DFX Intelligence
RIA Intelligence
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SEC-registered adviser
A••••••• C•••••• M•••••••••
Legal name A••••••• C•••••• M••••••••• L•••
Latest filing Jan 28, 2026
First filing on the tape Mar 30, 2016 · 15 filings
SEC status approved since Apr 1, 2016
RAUM
$412M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
77%
$318M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$206M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$412M as of Jan 28, 2026
Mar 30, 2017$111M then
HNW client RAUM$277M as of Jan 28, 2026
Mar 25, 2018$48.7M then
State-registered IARs (5.B.3)2 as of Jan 28, 2026
Mar 30, 20174 then
Employees (5.A)2 as of Jan 28, 2026
Mar 30, 20174 then
Private funds: no history
RAUM +21% over the last fiscal year+19% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 28, 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
- RAUM per advisor
- $206MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.7MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.6%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$277M67%
- Pension and profit-sharing plans$53.7M13%
- Individuals$41.3M10%
- Charitable organizations$40.0M9.7%
- Corporations and businesses$799,8570.2%
- Individual clients
- 107reported
- HNW clients
- 41reported
- Pension plan clients
- 15reported
- Charitable clients
- n/areported
- Accounts
- 387reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.23 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H••••• W•••• J•••••• | Asheville, Nc | Dec 13, 2016 | 48 y | 0 |
| S••• P•••••• N•••••Certified Financial Planner | Asheville, Nc | Jan 9, 2024 | 26 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
- J••••••• H•••••• W•••• · Membercontrolsince 03/2001 · owns 25% to 50%
- M•••••••• D•••••• R••••• · Membercontrolsince 01/2023 · owns 25% to 50%
- N•••••• S•••• P•••••• · Member / Cco / Presidentcontrolsince 01/2024 · owns 25% to 50%
- T•••••• G•••••• E••••• · Membercontrolsince 03/2001 · owns 25% to 50%
Related persons
Schedule D 7.A
- G•••• K•••••• C•• G••••• P•••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Asheville, Nc · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Brevard, NC1 employees
- Hendersonville, NC1 employees
What changed
consecutive filings, newest first
- Accounts · 385 to 387Mar 5, 2025 to Jan 28, 2026
- HNW clients · 42 to 41Mar 5, 2025 to Jan 28, 2026
- Individual clients · 110 to 107Mar 5, 2025 to Jan 28, 2026
- Pension plan clients · 18 to 15Mar 5, 2025 to Jan 28, 2026
- Discretionary RAUM · $342M to $355MMar 5, 2025 to Jan 28, 2026
- HNW RAUM · $214M to $277MMar 5, 2025 to Jan 28, 2026
- Individual RAUM · $38.3M to $41.3MMar 5, 2025 to Jan 28, 2026
- Non-discretionary RAUM · $0 to $57.0MMar 5, 2025 to Jan 28, 2026
- Pension RAUM · $49.7M to $53.7MMar 5, 2025 to Jan 28, 2026
- RAUM · $342M to $412MMar 5, 2025 to Jan 28, 2026
- Accounts · 360 to 385Feb 14, 2024 to Mar 5, 2025
- HNW clients · 40 to 42Feb 14, 2024 to Mar 5, 2025
- Individual clients · 114 to 110Feb 14, 2024 to Mar 5, 2025
- Pension plan clients · 11 to 18Feb 14, 2024 to Mar 5, 2025
- Financial planning clients · 1-10 to 1-10Feb 14, 2024 to Mar 5, 2025
- Discretionary RAUM · $272M to $342MFeb 14, 2024 to Mar 5, 2025
- HNW RAUM · $161M to $214MFeb 14, 2024 to Mar 5, 2025
- Individual RAUM · $35.6M to $38.3MFeb 14, 2024 to Mar 5, 2025
- Pension RAUM · $38.1M to $49.7MFeb 14, 2024 to Mar 5, 2025
- RAUM · $272M to $342MFeb 14, 2024 to Mar 5, 2025
- Accounts · 334 to 360Oct 16, 2023 to Feb 14, 2024
- HNW clients · 32 to 40Oct 16, 2023 to Feb 14, 2024
- Individual clients · 110 to 114Oct 16, 2023 to Feb 14, 2024
- Pension plan clients · 12 to 11Oct 16, 2023 to Feb 14, 2024
- Other offices · 0 to 2Oct 16, 2023 to Feb 14, 2024
- Discretionary RAUM · $242M to $272MOct 16, 2023 to Feb 14, 2024
- HNW RAUM · $136M to $161MOct 16, 2023 to Feb 14, 2024
- Individual RAUM · $32.3M to $35.6MOct 16, 2023 to Feb 14, 2024
- Pension RAUM · $39.7M to $38.1MOct 16, 2023 to Feb 14, 2024
- RAUM · $242M to $272MOct 16, 2023 to Feb 14, 2024
- Accounts · 342 to 334Mar 16, 2022 to Mar 15, 2023
- HNW clients · 36 to 32Mar 16, 2022 to Mar 15, 2023
- Individual clients · 103 to 110Mar 16, 2022 to Mar 15, 2023
- Pension plan clients · 13 to 12Mar 16, 2022 to Mar 15, 2023
- Financial planning clients · 0 to 1-10Mar 16, 2022 to Mar 15, 2023
- Discretionary RAUM · $235M to $242MMar 16, 2022 to Mar 15, 2023
- HNW RAUM · $116M to $136MMar 16, 2022 to Mar 15, 2023
- Individual RAUM · $34.0M to $32.3MMar 16, 2022 to Mar 15, 2023
- Pension RAUM · $45.8M to $39.7MMar 16, 2022 to Mar 15, 2023
- RAUM · $235M to $242MMar 16, 2022 to Mar 15, 2023
Signals
4 dated events
- Walton James Plaster (President) no longer on Schedule A of A••••••• C•••••• M••••••••• (listed 2023-10-16, absent 2024-02-14)Feb 14, 2024 · Control person left · inference
- Rudell Daniel Mullinix (Member) appeared on Schedule A of A••••••• C•••••• M•••••••••Feb 14, 2024 · Control person joined · fact
- Alan Jeffrey Gould (Member) no longer on Schedule A of A••••••• C•••••• M••••••••• (listed 2021-03-23, absent 2022-03-16)Mar 16, 2022 · Control person left · inference
- A••••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 30, 2016 · 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
- Website
- A•••••••CM.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 828-236-0610reportedpublic record, Form ADV, Jan 28, 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
- $206Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026