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
C••••• F•••••••• M••••••••• I•••
Latest filing Mar 26, 2026
First filing on the tape Mar 28, 2012 · 27 filings
SEC status approved since Jun 18, 2001
RAUM
$157M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$157M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$157M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$157M as of Mar 26, 2026
Mar 28, 2012$134M then
HNW client RAUM$157M as of Mar 26, 2026
Mar 28, 2018$108M then
State-registered IARs (5.B.3)1 as of Mar 26, 2026
Mar 28, 20120 then
Employees (5.A)1 as of Mar 26, 2026
Mar 28, 20131 then
Private funds: no history
RAUM +19% over the last fiscal year+7.7% a year over threeIARs 1 to 1offices 1 to 0
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $157MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $3.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 1.0derived1 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
- -4.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $69.3M, 34 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$157M100%
- Individual clients
- 0reported
- HNW clients
- 40reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 40reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $69.3M for 34 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• O•••••••• | Scottsdale, Az | Jul 19, 1996 | 30 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
- O••••••••• R•••••• · President/Chief Compliance Officercontrolsince 06/1996 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Asheville, NC1 employees
What changed
consecutive filings, newest first
- Accounts · 42 to 40Mar 20, 2025 to Mar 26, 2026
- HNW clients · 37 to 40Mar 20, 2025 to Mar 26, 2026
- Individual clients · 5 to 0Mar 20, 2025 to Mar 26, 2026
- Assets in custody · $62.1M to $69.3MMar 20, 2025 to Mar 26, 2026
- Other offices · 1 to 0Mar 20, 2025 to Mar 26, 2026
- Discretionary RAUM · $132M to $157MMar 20, 2025 to Mar 26, 2026
- HNW RAUM · $124M to $157MMar 20, 2025 to Mar 26, 2026
- Individual RAUM · $7.6M to $0Mar 20, 2025 to Mar 26, 2026
- RAUM · $132M to $157MMar 20, 2025 to Mar 26, 2026
- Accounts · 43 to 42Mar 25, 2024 to Mar 20, 2025
- Individual clients · 6 to 5Mar 25, 2024 to Mar 20, 2025
- Assets in custody · $51.5M to $62.1MMar 25, 2024 to Mar 20, 2025
- Financial planning clients · 26-50 to 26-50Mar 25, 2024 to Mar 20, 2025
- HQ city · unset to Mar 25, 2024 to Mar 20, 2025
- HQ state · unset to Mar 25, 2024 to Mar 20, 2025
- Discretionary RAUM · $135M to $132MMar 25, 2024 to Mar 20, 2025
- HNW RAUM · $125M to $124MMar 25, 2024 to Mar 20, 2025
- Individual RAUM · $9.5M to $7.6MMar 25, 2024 to Mar 20, 2025
- RAUM · $135M to $132MMar 25, 2024 to Mar 20, 2025
- Accounts · 203 to 43Mar 21, 2023 to Mar 25, 2024
- Discretionary RAUM · $126M to $135MMar 21, 2023 to Mar 25, 2024
- HNW RAUM · $116M to $125MMar 21, 2023 to Mar 25, 2024
- Individual RAUM · $9.3M to $9.5MMar 21, 2023 to Mar 25, 2024
- RAUM · $126M to $135MMar 21, 2023 to Mar 25, 2024
- Accounts · 211 to 203Apr 20, 2022 to Mar 21, 2023
- HNW clients · 38 to 37Apr 20, 2022 to Mar 21, 2023
- Individual clients · 5 to 6Apr 20, 2022 to Mar 21, 2023
- Assets in custody · $53.5M to $51.5MApr 20, 2022 to Mar 21, 2023
- Other offices · 0 to 1Apr 20, 2022 to Mar 21, 2023
- Discretionary RAUM · $129M to $126MApr 20, 2022 to Mar 21, 2023
- HNW RAUM · $121M to $116MApr 20, 2022 to Mar 21, 2023
- Individual RAUM · $8.3M to $9.3MApr 20, 2022 to Mar 21, 2023
- RAUM · $129M to $126MApr 20, 2022 to Mar 21, 2023
- Accounts · 203 to 211Mar 25, 2021 to Mar 23, 2022
- Assets in custody · $50.2M to $53.5MMar 25, 2021 to Mar 23, 2022
- HQ city · ASHEVILLE to unsetMar 25, 2021 to Mar 23, 2022
- HQ state · NC to unsetMar 25, 2021 to Mar 23, 2022
- Other offices · 1 to 0Mar 25, 2021 to Mar 23, 2022
- Discretionary RAUM · $129M to $129MMar 25, 2021 to Mar 23, 2022
- HNW RAUM · $122M to $121MMar 25, 2021 to Mar 23, 2022
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
- Principal office phone
- 480-998-7786reportedpublic record, Form ADV, Mar 26, 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
- $157Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026