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••••••• • M••••••
Legal name M•••••• • A••••••••• I•••
Latest filing Apr 2, 2026
First filing on the tape Feb 9, 2012 · 13 filings
SEC status approved since May 13, 2022
RAUM
$156M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$156M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$77.9M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$156M as of Apr 2, 2026
Mar 7, 2023$105M then
HNW client RAUM$88.4M as of Apr 2, 2026
Mar 7, 2023$44.0M then
State-registered IARs (5.B.3)2 as of Apr 2, 2026
Mar 7, 20232 then
Employees (5.A)3 as of Apr 2, 2026
Mar 7, 20233 then
Private funds: no history
RAUM +29% over the last fiscal year+14% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 2, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $77.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 134derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $222,394derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.9%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $79.2M, 95 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$88.4M57%
- Individuals$67.5M43%
- Individual clients
- 225reported
- HNW clients
- 43reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 701reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $79.2M for 95 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| S•••• L•• M••••••Certified Financial Planner | Asheville, Nc | Sep 20, 2013 | 28 y | 0 |
| R••••• E••••• B•••••••••Certified Financial Planner | Asheville, Nc | May 13, 2014 | 18 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
- B••••••••• R•••••• E••••• · Financial Advisorcontrolsince 08/2023 · owns 10% to 25%
- M••••••• S••••• L•• · President/ Chief Compliance Officercontrolsince 04/2002 · owns 75% or more
- J••••••• N•••••• A• · Secretarysince 07/2011 · 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 |
|---|---|---|---|---|---|
| Asheville, Nc · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Individual clients · 226 to 225Sep 30, 2025 to Feb 24, 2026
- Accounts · 667 to 701Sep 30, 2025 to Feb 24, 2026
- Charity clients · unset to 0.0Sep 30, 2025 to Feb 24, 2026
- Corporate clients · unset to 0.0Sep 30, 2025 to Feb 24, 2026
- HNW clients · 32 to 43Sep 30, 2025 to Feb 24, 2026
- Pension plan clients · unset to 0.0Sep 30, 2025 to Feb 24, 2026
- Pooled vehicle clients · unset to 0.0Sep 30, 2025 to Feb 24, 2026
- Assets in custody · $99.6M to $79.2MSep 30, 2025 to Feb 24, 2026
- Discretionary RAUM · $121M to $156MSep 30, 2025 to Feb 24, 2026
- HNW RAUM · $60.7M to $88.4MSep 30, 2025 to Feb 24, 2026
- Individual RAUM · $60.4M to $67.5MSep 30, 2025 to Feb 24, 2026
- Pension RAUM · unset to 0.0Sep 30, 2025 to Feb 24, 2026
- Pooled vehicle RAUM · unset to 0.0Sep 30, 2025 to Feb 24, 2026
- RAUM · $121M to $156MSep 30, 2025 to Feb 24, 2026
- Assets in custody · $121M to $99.6MAug 11, 2025 to Sep 30, 2025
- Custody of client assets · false to trueAug 11, 2025 to Sep 30, 2025
- Accounts · 684 to 667Mar 8, 2024 to Feb 20, 2025
- HNW clients · 27 to 32Mar 8, 2024 to Feb 20, 2025
- Individual clients · 657 to 226Mar 8, 2024 to Feb 20, 2025
- Assets in custody · $116M to $121MMar 8, 2024 to Feb 20, 2025
- Financial planning clients · 251-500 to 251-500Mar 8, 2024 to Feb 20, 2025
- Discretionary RAUM · $116M to $121MMar 8, 2024 to Feb 20, 2025
- HNW RAUM · $50.2M to $60.7MMar 8, 2024 to Feb 20, 2025
- Individual RAUM · $65.8M to $60.4MMar 8, 2024 to Feb 20, 2025
- RAUM · $116M to $121MMar 8, 2024 to Feb 20, 2025
- Accounts · 691 to 684Oct 19, 2023 to Mar 8, 2024
- HNW clients · 22 to 27Oct 19, 2023 to Mar 8, 2024
- Individual clients · 257 to 657Oct 19, 2023 to Mar 8, 2024
- Assets in custody · $31.7M to $116MOct 19, 2023 to Mar 8, 2024
- Discretionary RAUM · $105M to $116MOct 19, 2023 to Mar 8, 2024
- HNW RAUM · $44.0M to $50.2MOct 19, 2023 to Mar 8, 2024
- Individual RAUM · $61.5M to $65.8MOct 19, 2023 to Mar 8, 2024
- RAUM · $105M to $116MOct 19, 2023 to Mar 8, 2024
- Accounts · 279 to 691Apr 25, 2022 to Mar 7, 2023
- Assets in custody · unset to 31665467.0Apr 25, 2022 to Mar 7, 2023
- Discretionary RAUM · $117M to $105MApr 25, 2022 to Mar 7, 2023
- HNW RAUM · $47.8M to $44.0MApr 25, 2022 to Mar 7, 2023
- Individual RAUM · $68.7M to $61.5MApr 25, 2022 to Mar 7, 2023
- RAUM · $117M to $105MApr 25, 2022 to Mar 7, 2023
- Accounts · 670 to 279Feb 9, 2012 to Apr 14, 2022
Signals
2 dated events
- Edward Robert Baschnagel (Financial Advisor) appeared on Schedule A of H••••••• • M••••••Aug 9, 2023 · Control person joined · fact
- H••••••• • M•••••• filed its initial SEC registration (Form ADV)Apr 14, 2022 · 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
- 828-252-8228reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- HOLMCG.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 828-252-8228reportedpublic record, Form ADV, Apr 2, 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
- $77.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026