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.

Former SEC-registered adviser

Staton Financial Advisors, LLC

Former SEC-registered adviserCharlotte, North CarolinaCRD 120238SEC 801-96293IAPD
Latest filing Mar 15, 2017
First filing on the tape Dec 8, 2011 · 16 filings
RAUM
$114M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$114M as of Feb 20, 2017
Mar 30, 2012$72.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 20, 2017
Mar 30, 20120 then
Employees (5.A)4 as of Feb 20, 2017
Mar 21, 20165 then
Private funds: no history
RAUM +14% over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Mar 15, 2017; every figure names its basis
RAUM per advisor
$57.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$495,344derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
+100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
230reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Tunstall Mary Staton · Chief Compliance Officercontrol
      since 08/2007 · owns less than 5%
    • Gurley William Staton · Managing Membercontrol
      since 04/2015 · owns 75% or more
    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 · 222 to 230
      Jun 27, 2016 to Feb 20, 2017
    • Advisory employees · 1 to 2
      Jun 27, 2016 to Feb 20, 2017
    • Advisory activities · 1 to 2
      Jun 27, 2016 to Feb 20, 2017
    • Employees · 5 to 4
      Jun 27, 2016 to Feb 20, 2017
    • State-registered IARs · 1 to 2
      Jun 27, 2016 to Feb 20, 2017
    • Discretionary RAUM · $99.9M to $114M
      Jun 27, 2016 to Feb 20, 2017
    • RAUM · $99.9M to $114M
      Jun 27, 2016 to Feb 20, 2017
    • Accounts · 232 to 222
      Aug 4, 2015 to Mar 21, 2016
    • Advisory employees · 2 to 1
      Aug 4, 2015 to Mar 21, 2016
    • Employees · 4 to 5
      Aug 4, 2015 to Mar 21, 2016
    • State-registered IARs · 2 to 1
      Aug 4, 2015 to Mar 21, 2016
    • Discretionary RAUM · $116M to $99.9M
      Aug 4, 2015 to Mar 21, 2016
    • RAUM · $116M to $99.9M
      Aug 4, 2015 to Mar 21, 2016
    • HQ city · unset to CHARLOTTE
      Jul 27, 2015 to Aug 4, 2015
    • HQ state · unset to NC
      Jul 27, 2015 to Aug 4, 2015
    • Accounts · 192 to 232
      Jun 11, 2012 to May 7, 2015
    • Advisory employees · unset to 2.0
      Jun 11, 2012 to May 7, 2015
    • Employees · unset to 4.0
      Jun 11, 2012 to May 7, 2015
    • State-registered IARs · 0 to 2
      Jun 11, 2012 to May 7, 2015
    • Discretionary RAUM · $72.0M to $116M
      Jun 11, 2012 to May 7, 2015
    • Non-discretionary RAUM · $484,319 to $0
      Jun 11, 2012 to May 7, 2015
    • RAUM · $72.5M to $116M
      Jun 11, 2012 to May 7, 2015
    • Accounts · 151 to 192
      Dec 8, 2011 to Mar 30, 2012
    • Insurance-licensed employees · unset to 0.0
      Dec 8, 2011 to Mar 30, 2012
    • Discretionary RAUM · $58.3M to $72.0M
      Dec 8, 2011 to Mar 30, 2012
    • Non-discretionary RAUM · $500,000 to $484,319
      Dec 8, 2011 to Mar 30, 2012
    • RAUM · $58.8M to $72.5M
      Dec 8, 2011 to Mar 30, 2012
    Signals
    1 dated events
    • Staton Financial Advisors, Llc filed its initial SEC registration (Form ADV)
      May 7, 2015 · 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026