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.
SEC-registered adviser
Alpha Financial Advisors, LLC
Latest filing Jun 26, 2026
First filing on the tape Feb 8, 2012 · 37 filings
SEC status approved since May 6, 2014
RAUM
$619M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$618M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$103M
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$619M as of Jun 26, 2026
Feb 8, 2012$47.3M then
HNW client RAUM$575M as of Jun 26, 2026
Mar 21, 2018$82.1M then
State-registered IARs (5.B.3)6 as of Jun 26, 2026
Feb 8, 20120 then
Employees (5.A)9 as of Jun 26, 2026
Mar 30, 20154 then
Private funds: no history
RAUM +23% over the last fiscal year+21% a year over threeIARs 7 to 6
Practice profile
derived from the filing of Jun 26, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $103MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $407,447derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $256M, 203 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
- 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)
- 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$575M93%
- Individuals$43.2M7.0%
- Pension and profit-sharing plans$1.3M0.2%
- Individual clients
- 78reported
- HNW clients
- 181reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,520reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $256M for 203 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Ann Marie ReilleyCertified Financial Planner | Charlotte, Nc | Mar 1, 2011 | 15 y | 0 |
| Henry Nicholson BarringerCertified Financial Planner | Charlotte, Nc | Oct 7, 2013 | 15 y | 1 |
| Janice A McgunnigleCertified Financial Planner | Charlotte, Nc | Jun 20, 2019 | 18 y | 2 |
| Tyler William WeaverCertified Financial Planner | Charlotte, Nc | Aug 1, 2019 | 14 y | 0 |
| Heather Olinger LawrenceCertified Financial Planner | Charlotte, Nc | Mar 24, 2023 | 17 y | 2 |
| Cameron Harris NewellCertified Financial Planner, Chartered Financial Analyst | Charlotte, Nc | Aug 1, 2024 | 12 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
- John Thomas Gugle to LPL Financial LLCNov 6, 2019 · RIA to RIA
- James Bernard Mcgehee to Mcgehee Wealth Advisory Group, Inc.Jun 3, 2010 · Other
- Marilyn Janet Spencer to Mcshane PartnersDec 5, 2008 · Other
Joined, latest
- Heather Olinger Lawrence from Resilience Wealth AdvisorsMar 24, 2023 · Other
- Janice A Mcgunnigle from Modera Wealth Management, LLCJun 20, 2019 · RIA to RIA
- Henry Nicholson Barringer from Credit Union Investment ServicesOct 7, 2013 · Other
- John Thomas Gugle from Carroll Financial Associates IncSep 14, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Reilley Ann Marie Gugle · Managing Member / Chief Executive Officer / Chief Compliance Officer (7/2019)controlsince 08/2010 · owns 75% or more
- Nicholson Henry Barringer · Membersince 01/2022 · owns 5% to 10%
Related persons
Schedule D 7.A
- Alpha Financial Advisors, Gkinvestment advisery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Charlotte, Nc · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,473 to 1,520Aug 15, 2025 to Mar 23, 2026
- Advisory employees · 8 to 7Aug 15, 2025 to Mar 23, 2026
- HNW clients · 158 to 181Aug 15, 2025 to Mar 23, 2026
- Individual clients · 97 to 78Aug 15, 2025 to Mar 23, 2026
- Pension plan clients · 1.0 to unsetAug 15, 2025 to Mar 23, 2026
- Assets in custody · $203M to $256MAug 15, 2025 to Mar 23, 2026
- Employees · 10 to 9Aug 15, 2025 to Mar 23, 2026
- State-registered IARs · 7 to 6Aug 15, 2025 to Mar 23, 2026
- Discretionary RAUM · $502M to $617MAug 15, 2025 to Mar 23, 2026
- HNW RAUM · $450M to $575MAug 15, 2025 to Mar 23, 2026
- Individual RAUM · $52.0M to $43.2MAug 15, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $1.3M to $2.2MAug 15, 2025 to Mar 23, 2026
- Pension RAUM · $1.2M to $1.3MAug 15, 2025 to Mar 23, 2026
- RAUM · $503M to $619MAug 15, 2025 to Mar 23, 2026
- Financial planning clients · 101-250 to 101-250Mar 27, 2025 to Jun 27, 2025
- Accounts · 1,487 to 1,473Dec 24, 2024 to Mar 27, 2025
- HNW clients · 140 to 158Dec 24, 2024 to Mar 27, 2025
- Individual clients · 109 to 97Dec 24, 2024 to Mar 27, 2025
- Assets in custody · $184M to $203MDec 24, 2024 to Mar 27, 2025
- Discretionary RAUM · $443M to $502MDec 24, 2024 to Mar 27, 2025
- HNW RAUM · $365M to $450MDec 24, 2024 to Mar 27, 2025
- Individual RAUM · $77.6M to $52.0MDec 24, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $1.4M to $1.3MDec 24, 2024 to Mar 27, 2025
- Pension RAUM · $1.2M to $1.2MDec 24, 2024 to Mar 27, 2025
- RAUM · $444M to $503MDec 24, 2024 to Mar 27, 2025
- Related adviser · false to trueMar 29, 2024 to Aug 2, 2024
- Accounts · 1,433 to 1,487May 25, 2023 to Mar 29, 2024
- HNW clients · 134 to 140May 25, 2023 to Mar 29, 2024
- Individual clients · 104 to 109May 25, 2023 to Mar 29, 2024
- Assets in custody · $166M to $184MMay 25, 2023 to Mar 29, 2024
- Discretionary RAUM · $354M to $443MMay 25, 2023 to Mar 29, 2024
- HNW RAUM · $292M to $365MMay 25, 2023 to Mar 29, 2024
- Individual RAUM · $61.0M to $77.6MMay 25, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $0 to $1.4MMay 25, 2023 to Mar 29, 2024
- Pension RAUM · $955,619 to $1.2MMay 25, 2023 to Mar 29, 2024
- RAUM · $354M to $444MMay 25, 2023 to Mar 29, 2024
- Accounts · 1,401 to 1,433Aug 30, 2022 to Mar 28, 2023
- Advisory employees · 5 to 8Aug 30, 2022 to Mar 28, 2023
- HNW clients · 148 to 134Aug 30, 2022 to Mar 28, 2023
- Individual clients · 90 to 104Aug 30, 2022 to Mar 28, 2023
Signals
2 dated events
- Thomas John Gugle (Managing Member / Chief Investment Officer) no longer on Schedule A of Alpha Financial Advisors, Llc (listed 2019-07-31, absent 2019-12-13)Dec 13, 2019 · Control person left · inference
- Alpha Financial Advisors, Llc filed its initial SEC registration (Form ADV)Apr 21, 2014 · 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
- lifeplanning@alphafa.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 704-716-1100reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/ALPHAFINANCIALreportedpublic record, Form ADV, Sep 17, 2026
- Website
- ALPHAFA.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 704-716-1100reportedpublic record, Form ADV, Jun 26, 2026
- Team page
- alphafa.com/people-investing-not-spending-hsa-health-care-sareportedpublished 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
- $103Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026