DFX Intelligence

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P•••• I••••••••• C••••••• L••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $154M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-05 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $154M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +5.2%
Private clients: 93%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-03-05 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 5 Mar 2026, RAUM $146M to $154M (+5.2%) on the Form ADV filed 5 Mar 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 118737 · SEC 801-112826 · 28 filingsShow

CRD 118737SEC 801-112826First filing on the tape Feb 3, 2012, latest Mar 5, 2026SEC status approved since Apr 12, 2018IAPD

RAUM

$154M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

93%

$144M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$154M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

28 filings and snapshots on the tape

RAUM +11% a year over three years · the tape starts Feb 3, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$154M as of Mar 5, 2026

Feb 3, 2012$62.4M then

HNW client RAUM$117M as of Mar 5, 2026

Feb 26, 2019$58.1M then

State-registered IARs (5.B.3)1 as of Mar 5, 2026

Feb 3, 20120 then

Employees (5.A)1 as of Mar 5, 2026

Feb 26, 20192 then

Private funds: no history

RAUM +5.2% over the last fiscal year+11% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 5, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $154MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 142derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.2MderivedHNW RAUM over HNW clients
Average account: $402,221derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 6.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +5.2%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +2.9%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody: $147M, 145 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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

76% high-net-worth individuals, 17% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

High-net-worth individuals$117M76%
Individuals$26.8M17%
Charitable organizations$10.0M6.5%

Individual clients: 90reported
HNW clients: 52reported
Pension plan clients: 0reported
Charitable clients: 3reported
Accounts: 382reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: $147M for 145 clientsreported
Compensation: % of AUMreported
Class basis: RAUM: 93% private clients, 0% pooled funds, 7% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
P•••• M•••••• P••••	Cary, Nc	Sep 15, 2014	21 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

P••••• P••••• M•••••• · President & Chief Compliance Officercontrol
since 07/2022 · owns 75% or more
P••••• D••••• R• · Trusteecontrol
since 07/2022 · owns 25% to 50% of T•• M••• F• P•••• L••••• T••••
P••••• P••••• M•••••• · Trusteecontrol
since 07/2022 · owns 25% to 50% of T•• M••• F• P•••• L••••• T••••

Entity owners

T•• M••• F• P•••• L••••• T•••• · Owner Trust
direct · owns 25% to 50%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 372 to 382
Mar 7, 2025 to Jan 29, 2026
Charity clients · 4 to 3
Mar 7, 2025 to Jan 29, 2026
HNW clients · 43 to 52
Mar 7, 2025 to Jan 29, 2026
Individual clients · 95 to 90
Mar 7, 2025 to Jan 29, 2026
Assets in custody · $70.2M to $147M
Mar 7, 2025 to Jan 29, 2026

Full history · 80 changes

Discretionary RAUM · $146M to $154M
Mar 7, 2025 to Jan 29, 2026
HNW RAUM · $102M to $117M
Mar 7, 2025 to Jan 29, 2026
Individual RAUM · $34.1M to $26.8M
Mar 7, 2025 to Jan 29, 2026
RAUM · $146M to $154M
Mar 7, 2025 to Jan 29, 2026
Financial planning clients · 101-250 to 101-250
Feb 19, 2025 to Mar 7, 2025
Accounts · 376 to 372
Nov 8, 2024 to Feb 19, 2025
Charity clients · 3 to 4
Nov 8, 2024 to Feb 19, 2025
HNW clients · 41 to 43
Nov 8, 2024 to Feb 19, 2025
Individual clients · 101 to 95
Nov 8, 2024 to Feb 19, 2025
Assets in custody · $1.6M to $70.2M
Nov 8, 2024 to Feb 19, 2025
HQ city · unset to
Nov 8, 2024 to Feb 19, 2025
HQ state · unset to
Nov 8, 2024 to Feb 19, 2025
Discretionary RAUM · $131M to $146M
Nov 8, 2024 to Feb 19, 2025
HNW RAUM · $89.8M to $102M
Nov 8, 2024 to Feb 19, 2025
Individual RAUM · $32.0M to $34.1M
Nov 8, 2024 to Feb 19, 2025
RAUM · $131M to $146M
Nov 8, 2024 to Feb 19, 2025
Other offices · 1 to 0
Jan 19, 2024 to Nov 8, 2024
Accounts · 372 to 376
Nov 20, 2023 to Jan 19, 2024
Individual clients · 91 to 101
Nov 20, 2023 to Jan 19, 2024
Assets in custody · $3.1M to $1.6M
Nov 20, 2023 to Jan 19, 2024
Financial planning clients · 26-50 to 101-250
Nov 20, 2023 to Jan 19, 2024
Discretionary RAUM · $113M to $131M
Nov 20, 2023 to Jan 19, 2024
HNW RAUM · $78.0M to $89.8M
Nov 20, 2023 to Jan 19, 2024
Individual RAUM · $27.4M to $32.0M
Nov 20, 2023 to Jan 19, 2024
RAUM · $113M to $131M
Nov 20, 2023 to Jan 19, 2024
Accounts · 382 to 372
Jul 22, 2022 to Jan 17, 2023
Individual clients · 95 to 91
Jul 22, 2022 to Jan 17, 2023
Assets in custody · $13.3M to $3.1M
Jul 22, 2022 to Jan 17, 2023
Discretionary RAUM · $150M to $113M
Jul 22, 2022 to Jan 17, 2023
HNW RAUM · $108M to $78.0M
Jul 22, 2022 to Jan 17, 2023
Individual RAUM · $33.1M to $27.4M
Jul 22, 2022 to Jan 17, 2023
RAUM · $150M to $113M
Jul 22, 2022 to Jan 17, 2023
Advisory employees · 2 to 1
Feb 11, 2022 to Jul 19, 2022
Employees · 2 to 1
Feb 11, 2022 to Jul 19, 2022
State-registered IARs · 2 to 1
Feb 11, 2022 to Jul 19, 2022
Accounts · 370 to 382
Dec 3, 2021 to Feb 11, 2022
HNW clients · 40 to 41
Dec 3, 2021 to Feb 11, 2022
Individual clients · 88 to 95
Dec 3, 2021 to Feb 11, 2022
Assets in custody · $15.2M to $13.3M
Dec 3, 2021 to Feb 11, 2022
Financial planning clients · 11-25 to 26-50
Dec 3, 2021 to Feb 11, 2022
Discretionary RAUM · $138M to $150M
Dec 3, 2021 to Feb 11, 2022
HNW RAUM · $102M to $108M
Dec 3, 2021 to Feb 11, 2022
Individual RAUM · $29.4M to $33.1M
Dec 3, 2021 to Feb 11, 2022
RAUM · $138M to $150M
Dec 3, 2021 to Feb 11, 2022
Accounts · 339 to 370
Oct 15, 2020 to Feb 24, 2021
Charity clients · 2 to 3
Oct 15, 2020 to Feb 24, 2021
Corporate clients · unset to 0.0
Oct 15, 2020 to Feb 24, 2021
HNW clients · 37 to 40
Oct 15, 2020 to Feb 24, 2021
Individual clients · 78 to 88
Oct 15, 2020 to Feb 24, 2021
Pension plan clients · unset to 0.0
Oct 15, 2020 to Feb 24, 2021
Pooled vehicle clients · unset to 0.0
Oct 15, 2020 to Feb 24, 2021
Assets in custody · $10.1M to $15.2M
Oct 15, 2020 to Feb 24, 2021
Financial planning clients · 26-50 to 11-25
Oct 15, 2020 to Feb 24, 2021
Discretionary RAUM · $111M to $138M
Oct 15, 2020 to Feb 24, 2021
HNW RAUM · $62.8M to $102M
Oct 15, 2020 to Feb 24, 2021
Individual RAUM · $42.3M to $29.4M
Oct 15, 2020 to Feb 24, 2021
Pension RAUM · unset to 0.0
Oct 15, 2020 to Feb 24, 2021
Pooled vehicle RAUM · unset to 0.0
Oct 15, 2020 to Feb 24, 2021
RAUM · $111M to $138M
Oct 15, 2020 to Feb 24, 2021
Accounts · 336 to 339
Aug 9, 2019 to Mar 20, 2020
Advisory activities · 2 to 3
Aug 9, 2019 to Mar 20, 2020
Charity clients · unset to 2.0
Aug 9, 2019 to Mar 20, 2020
Corporate clients · 2.0 to unset
Aug 9, 2019 to Mar 20, 2020
HNW clients · 26 to 37
Aug 9, 2019 to Mar 20, 2020
Individual clients · 87 to 78
Aug 9, 2019 to Mar 20, 2020
Financial planning clients · unset to 26-50
Aug 9, 2019 to Mar 20, 2020
Discretionary RAUM · $103M to $111M
Aug 9, 2019 to Mar 20, 2020
HNW RAUM · $58.1M to $62.8M
Aug 9, 2019 to Mar 20, 2020
Individual RAUM · $39.9M to $42.3M
Aug 9, 2019 to Mar 20, 2020
RAUM · $103M to $111M
Aug 9, 2019 to Mar 20, 2020
Accounts · 328 to 336
Jul 30, 2018 to Feb 26, 2019
Charity clients · 2.0 to unset
Jul 30, 2018 to Feb 26, 2019
Corporate clients · unset to 2.0
Jul 30, 2018 to Feb 26, 2019
HNW clients · 31 to 26
Jul 30, 2018 to Feb 26, 2019
Individual clients · 67 to 87
Jul 30, 2018 to Feb 26, 2019

Signals

3 dated events

••• Locked
Jul 19, 2022 · Control person left · inference
••• Locked
Jul 19, 2022 · Control person joined · fact
••• Locked
Mar 13, 2018 · First SEC registration · 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: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 5, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 5, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $154Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026