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
F•••••••• S••••••• I•••
Legal name F•••••••• S••••••• I•••••••••
Latest filing May 27, 2026
First filing on the tape Mar 21, 2012 · 39 filings
SEC status approved since Jan 28, 2004
RAUM
$1.5B
reported, Item 5.F
Discretionary
62%
of RAUM
Private clients
100%
$1.5B individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$103M
derived; firm RAUM over IAPD count
Employees
35
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$1.5B as of May 27, 2026
Mar 21, 2012$137M then
HNW client RAUM$1.4B as of May 27, 2026
Mar 29, 2018$229M then
State-registered IARs (5.B.3)15 as of May 27, 2026
Mar 21, 20120 then
Employees (5.A)35 as of May 27, 2026
Feb 15, 20134 then
Private funds: no history
RAUM +27% over the last fiscal year+24% a year over threeIARs 14 to 15
Practice profile
derived from the filing of May 27, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $103MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $286,896derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 62%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 15.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +7.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $6.7M, 193 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
- 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)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.4B90%
- Individuals$146M9.5%
- Charitable organizations$1.6M0.1%
- Individual clients
- 326reported
- HNW clients
- 546reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 5,370reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.7M for 193 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• B•••• E•••••Certified Financial Planner | Raleigh, Nc | Apr 26, 2013 | 23 y | 0 |
| C•••••• H••• H••••••••Certified Financial Planner | Raleigh, Nc | Apr 29, 2015 | 11 y | 0 |
| G•••• R•••• K••••••Certified Financial Planner | Raleigh, Nc | Jan 4, 2016 | 10 y | 0 |
| W•••••• D•••••• H•••Certified Financial Planner | Raleigh, Nc | Jan 12, 2017 | 26 y | 1 |
| M•••••• C• S••••Certified Financial Planner | Raleigh, Nc | Jan 12, 2017 | 23 y | 1 |
| A•••••• M•••• B•••••Certified Financial Planner | Raleigh, Nc | Jan 12, 2017 | 21 y | 1 |
| W•••••• A•••••••• R•••••Certified Financial Planner | Raleigh, Nc | Jan 12, 2017 | 41 y | 0 |
| G•••••• E••••• B•••••Certified Financial Planner | Raleigh, Nc | Jan 18, 2017 | 13 y | 0 |
| H•••• J• M•••••Certified Financial Planner | Raleigh, Nc | Jan 1, 2020 | 12 y | 0 |
| D••••• C•••••• B•••••••••Certified Financial Planner | Raleigh, Nc | Jun 4, 2020 | 10 y | 0 |
| C••••• M••••• T••••• | Raleigh, Nc | Aug 27, 2020 | 10 y | 0 |
| C•••••••• A•••••• P••••••Certified Financial Planner | Raleigh, Nc | Feb 2, 2022 | 16 y | 0 |
| G•••••• M•••••• K•••Certified Financial Planner | Raleigh, Nc | Jul 7, 2022 | 12 y | 0 |
| N•••• D••••••Certified Financial Planner | Raleigh, Nc | Feb 1, 2024 | 10 y | 0 |
| J••• M•••••• B••••••••• | Raleigh, Nc | Jul 24, 2024 | 11 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
- W•••••• D•••••• H••• from O•••• F•• I•••Jan 12, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• A••••••• M•••• · Principalcontrolsince 01/2008 · owns 10% to 25%
- B•••••• G••••••• E••••• · Principalcontrolsince 01/2020 · owns less than 5%
- E•••••• M••••••• B•••• · Principalcontrolsince 03/2015 · owns 10% to 25%
- G••••• H••••••• S•• · Secretary, Coocontrolsince 04/2014 · owns less than 5%
- H••••••••• C••••••• H••• · Principalcontrolsince 04/2016 · owns 5% to 10%
- H•••• W••••••• D•••••• · Principalcontrolsince 11/2009 · owns 10% to 25%
- K••••••• G••••• R•••• · Principalcontrolsince 01/2019 · owns less than 5%
- M•••••• H••••• J• · Principalcontrolsince 01/2022 · owns less than 5%
- R•••••• W••••••• A•••••••• · President- Chief Compliance Officercontrolsince 06/2001 · owns 10% to 25%
- S••••• M••••••• C• · Principalcontrolsince 04/2006 · owns 10% to 25%
- B••••••••• D•••••• C•••••• · Principalsince 03/2023 · owns less than 5%
- D••••••• N•••• · Principalsince 01/2026 · owns less than 5%
- K•••• M••••••• · Principalsince 01/2026 · owns less than 5%
- K••••••••• A•••••• R••• · Principalsince 03/2023 · owns less than 5%
- K•••• G••••••• M•••••• · Principalsince 01/2026 · owns less than 5%
- M•••••• R••••••• · Principalsince 01/2026 · owns less than 5%
- P••••••• C••••••••• A•••••• · Principalsince 01/2026 · owns less than 5%
- T•••••• C•••••• M••••• · Principalsince 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 |
|---|---|---|---|---|---|
| Raleigh, Nc · principal | 15 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5,000 to 5,370Mar 28, 2025 to Jan 29, 2026
- HNW clients · 461 to 546Mar 28, 2025 to Jan 29, 2026
- Individual clients · 354 to 326Mar 28, 2025 to Jan 29, 2026
- Assets in custody · $5.6M to $6.7MMar 28, 2025 to Jan 29, 2026
- Employees · 33 to 35Mar 28, 2025 to Jan 29, 2026
- State-registered IARs · 14 to 15Mar 28, 2025 to Jan 29, 2026
- Discretionary RAUM · $707M to $949MMar 28, 2025 to Jan 29, 2026
- HNW RAUM · $1.1B to $1.4BMar 28, 2025 to Jan 29, 2026
- Individual RAUM · $157M to $146MMar 28, 2025 to Jan 29, 2026
- Non-discretionary RAUM · $504M to $592MMar 28, 2025 to Jan 29, 2026
- RAUM · $1.2B to $1.5BMar 28, 2025 to Jan 29, 2026
- Accounts · 4,599 to 5,000Nov 5, 2024 to Mar 28, 2025
- HNW clients · 390 to 461Nov 5, 2024 to Mar 28, 2025
- Individual clients · 369 to 354Nov 5, 2024 to Mar 28, 2025
- Assets in custody · $5.0M to $5.6MNov 5, 2024 to Mar 28, 2025
- Employees · 29 to 33Nov 5, 2024 to Mar 28, 2025
- Financial planning clients · More than 500 to More than 500Nov 5, 2024 to Mar 28, 2025
- Discretionary RAUM · $563M to $707MNov 5, 2024 to Mar 28, 2025
- HNW RAUM · $835M to $1.1BNov 5, 2024 to Mar 28, 2025
- Individual RAUM · $168M to $157MNov 5, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $442M to $504MNov 5, 2024 to Mar 28, 2025
- RAUM · $1.0B to $1.2BNov 5, 2024 to Mar 28, 2025
- Advisory employees · 13 to 15Mar 25, 2024 to Mar 27, 2024
- State-registered IARs · 13 to 14Mar 25, 2024 to Mar 27, 2024
- Accounts · 4,193 to 4,599Jun 29, 2023 to Mar 25, 2024
- Advisory employees · 12 to 13Jun 29, 2023 to Mar 25, 2024
- HNW clients · 320 to 390Jun 29, 2023 to Mar 25, 2024
- Individual clients · 384 to 369Jun 29, 2023 to Mar 25, 2024
- Assets in custody · $4.2M to $5.0MJun 29, 2023 to Mar 25, 2024
- Employees · 27 to 29Jun 29, 2023 to Mar 25, 2024
- State-registered IARs · 12 to 13Jun 29, 2023 to Mar 25, 2024
- Discretionary RAUM · $429M to $563MJun 29, 2023 to Mar 25, 2024
- HNW RAUM · $635M to $835MJun 29, 2023 to Mar 25, 2024
- Individual RAUM · $171M to $168MJun 29, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $378M to $442MJun 29, 2023 to Mar 25, 2024
- RAUM · $808M to $1.0BJun 29, 2023 to Mar 25, 2024
- Accounts · 3,838 to 4,193Feb 3, 2023 to Mar 31, 2023
- HNW clients · 313 to 320Feb 3, 2023 to Mar 31, 2023
- Individual clients · 332 to 384Feb 3, 2023 to Mar 31, 2023
- Assets in custody · $6.7M to $4.2MFeb 3, 2023 to Mar 31, 2023
Signals
5 dated events
- F•••••••• S••••••• I••• reported RAUM $1.5B, up 27% from $1.2B (2025-03-28 to 2026-01-29)Jan 29, 2026 · RAUM change · derived
- Jo H•••• M••••• (Principal) appeared on Schedule A of F•••••••• S••••••• I•••Mar 31, 2022 · Control person joined · fact
- F•••••••• S••••••• I••• reported RAUM $664.7M, up 39% from $478.1M (2021-02-05 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- E••••• G•••••• B••••• (Principal) appeared on Schedule A of F•••••••• S••••••• I•••Apr 1, 2020 · Control person joined · fact
- Rooth Grace Kvantas (Principal) appeared on Schedule A of F•••••••• S••••••• I•••Mar 28, 2019 · 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 phone
- 888-494-7878reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 919-851-8200reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/financial-symmetry-inc-reportedpublic record, Form ADV, Sep 19, 2026
- Website
- FINANCIALS•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 919-851-8200reportedpublic record, Form ADV, May 27, 2026
- Team page
- f•••••••••.comreportedpublished 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
- $103Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026