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
P••••••••• F•••••••• S•••••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Apr 2, 2012 · 20 filings
SEC status approved since Jun 8, 2006
RAUM
$482M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
93%
$448M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$161M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$482M as of Mar 30, 2026
Apr 2, 2012$90.9M then
HNW client RAUM$419M as of Mar 30, 2026
Mar 29, 2018$112M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Mar 28, 20131 then
Employees (5.A)6 as of Mar 30, 2026
Mar 28, 20133 then
Private funds: no history
RAUM +12% over the last fiscal year+16% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- $161MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $847,591derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 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
- -2.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$419M87%
- Individuals$28.1M5.8%
- Corporations and businesses$18.7M3.9%
- Pension and profit-sharing plans$15.9M3.3%
- Charitable organizations$110,4200.0%
- Individual clients
- 120reported
- HNW clients
- 96reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 569reported
- Financial planning clients
- 0reported
- 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=0.03 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• C••••• P•••••Personal Financial Specialist | Goldsboro, Nc | Jun 6, 2011 | 50 y | 1 |
| C•••••••• T•••••• M•••••••Certified Financial Planner | Raleigh, Nc | Jul 19, 2019 | 42 y | 1 |
| W•••••• H••• S••••• | Raleigh, Nc | May 16, 2024 | 12 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• C••••••••• T•••••• · President, Chief Compliance Officercontrolsince 02/1987 · owns 75% or more
Related persons
Schedule D 7.A
- C•••••• I••••••••• B••••••••• I•••broker-dealern
- C•••••• I••••••••• G••••• I•••broker-dealern
- J•••• C• P•••••insurancen
- T•• W••••• G••••• L••investment adviseryRAUM $160M
Advisers that list P••••••••• F•••••••• S•••••••• I••• as a related person
- 154106 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Raleigh, Nc · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Goldsboro, NC1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Mar 30, 2026RAUM per registered advisor of $160,759,829 against a peer median of $55,731,856 (3254 comparable advisers, 100.0th percentile, 3.7 robust deviations)peers: independent wealth managers, $100M to $500M (3,254) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 555 to 569Mar 30, 2025 to Mar 30, 2026
- HNW clients · 83 to 96Mar 30, 2025 to Mar 30, 2026
- Individual clients · 139 to 120Mar 30, 2025 to Mar 30, 2026
- Discretionary RAUM · $429M to $479MMar 30, 2025 to Mar 30, 2026
- HNW RAUM · $378M to $419MMar 30, 2025 to Mar 30, 2026
- Individual RAUM · $28.9M to $28.1MMar 30, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $2.5M to $3.4MMar 30, 2025 to Mar 30, 2026
- Pension RAUM · $8.8M to $15.9MMar 30, 2025 to Mar 30, 2026
- RAUM · $432M to $482MMar 30, 2025 to Mar 30, 2026
- Accounts · 560 to 555Mar 29, 2024 to Mar 30, 2025
- Advisory employees · 2 to 3Mar 29, 2024 to Mar 30, 2025
- HNW clients · 93 to 83Mar 29, 2024 to Mar 30, 2025
- Individual clients · 122 to 139Mar 29, 2024 to Mar 30, 2025
- Insurance-licensed employees · 2 to 3Mar 29, 2024 to Mar 30, 2025
- Financial planning clients · 0 to 0Mar 29, 2024 to Mar 30, 2025
- State-registered IARs · 2 to 3Mar 29, 2024 to Mar 30, 2025
- Discretionary RAUM · $360M to $429MMar 29, 2024 to Mar 30, 2025
- HNW RAUM · $320M to $378MMar 29, 2024 to Mar 30, 2025
- Individual RAUM · $21.7M to $28.9MMar 29, 2024 to Mar 30, 2025
- Non-discretionary RAUM · $3.8M to $2.5MMar 29, 2024 to Mar 30, 2025
- Pension RAUM · $7.1M to $8.8MMar 29, 2024 to Mar 30, 2025
- RAUM · $364M to $432MMar 29, 2024 to Mar 30, 2025
- Accounts · 512 to 560Mar 30, 2023 to Mar 29, 2024
- HNW clients · 87 to 93Mar 30, 2023 to Mar 29, 2024
- Individual clients · 125 to 122Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $302M to $360MMar 30, 2023 to Mar 29, 2024
- HNW RAUM · $265M to $320MMar 30, 2023 to Mar 29, 2024
- Individual RAUM · $20.3M to $21.7MMar 30, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $4.5M to $3.8MMar 30, 2023 to Mar 29, 2024
- Pension RAUM · $7.8M to $7.1MMar 30, 2023 to Mar 29, 2024
- RAUM · $306M to $364MMar 30, 2023 to Mar 29, 2024
- Accounts · 501 to 512Mar 29, 2022 to Mar 30, 2023
- Advisory employees · 3 to 2Mar 29, 2022 to Mar 30, 2023
- HNW clients · 66 to 87Mar 29, 2022 to Mar 30, 2023
- Individual clients · 121 to 125Mar 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $334M to $302MMar 29, 2022 to Mar 30, 2023
- HNW RAUM · $310M to $265MMar 29, 2022 to Mar 30, 2023
- Individual RAUM · $30.9M to $20.3MMar 29, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $30.8M to $4.5MMar 29, 2022 to Mar 30, 2023
- Pension RAUM · $24.1M to $7.8MMar 29, 2022 to Mar 30, 2023
Signals
No event on the tape.
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
- Website
- P•••••••••FS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 919-863-2355reportedpublic record, Form ADV, Mar 30, 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
- $161Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026