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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Former SEC-registered adviser

O••• F•••••••• A•••••••• I•••

STATE REGISTEREDStatesville, North CarolinaCRD 118742websiteIAPD
Latest filing May 21, 2026
First filing on the tape May 21, 2026 · 1 filings
RAUM
$30.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$28.9M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of May 21, 2026; every figure names its basis
RAUM per advisor
$6.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
74derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$295,000derivedHNW RAUM over HNW clients
Average account
$319,149derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
  • 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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$17.1M57%
  • High-net-worth individuals$11.8M39%
  • Charitable organizations$1.1M3.7%
Individual clients
329reported
HNW clients
40reported
Pension plan clients
n/areported
Charitable clients
5reported
Accounts
94reported
Financial planning clients
26-50reported
Wrap fee programs
$0 sponsored, $30.0M managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
5 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•••• T•••• S••••••Certified Financial PlannerStatesville, NcDec 31, 200144 y0
N••• S•••••• L••••Certified Financial PlannerStatesville, NcNov 7, 201220 y0
J•••• M••••••• D•••••Statesville, NcMar 19, 201610 y0
N•••• M••••••• D•••••Statesville, NcJul 11, 202410 y3
L••• H••• F••Statesville, NcJul 11, 202412 y1
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Statesville, Nc · principal500
Chapel Hill, Nc000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
4 dated events
  • N••••• J••• R•••••••• left O••• F•••••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2025-02-24)
    Feb 25, 2025 · Advisor changed firm · fact
  • M••••• A• F•••• left O••• F•••••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2025-02-24)
    Feb 25, 2025 · Advisor changed firm · fact
  • 2 advisors left O••• F•••••••• A•••••••• I••• (Chapel Hill, NC) for L•• F•••••••• L•• on the same day
    Feb 25, 2025 · Team lift-out · derived
  • 2 advisors left O•••• W•••••• I••• (Chapel Hill, NC) for O••• F•••••••• A•••••••• I••• on the same day
    Jun 25, 2024 · Team lift-out · 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
Website
O•••FA.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
704-872-7671reportedpublic record, Form ADV, May 21, 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
STATE REGISTEREDderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 15, 2026