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
T•••• M•••••••• F•••••••• A•••••••
Legal name T•••• M•••••••• F•••••••• A•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 23, 2012 · 29 filings
SEC status approved since Jul 30, 2001
RAUM
$487M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
94%
$459M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$97.4M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$487M as of Mar 30, 2026
Mar 23, 2012$132M then
HNW client RAUM$349M as of Mar 30, 2026
Mar 29, 2018$257M then
State-registered IARs (5.B.3)5 as of Mar 30, 2026
Mar 23, 20120 then
Employees (5.A)7 as of Mar 30, 2026
Feb 13, 20138 then
Private funds: no history
RAUM +18% over the last fiscal year+22% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Mar 30, 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 a••••••s, one to t•••• offices, no public reporting company control
- RAUM per advisor
- $97.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 120derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $767,119derivedHNW RAUM over HNW clients
- Average account
- $298,441derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 5.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $185M, 229 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)
- 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$349M72%
- Individuals$110M23%
- Pension and profit-sharing plans$27.8M5.7%
- Individual clients
- 144reported
- HNW clients
- 455reported
- Pension plan clients
- 19reported
- Charitable clients
- n/areported
- Accounts
- 1,632reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $185M for 229 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• W•••••• J••••••Certified Financial Planner | Winston Salem, Nc | Sep 16, 2008 | 22 y | 1 |
| W••••• R••••• R••• | Winston Salem, Nc | Sep 18, 2009 | 29 y | 1 |
| J••••••• P• K•••••••• | Wrightsville Beach, Nc | May 21, 2021 | 12 y | 2 |
| J•••• E••••• H••••• | Winston Salem, Nc | Oct 29, 2024 | 34 y | 3 |
| A••••• L• C•••••••• | Winston Salem, Nc | Jun 16, 2025 | 10 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
- J••• K•••••• H••• to W••••• E••••••••• A••••••• S•••••••• L••Mar 9, 2022 · RIA to affiliated broker-dealer or bank
- T••••• C•••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 6, 2018 · RIA to wirehouse
- J••• A•••• B••••• to 1•• G••••• A••••••• I••Feb 1, 2018 · Other
Joined, latest
- J•••• E••••• H••••• from W•••• F•••• A•••••••Oct 29, 2024 · Wirehouse to independent RIA
- J••••••• P• K•••••••• from C••••• A•••••• N••••••• L••May 21, 2021 · Affiliated broker-dealer or bank to independent RIA
- T••••• C•••••• S•••••• from C••••• A•••••• N••••••• L••Aug 1, 2017 · Other
- J••• A•••• B••••• from C••••• A•••••• N••••••• L••Mar 19, 2014 · Other
- W••••• R••••• R••• from W•••• F•••• A•••••••Sep 18, 2009 · Other
- J••••••• W•••••• J•••••• from A••••••••• F•••••••• S•••••••• L••Sep 16, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••• J•••••••• W•••••• · Membercontrolsince 02/2009 · owns 75% or more
- R•••• W•••••• R••••• · Chief Compliance Officersince 10/2017 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Winston Salem, Nc · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Wrightsville Beach, NC1 employees
What changed
consecutive filings, newest first
- Accounts · 1,471 to 1,632Feb 27, 2026 to Mar 30, 2026
- HNW clients · 448 to 455Feb 27, 2026 to Mar 30, 2026
- Individual clients · 141 to 144Feb 27, 2026 to Mar 30, 2026
- Pension plan clients · 20 to 19Feb 27, 2026 to Mar 30, 2026
- Assets in custody · $93.3M to $185MFeb 27, 2026 to Mar 30, 2026
- Discretionary RAUM · $371M to $449MFeb 27, 2026 to Mar 30, 2026
- HNW RAUM · $294M to $349MFeb 27, 2026 to Mar 30, 2026
- Individual RAUM · $92.9M to $110MFeb 27, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $43.0M to $37.7MFeb 27, 2026 to Mar 30, 2026
- Pension RAUM · $26.8M to $27.8MFeb 27, 2026 to Mar 30, 2026
- RAUM · $414M to $487MFeb 27, 2026 to Mar 30, 2026
- Advisory employees · 4 to 5Mar 24, 2025 to Sep 25, 2025
- Employees · 6 to 7Mar 24, 2025 to Sep 25, 2025
- State-registered IARs · 4 to 5Mar 24, 2025 to Sep 25, 2025
- Accounts · 1,280 to 1,471Mar 20, 2024 to Mar 24, 2025
- Advisory employees · 3 to 4Mar 20, 2024 to Mar 24, 2025
- HNW clients · 623 to 448Mar 20, 2024 to Mar 24, 2025
- Individual clients · 197 to 141Mar 20, 2024 to Mar 24, 2025
- Pension plan clients · 17 to 20Mar 20, 2024 to Mar 24, 2025
- Assets in custody · $25.2M to $93.3MMar 20, 2024 to Mar 24, 2025
- Employees · 5 to 6Mar 20, 2024 to Mar 24, 2025
- Financial planning clients · 1-10 to 1-10Mar 20, 2024 to Mar 24, 2025
- State-registered IARs · 3 to 4Mar 20, 2024 to Mar 24, 2025
- Legal name · B••• R••• W••••• M••••••••• L•• to T•••• M•••••••• F•••••••• A•••••••, LLCMar 20, 2024 to Mar 24, 2025
- Discretionary RAUM · $273M to $371MMar 20, 2024 to Mar 24, 2025
- HNW RAUM · $204M to $294MMar 20, 2024 to Mar 24, 2025
- Individual RAUM · $64.4M to $92.9MMar 20, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $34.1M to $43.0MMar 20, 2024 to Mar 24, 2025
- Pension RAUM · $28.0M to $26.8MMar 20, 2024 to Mar 24, 2025
- RAUM · $307M to $414MMar 20, 2024 to Mar 24, 2025
- Accounts · 1,120 to 1,280Nov 30, 2023 to Mar 20, 2024
- Advisory employees · 4 to 3Nov 30, 2023 to Mar 20, 2024
- HNW clients · 467 to 623Nov 30, 2023 to Mar 20, 2024
- Individual clients · 148 to 197Nov 30, 2023 to Mar 20, 2024
- Pension plan clients · 13 to 17Nov 30, 2023 to Mar 20, 2024
- Assets in custody · $2.8M to $25.2MNov 30, 2023 to Mar 20, 2024
- Employees · 6 to 5Nov 30, 2023 to Mar 20, 2024
- Discretionary RAUM · $222M to $273MNov 30, 2023 to Mar 20, 2024
- HNW RAUM · $182M to $204MNov 30, 2023 to Mar 20, 2024
- Individual RAUM · $57.6M to $64.4MNov 30, 2023 to Mar 20, 2024
Signals
4 dated events
- T•••• M•••••••• F•••••••• A••••••• reported RAUM $414.2M, up 35% from $307.2M (2024-03-20 to 2025-03-24)Mar 24, 2025 · RAUM change · derived
- J••• K•••••• H••• left T•••• M•••••••• F•••••••• A••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-04-03)Mar 9, 2022 · a•••••• firm change · fact
- K•••••• J••• H••• (Managing Member) no longer on Schedule A of T•••• M•••••••• F•••••••• A••••••• (listed 2021-05-20, absent 2022-01-10)Jan 10, 2022 · Control person left · inference
- T•••• M•••••••• F•••••••• A••••••• reported RAUM $254.5M, down 37% from $401.2M (2020-06-29 to 2021-03-02)Mar 2, 2021 · RAUM change · derived
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 phone
- 336-701-1600reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 910-496-6048reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/three-magnolias-financial-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 336-701-1600reportedpublic record, Form ADV, Mar 30, 2026
- Team page
- THREEMAGNOLIASFINANCIALADVISORS.COM/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $97.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026