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
Phoenix Wealth Advisors Inc.
Latest filing Jul 2, 2026
First filing on the tape Feb 2, 2012 · 42 filings
SEC status approved since Dec 14, 2001
RAUM
$641M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
96%
$618M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$91.6M
derived; firm RAUM over IAPD count
Employees
8
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$641M as of Jul 2, 2026
Feb 2, 2012$116M then
HNW client RAUM$421M as of Jul 2, 2026
Mar 28, 2018$278M then
State-registered IARs (5.B.3)7 as of Jul 2, 2026
Feb 2, 20120 then
Employees (5.A)8 as of Jul 2, 2026
Feb 26, 20134 then
Private funds: no history
RAUM +16% over the last fiscal year+14% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Jul 2, 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
- 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
- $91.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 220derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $772,892derivedHNW RAUM over HNW clients
- Average account
- $402,647derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%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, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $4.1M, 2 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$421M66%
- Individuals$197M31%
- Corporations and businesses$12.5M2.0%
- Pension and profit-sharing plans$9.1M1.4%
- Banks and thrifts$1.6M0.2%
- Individual clients
- 993reported
- HNW clients
- 545reported
- Pension plan clients
- 38reported
- Charitable clients
- n/areported
- Accounts
- 1,593reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $632M managedreported
- Custody of client assets
- $4.1M for 2 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=7.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michele Suzanne NettesheimCertified Financial Planner | Chapel Hill, Nc | Mar 7, 2011 | 22 y | 0 |
| Michael Donovan JacksonChartered Financial Analyst | Chapel Hill, Nc | Oct 13, 2016 | 30 y | 3 |
| Mark Joseph RhoadesCertified Financial Planner | Chapel Hill, Nc | Oct 18, 2016 | 20 y | 2 |
| Georgios Livanos | Chapel Hill, Nc | Oct 18, 2016 | 32 y | 2 |
| Kelly A Ward | Efland, Nc | May 11, 2018 | 27 y | 2 |
| Allison Marie Fry | Chapel Hill, Nc | Nov 4, 2020 | 12 y | 2 |
| Emma Elizabeth Jackson | Chapel Hill, Nc | Sep 21, 2021 | 16 y | 2 |
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
- Julie Lynn Crowe to Cetera Advisor Networks LLCSep 20, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- Emma Elizabeth Jackson from Robert W. Baird & Co. IncorporatedSep 21, 2021 · RIA to RIA
- Allison Marie Fry from Wells Fargo AdvisorsNov 4, 2020 · Wirehouse to independent RIA
- Kelly A Ward from Morgan StanleyMay 11, 2018 · Wirehouse to independent RIA
- Julie Lynn Crowe from Charles Schwab & Co., Inc.Jan 19, 2018 · Other
- Georgios Livanos from Morgan StanleyOct 18, 2016 · Other
- Mark Joseph Rhoades from Morgan StanleyOct 18, 2016 · Other
- Michael Donovan Jackson from Thompson Davis Asset ManagementOct 13, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Morgan StanleyOct 28, 2016 · Durham, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Georgios Livanos · Managing Partnercontrolsince 04/2018 · owns 50% to 75%
- Joseph Mark Rhoades · Managing Partnercontrolsince 04/2018 · owns 50% to 75%
- Richard Malcolm Migel · Chief Compliance Officersince 03/2023 · 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 |
|---|---|---|---|---|---|
| Chapel Hill, Nc · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,509 to 1,593Mar 26, 2025 to Feb 17, 2026
- Corporate clients · 9 to 16Mar 26, 2025 to Feb 17, 2026
- HNW clients · 445 to 545Mar 26, 2025 to Feb 17, 2026
- Individual clients · 1,022 to 993Mar 26, 2025 to Feb 17, 2026
- Pension plan clients · 33 to 38Mar 26, 2025 to Feb 17, 2026
- Assets in custody · $8.6M to $4.1MMar 26, 2025 to Feb 17, 2026
- Discretionary RAUM · $531M to $610MMar 26, 2025 to Feb 17, 2026
- HNW RAUM · $345M to $421MMar 26, 2025 to Feb 17, 2026
- Individual RAUM · $190M to $197MMar 26, 2025 to Feb 17, 2026
- Non-discretionary RAUM · $20.1M to $31.7MMar 26, 2025 to Feb 17, 2026
- Pension RAUM · $7.3M to $9.1MMar 26, 2025 to Feb 17, 2026
- RAUM · $551M to $641MMar 26, 2025 to Feb 17, 2026
- Wrap assets (manager) · $551M to $632MMar 26, 2025 to Feb 17, 2026
- Accounts · 1,434 to 1,509Oct 22, 2024 to Mar 26, 2025
- Advisory employees · 8 to 7Oct 22, 2024 to Mar 26, 2025
- BD registered reps · 8 to 7Oct 22, 2024 to Mar 26, 2025
- Charity clients · 1.0 to unsetOct 22, 2024 to Mar 26, 2025
- Corporate clients · unset to 9.0Oct 22, 2024 to Mar 26, 2025
- HNW clients · 762 to 445Oct 22, 2024 to Mar 26, 2025
- Individual clients · 671 to 1,022Oct 22, 2024 to Mar 26, 2025
- Pension plan clients · unset to 33.0Oct 22, 2024 to Mar 26, 2025
- Assets in custody · $10.9M to $8.6MOct 22, 2024 to Mar 26, 2025
- Employees · 10 to 8Oct 22, 2024 to Mar 26, 2025
- Financial planning clients · 251-500 to 251-500Oct 22, 2024 to Mar 26, 2025
- State-registered IARs · 8 to 7Oct 22, 2024 to Mar 26, 2025
- Discretionary RAUM · $474M to $531MOct 22, 2024 to Mar 26, 2025
- HNW RAUM · $392M to $345MOct 22, 2024 to Mar 26, 2025
- Individual RAUM · $93.8M to $190MOct 22, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $14.3M to $20.1MOct 22, 2024 to Mar 26, 2025
- Pension RAUM · unset to 7337319.0Oct 22, 2024 to Mar 26, 2025
- RAUM · $488M to $551MOct 22, 2024 to Mar 26, 2025
- Wrap assets (manager) · $492M to $551MOct 22, 2024 to Mar 26, 2025
- Accounts · 1,401 to 1,434Jan 3, 2024 to Mar 7, 2024
- HNW clients · 183 to 762Jan 3, 2024 to Mar 7, 2024
- Individual clients · 252 to 671Jan 3, 2024 to Mar 7, 2024
- Assets in custody · $6.1M to $10.9MJan 3, 2024 to Mar 7, 2024
- Discretionary RAUM · $423M to $474MJan 3, 2024 to Mar 7, 2024
- HNW RAUM · $348M to $392MJan 3, 2024 to Mar 7, 2024
- Individual RAUM · $86.4M to $93.8MJan 3, 2024 to Mar 7, 2024
- Non-discretionary RAUM · $12.9M to $14.3MJan 3, 2024 to Mar 7, 2024
Signals
1 dated events
- Phoenix Wealth Advisors Inc. reported RAUM $342.0M, up 46% from $234.5M (2017-03-13 to 2018-03-28)Mar 28, 2018 · 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
- 919-929-4448reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/phoenix-wealth-advisors-increportedpublic record, Form ADV, Sep 18, 2026
- Website
- PFINX.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 919-929-4448reportedpublic record, Form ADV, Jul 2, 2026
- Team page
- phoenixwealthadvisors.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
- $91.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026