024
- Pension RAUM · $10.1M to $11.0MMar 8, 2023 to Mar 21, 2024
- RAUM · $813M to $957MMar 8, 2023 to Mar 21, 2024
- Accounts · 1,094 to 1,163Nov 3, 2022 to Mar 8, 2023
- Charity clients · 5 to 6Nov 3, 2022 to Mar 8, 2023
- HNW clients · 201 to 212Nov 3, 2022 to Mar 8, 2023
- Individual clients · 56 to 52Nov 3, 2022 to Mar 8, 2023
- Assets in custody · $733M to $705MNov 3, 2022 to Mar 8, 2023
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- A•••• I••••••••• A••••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 336-777-1677reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 866-416-7307reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/A••••-INVESTMENT-ADVISORSreportedpublic record, Form ADV, Sep 19, 2026
- Website
- A••••INVEST.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 336-777-1677reportedpublic record, Form ADV, Sep 3, 2026
- Contact form
- a•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $258Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026