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
B••• W•••• C•••••• M••••••••• L••
Latest filing Feb 27, 2026
First filing on the tape Apr 16, 2024 · 7 filings
SEC status approved since May 17, 2024
RAUM
$160M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$158M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$79.9M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$160M as of Feb 27, 2026
Jan 23, 2025$141M then
HNW client RAUM$136M as of Feb 27, 2026
Jan 23, 2025$118M then
State-registered IARs (5.B.3)2 as of Feb 27, 2026
Jan 23, 20253 then
Employees (5.A)2 as of Feb 27, 2026
Jan 23, 20253 then
Private funds: no history
RAUM +14% over the last fiscal yearIARs 3 to 2
Practice profile
derived from the filing of Feb 27, 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
- $79.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $414,992derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 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
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $244,000, 1 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$136M85%
- Individuals$22.1M14%
- Charitable organizations$1.5M1.0%
- Individual clients
- 48reported
- HNW clients
- 58reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 385reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $244,000 for 1 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| D•••••• L••• H•••••Certified Financial Planner | Apex, Nc | May 23, 2019 | 10 y | 0 |
| T••••••• A•••••• G••••Certified Financial Planner | Apex, Nc | Mar 1, 2021 | 28 y | 2 |
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 headcount1 left over 36 months
Left, latest
- J••• M• O•••••••• to M••••••••• R•••••••••Nov 29, 2023 · RIA to affiliated broker-dealer or bank
- H•• R•••••• S•••••••• to B•••••••• W••••• M••••••••• L••Jul 29, 2021 · RIA to a state-registered adviser
Joined, latest
- T••••••• A•••••• G•••• from T••••••• L•••Mar 1, 2021 · Other
- H•• R•••••• S•••••••• from T••••••• L•••Sep 23, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• T•••••••• A•••••• · Managing Director And Ccocontrolsince 06/2003 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Apex, Nc · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 389 to 385May 2, 2025 to Feb 27, 2026
- Advisory employees · 3 to 2May 2, 2025 to Feb 27, 2026
- Charity clients · 1 to 0May 2, 2025 to Feb 27, 2026
- HNW clients · 61 to 58May 2, 2025 to Feb 27, 2026
- Individual clients · 50 to 48May 2, 2025 to Feb 27, 2026
- Employees · 3 to 2May 2, 2025 to Feb 27, 2026
- State-registered IARs · 3 to 2May 2, 2025 to Feb 27, 2026
- Discretionary RAUM · $140M to $160MMay 2, 2025 to Feb 27, 2026
- HNW RAUM · $118M to $136MMay 2, 2025 to Feb 27, 2026
- Individual RAUM · $21.0M to $22.1MMay 2, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $520,343 to $0May 2, 2025 to Feb 27, 2026
- RAUM · $141M to $160MMay 2, 2025 to Feb 27, 2026
- Financial planning clients · 26-50 to 26-50Apr 21, 2025 to May 2, 2025
- Assets in custody · unset to 244000.0Jan 23, 2025 to Apr 21, 2025
- Custody of client assets · false to trueJan 23, 2025 to Apr 21, 2025
- Accounts · 387 to 389Sep 25, 2024 to Jan 23, 2025
- HNW clients · 60 to 61Sep 25, 2024 to Jan 23, 2025
- Individual clients · 48 to 50Sep 25, 2024 to Jan 23, 2025
- Discretionary RAUM · $126M to $140MSep 25, 2024 to Jan 23, 2025
- HNW RAUM · $107M to $118MSep 25, 2024 to Jan 23, 2025
- Individual RAUM · $19.3M to $21.0MSep 25, 2024 to Jan 23, 2025
- Non-discretionary RAUM · $2.1M to $520,343Sep 25, 2024 to Jan 23, 2025
- RAUM · $128M to $141MSep 25, 2024 to Jan 23, 2025
Signals
2 dated events
- B••• W•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 16, 2024 · First SEC registration · fact
- J••• M• O•••••••• left B••• W•••• C•••••• M••••••••• L•• for M••••••••• R••••••••• (registered 2024-12-23)Nov 29, 2023 · Advisor changed firm · 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
- 919-589-2528reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- B••••••••PORTFOLIOS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 919-589-2528reportedpublic record, Form ADV, Feb 27, 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
- $79.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026