DFX Intelligence

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S•••• P••••••• W••••• M••••••••• L••

Independent wealth managerSEC-registered· Greensboro, North Carolinawebsite

Independent wealth manager, based in Greensboro, North Carolina, reporting $196M of regulatory assets across 2 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $196M
Advisors: 2
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +12%
Private clients: 93% of RAUM, $182M

Advisors (2)Advisor movement Where the RAUM sits

As of 2026-03-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

8 published business contact points are on record, each with its source.
Contact points 8

Every filed figure, and the identifiersCRD 112231 · SEC 801-120950 · 19 filingsShow

CRD 112231SEC 801-120950First filing on the tape Mar 28, 2012, latest Mar 10, 2026SEC status approved since Apr 26, 2021IAPD

RAUM

$196M

reported, Item 5.F

Discretionary

94%

of RAUM

Private clients

93%

$182M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$98.1M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM$196M as of Mar 10, 2026

Mar 28, 2012$27.5M then

HNW client RAUM$161M as of Mar 10, 2026

Mar 26, 2021$84.1M then

State-registered IARs (5.B.3)2 as of Mar 10, 2026

Mar 28, 20120 then

Employees (5.A)4 as of Mar 10, 2026

Mar 26, 20214 then

Private funds: no history

RAUM +12% over the last fiscal year+12% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Mar 10, 2026; every figure names its basis

Archetypes, each a printed rule

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
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: $98.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 59derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.6MderivedHNW RAUM over HNW clients
Average account: $471,427derivedRAUM over accounts (5.F.2.f)
Discretionary: 94%derivedof RAUM
Institutional: 5.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 0.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year: +12%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -0.8%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$161M82%
Individuals$21.2M11%
Pension and profit-sharing plans$9.0M4.6%
Corporations and businesses$3.5M1.8%
Charitable organizations$1.2M0.6%

Individual clients: 57reported
HNW clients: 61reported
Pension plan clients: 2reported
Charitable clients: 2reported
Accounts: 416reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.93 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
J••••• W•••••• S••••Certified Financial Planner, Chartered Financial Analyst	Greensboro, Nc	Mar 16, 2012	21 y	0
J••••••• W•••• S••••	Greensboro, Nc	May 4, 2012	37 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 headcount1 left over 36 months

Left, latest

S•••••• E••••• B•••••• to F••• F•• F•••••••• L••
Oct 31, 2023 · RIA to a state-registered adviser

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S••••• A•••• F••••• · Partner, Chief Compliance Officercontrol
since 01/2003 · owns 25% to 50%
S••••• J•••••••• W•••• · Managing Partnercontrol
since 01/2003 · owns 25% to 50%
S••••• J•••••• W•••••• · Chief Investment Strategistcontrol
since 01/2021 · 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
Greensboro, Nc · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

, 1 employees

What changed

consecutive filings, newest first

Accounts · 434 to 416
Jun 10, 2025 to Mar 10, 2026
HNW clients · 69 to 61
Jun 10, 2025 to Mar 10, 2026
Individual clients · 50 to 57
Jun 10, 2025 to Mar 10, 2026
Discretionary RAUM · $171M to $185M
Jun 10, 2025 to Mar 10, 2026
HNW RAUM · $149M to $161M
Jun 10, 2025 to Mar 10, 2026
Individual RAUM · $14.1M to $21.2M
Jun 10, 2025 to Mar 10, 2026
Non-discretionary RAUM · $3.5M to $11.3M
Jun 10, 2025 to Mar 10, 2026
Pension RAUM · $7.0M to $9.0M
Jun 10, 2025 to Mar 10, 2026
RAUM · $175M to $196M
Jun 10, 2025 to Mar 10, 2026
Financial planning clients · 101-250 to 101-250
Feb 28, 2025 to Jun 10, 2025
Accounts · 470 to 434
Aug 14, 2024 to Feb 28, 2025
HNW clients · 71 to 69
Aug 14, 2024 to Feb 28, 2025
Individual clients · 55 to 50
Aug 14, 2024 to Feb 28, 2025
Pension plan clients · 3 to 2
Aug 14, 2024 to Feb 28, 2025
Discretionary RAUM · $145M to $171M
Aug 14, 2024 to Feb 28, 2025
HNW RAUM · $127M to $149M
Aug 14, 2024 to Feb 28, 2025
Individual RAUM · $13.8M to $14.1M
Aug 14, 2024 to Feb 28, 2025
Non-discretionary RAUM · $5.0M to $3.5M
Aug 14, 2024 to Feb 28, 2025
Pension RAUM · $5.7M to $7.0M
Aug 14, 2024 to Feb 28, 2025
RAUM · $150M to $175M
Aug 14, 2024 to Feb 28, 2025
Accounts · 537 to 470
Feb 29, 2024 to Mar 12, 2024
Corporate clients · 2 to 1
Feb 29, 2024 to Mar 12, 2024
HNW clients · 74 to 71
Feb 29, 2024 to Mar 12, 2024
Individual clients · 69 to 55
Feb 29, 2024 to Mar 12, 2024
Discretionary RAUM · $124M to $145M
Feb 29, 2024 to Mar 12, 2024
HNW RAUM · $113M to $127M
Feb 29, 2024 to Mar 12, 2024
Individual RAUM · $15.1M to $13.8M
Feb 29, 2024 to Mar 12, 2024
Non-discretionary RAUM · $15.4M to $5.0M
Feb 29, 2024 to Mar 12, 2024
Pension RAUM · $7.3M to $5.7M
Feb 29, 2024 to Mar 12, 2024
RAUM · $140M to $150M
Feb 29, 2024 to Mar 12, 2024
Advisory employees · 3 to 2
Feb 10, 2023 to Nov 16, 2023
Employees · 5 to 4
Feb 10, 2023 to Nov 16, 2023
State-registered IARs · 3 to 2
Feb 10, 2023 to Nov 16, 2023
Accounts · 507 to 537
Sep 9, 2022 to Feb 10, 2023
Charity clients · 3 to 2
Sep 9, 2022 to Feb 10, 2023
HNW clients · 53 to 74
Sep 9, 2022 to Feb 10, 2023
Individual clients · 89 to 69
Sep 9, 2022 to Feb 10, 2023
Pension plan clients · 4 to 3
Sep 9, 2022 to Feb 10, 2023
Financial planning clients · 51-100 to 101-250
Sep 9, 2022 to Feb 10, 2023
Discretionary RAUM · $121M to $124M
Sep 9, 2022 to Feb 10, 2023

Signals

6 dated events

••• Locked
Mar 10, 2026 · ria ownership band change · fact
••• Locked
Mar 10, 2026 · ria ownership band change · fact
••• Locked
Mar 10, 2026 · ria ownership band change · fact
••• Locked
Oct 31, 2023 · Advisor changed firm · fact
••• Locked
Mar 26, 2021 · First SEC registration · fact
••• Locked
Mar 26, 2021 · Control person joined · fact

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 email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 10, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 10, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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: $98.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026