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.
SEC-registered adviser
Veratis Advisors, Inc.
Latest filing Mar 31, 2026
First filing on the tape Apr 2, 2012 · 24 filings
SEC status approved since Jan 18, 2002
RAUM
$6.0B
reported, Item 5.F
Discretionary
6.4%
of RAUM
Private clients
6.4%
$383M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$1.5B
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
24 filings and snapshots on the tape
RAUM$6.0B as of Mar 31, 2026
Mar 13, 2017$22.8M then
HNW client RAUM$383M as of Mar 31, 2026
Mar 8, 2018$52.4M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Apr 2, 20120 then
Employees (5.A)8 as of Mar 31, 2026
Apr 1, 20136 then
Private funds: no history
RAUM +34% over the last fiscal year+18% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $1.5BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $10.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 6.4%derivedof RAUM
- Institutional
- 94%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$5.6B93%
- High-net-worth individuals$383M6.4%
- State and municipal entities$57.7M1.0%
- Individuals$695,8470.0%
- Individual clients
- 3reported
- HNW clients
- 85reported
- Pension plan clients
- 16reported
- Charitable clients
- n/areported
- Accounts
- 582reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.06 fund_share=0.0 institutional_share=0.94 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jason William CarterCertified Financial Planner | Cary, Nc | Jan 9, 2017 | 17 y | 4 |
| Stephen Drew Simpson | Cary, Nc | Jan 9, 2017 | 24 y | 1 |
| Derek Thompson WilliamsCertified Financial Planner | Cary, Nc | Jun 14, 2023 | 10 y | 3 |
| Liam Brian Johnson | Cary, Nc | Feb 28, 2025 | 10 y | 3 |
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
- Liam Brian Johnson from Cetera Investment Advisers LLCFeb 28, 2025 · Other
- Derek Thompson Williams from Cook Wealth, LLCJun 14, 2023 · Other
- Jason William Carter from First Allied Advisory Services, Inc.Jan 9, 2017 · Other
- Stephen Drew Simpson from Synobis Advisors, Inc.Jan 9, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- William Jason Carter · Wealth Advisor/Partner And Chief Compliance Officercontrolsince 12/2019 · owns 10% to 25%
- Drew Stephen Simpson · Managing Partnercontrolsince 12/2011 · owns 50% to 75%
- Richard Bryce Kain · Investment Analystsince 12/2019 · owns less than 5%
- Dubay Trinette Ray · Retirement Plan Consultant/Partnersince 12/2021 · owns less than 5%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cary, Nc · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 431 to 582Mar 31, 2025 to Mar 31, 2026
- HNW clients · 79 to 85Mar 31, 2025 to Mar 31, 2026
- Individual clients · 4 to 3Mar 31, 2025 to Mar 31, 2026
- Pension plan clients · 17 to 16Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $325M to $383MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $323M to $383MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $2.6M to $695,847Mar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $4.2B to $5.6BMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $4.1B to $5.6BMar 31, 2025 to Mar 31, 2026
- RAUM · $4.5B to $6.0BMar 31, 2025 to Mar 31, 2026
- Accounts · 394 to 431Apr 9, 2024 to Mar 31, 2025
- HNW clients · 73 to 79Apr 9, 2024 to Mar 31, 2025
- Individual clients · 5 to 4Apr 9, 2024 to Mar 31, 2025
- Pension plan clients · 14 to 17Apr 9, 2024 to Mar 31, 2025
- Employees · 7 to 8Apr 9, 2024 to Mar 31, 2025
- Financial planning clients · 51-100 to 51-100Apr 9, 2024 to Mar 31, 2025
- State-registered IARs · 2 to 4Apr 9, 2024 to Mar 31, 2025
- Discretionary RAUM · $276M to $325MApr 9, 2024 to Mar 31, 2025
- HNW RAUM · $276M to $323MApr 9, 2024 to Mar 31, 2025
- Individual RAUM · $2.6M to $2.6MApr 9, 2024 to Mar 31, 2025
- Pension RAUM · $4.1B to $4.1BApr 9, 2024 to Mar 31, 2025
- RAUM · $4.4B to $4.5BApr 9, 2024 to Mar 31, 2025
- Accounts · 437 to 394Mar 30, 2023 to Mar 28, 2024
- HNW clients · 63 to 73Mar 30, 2023 to Mar 28, 2024
- Individual clients · unset to 5.0Mar 30, 2023 to Mar 28, 2024
- Pension plan clients · 12 to 14Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $177M to $276MMar 30, 2023 to Mar 28, 2024
- HNW RAUM · $199M to $276MMar 30, 2023 to Mar 28, 2024
- Individual RAUM · $1.4M to $2.6MMar 30, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $3.5B to $4.2BMar 30, 2023 to Mar 28, 2024
- Pension RAUM · $3.4B to $4.1BMar 30, 2023 to Mar 28, 2024
- RAUM · $3.7B to $4.4BMar 30, 2023 to Mar 28, 2024
- Accounts · 400 to 437Mar 21, 2022 to Mar 30, 2023
- HNW clients · 56 to 63Mar 21, 2022 to Mar 30, 2023
- State-registered IARs · 3 to 2Mar 21, 2022 to Mar 30, 2023
- Discretionary RAUM · $170M to $177MMar 21, 2022 to Mar 30, 2023
- HNW RAUM · $195M to $199MMar 21, 2022 to Mar 30, 2023
- Individual RAUM · $1.8M to $1.4MMar 21, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $3.8B to $3.5BMar 21, 2022 to Mar 30, 2023
- Pension RAUM · $3.7B to $3.4BMar 21, 2022 to Mar 30, 2023
Signals
3 dated events
- Veratis Advisors, Inc. reported RAUM $6.0B, up 34% from $4.5B (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Highsmith Peggy Brinn (Corporate Secretary) no longer on Schedule A of Veratis Advisors, Inc. (listed 2023-03-30, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Veratis Advisors, Inc. reported RAUM $4.0B, up 2826% from $136.1M (2021-03-09 to 2022-03-21)Mar 21, 2022 · 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
- Firm profile
- linkedin.com/company/11234160reportedpublic record, Form ADV, Sep 18, 2026
- Website
- VERATISADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 919-460-8875reportedpublic record, Form ADV, Mar 31, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.5Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026