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
H••••••••• A•••• A••••• • P•••••• P•
Latest filing Mar 30, 2026
First filing on the tape May 15, 2018 · 25 filings
SEC status approved since Jun 18, 2018
RAUM
$177M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$171M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$59.1M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$177M as of Mar 30, 2026
Mar 29, 2019$102M then
HNW client RAUM$139M as of Mar 30, 2026
Mar 29, 2019$71.0M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Mar 29, 20192 then
Employees (5.A)3 as of Mar 30, 2026
Mar 29, 201913 then
Private funds: no history
RAUM +15% over the last fiscal year+13% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 30, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $59.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.1%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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$139M79%
- Individuals$31.5M18%
- Pension and profit-sharing plans$5.7M3.2%
- Corporations and businesses$784,4250.4%
- Individual clients
- 50reported
- HNW clients
- 44reported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 152reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••• R•••••• P••••• | Raleigh, Nc | Aug 17, 2007 | 25 y | 0 |
| C•••••• W••••• A•••••Personal Financial Specialist | Raleigh, Nc | Sep 13, 2007 | 30 y | 0 |
| C••••• W•••••• A••••• | Raleigh, Nc | Feb 15, 2025 | 19 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
- A••••• T••••••• M••••• · Vice Presidentcontrolsince 01/2014 · owns 25% to 50%
- A•••••• C••••••• W••••• · President & Ccocontrolsince 01/1999 · owns 25% to 50%
- P•••••• T•••• R•••••• · Secretarycontrolsince 01/2001 · owns 10% to 25%
- J••••• A•••••• P• · Treasurersince 01/2021 · 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 | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 101-250 to 51-100Mar 20, 2025 to Mar 30, 2026
- State-registered IARs · 2 to 3Mar 20, 2025 to Mar 30, 2026
- Discretionary RAUM · $154M to $177MMar 20, 2025 to Mar 30, 2026
- HNW RAUM · $123M to $139MMar 20, 2025 to Mar 30, 2026
- Individual RAUM · $26.6M to $31.5MMar 20, 2025 to Mar 30, 2026
- Pension RAUM · $4.1M to $5.7MMar 20, 2025 to Mar 30, 2026
- RAUM · $154M to $177MMar 20, 2025 to Mar 30, 2026
- Accounts · 153 to 152Mar 20, 2025 to Mar 30, 2026
- Advisory employees · 2 to 3Mar 20, 2025 to Mar 30, 2026
- HNW clients · 49 to 44Mar 20, 2025 to Mar 30, 2026
- Individual clients · 49 to 50Mar 20, 2025 to Mar 30, 2026
- Accounts · 157 to 153Feb 17, 2025 to Mar 20, 2025
- Corporate clients · 1 to 2Feb 17, 2025 to Mar 20, 2025
- HNW clients · 51 to 49Feb 17, 2025 to Mar 20, 2025
- Individual clients · 42 to 49Feb 17, 2025 to Mar 20, 2025
- Financial planning clients · 51-100 to 101-250Feb 17, 2025 to Mar 20, 2025
- Discretionary RAUM · $140M to $154MFeb 17, 2025 to Mar 20, 2025
- HNW RAUM · $125M to $123MFeb 17, 2025 to Mar 20, 2025
- Individual RAUM · $11.1M to $26.6MFeb 17, 2025 to Mar 20, 2025
- Pension RAUM · $4.1M to $4.1MFeb 17, 2025 to Mar 20, 2025
- RAUM · $140M to $154MFeb 17, 2025 to Mar 20, 2025
- Accounts · 161 to 157Apr 18, 2023 to Mar 29, 2024
- HNW clients · 48 to 51Apr 18, 2023 to Mar 29, 2024
- Individual clients · 48 to 42Apr 18, 2023 to Mar 29, 2024
- Pension plan clients · 3 to 4Apr 18, 2023 to Mar 29, 2024
- Discretionary RAUM · $124M to $140MApr 18, 2023 to Mar 29, 2024
- HNW RAUM · $109M to $125MApr 18, 2023 to Mar 29, 2024
- Individual RAUM · $12.2M to $11.1MApr 18, 2023 to Mar 29, 2024
- Pension RAUM · $2.8M to $4.1MApr 18, 2023 to Mar 29, 2024
- RAUM · $124M to $140MApr 18, 2023 to Mar 29, 2024
- Accounts · 165 to 161Apr 8, 2022 to Mar 31, 2023
- Corporate clients · unset to 1.0Apr 8, 2022 to Mar 31, 2023
- HNW clients · 46 to 48Apr 8, 2022 to Mar 31, 2023
- Individual clients · 53 to 48Apr 8, 2022 to Mar 31, 2023
- Financial planning clients · 1-10 to 51-100Apr 8, 2022 to Mar 31, 2023
- Discretionary RAUM · $142M to $124MApr 8, 2022 to Mar 31, 2023
- HNW RAUM · $121M to $109MApr 8, 2022 to Mar 31, 2023
- Individual RAUM · $17.9M to $12.2MApr 8, 2022 to Mar 31, 2023
- Pension RAUM · $3.0M to $2.8MApr 8, 2022 to Mar 31, 2023
- RAUM · $142M to $124MApr 8, 2022 to Mar 31, 2023
Signals
4 dated events
- M••••• T•••••• A•••• (Vice President) appeared on Schedule A of H••••••••• A•••• A••••• • P•••••• P•Jun 11, 2021 · Control person joined · fact
- Milo Leon Hollingsworth (Vice President) no longer on Schedule A of H••••••••• A•••• A••••• • P•••••• P• (listed 2021-04-02, absent 2021-06-11)Jun 11, 2021 · Control person left · inference
- Lee Roy A•••• (President) no longer on Schedule A of H••••••••• A•••• A••••• • P•••••• P• (listed 2021-04-02, absent 2021-06-11)Jun 11, 2021 · Control person left · inference
- H••••••••• A•••• A••••• • P•••••• P• filed its initial SEC registration (Form ADV)May 15, 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 email
- i•••@h•••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 919-846-9949reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 919-848-4100reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.h•••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 919-848-4100reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- h•••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $59.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026