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
C••••• W••••• M•••••••••
Latest filing Aug 18, 2026
First filing on the tape Mar 21, 2012 · 15 filings
SEC status approved since Feb 26, 2021
RAUM
$135M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$133M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$67.5M
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
15 filings and snapshots on the tape
RAUM$135M as of Aug 18, 2026
Mar 21, 2012$47.0M then
HNW client RAUM$95.6M as of Aug 18, 2026
Feb 17, 2022$48.0M then
State-registered IARs (5.B.3)2 as of Aug 18, 2026
Mar 21, 20120 then
Employees (5.A)2 as of Aug 18, 2026
Feb 17, 20222 then
Private funds: no history
RAUM +36% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 18, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $67.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 109derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $304,746derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.8%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
- +36%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +24%derived
- Compensation
- percentage of assets, hourly, fixed fees, subscriptionreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, publications, educational seminarsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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
- High-net-worth individuals$95.6M71%
- Individuals$37.0M27%
- Pension and profit-sharing plans$2.4M1.8%
- Individual clients
- 158reported
- HNW clients
- 60reported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 443reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| R•••••• N••• C••••• | Thompsons Station, Tn | Nov 17, 2003 | 30 y | 2 |
| M•••••• J••••• D•• | Thompsons Station, Tn | Jun 10, 2013 | 33 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
- N••••••• E••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••Nov 11, 2020 · Other
- B•••• D•••• J•••• to L•• F•••••••• L••Jun 28, 2010 · Other
- T••••• K•••• A•••••• to A••••••••• F•••••••• S•••••••• L••Jan 16, 2007 · Other
Joined, latest
- T••••• K•••• A•••••• from A•••••• W••••• M•••••••••Nov 17, 2003 · Other
- R•••••• N••• C••••• from A•••••• W••••• M•••••••••Nov 17, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• R••••••• N••• · President & Chief Compliance Officercontrolsince 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 |
|---|---|---|---|---|---|
| Thompsons Station, Tn | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Aug 18, 2026subscription fees (Item 5.E.3): no on the filing of 2026-07-28, yes on the filing of 2026-08-18peers: independent wealth managers, $100M to $500M (5,676)
- RAUM up 25 %Change between filings · filing Feb 19, 2026RAUM (Item 5.F) moved from $99,381,696 to $135,002,387 (+36.0%) between the annual amendments of 2025-02-14 and 2026-02-19; the peer median change was +15.0% (4550 comparable advisers, 91.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 91% percentile
- HNW share shiftChange between filings · filing Feb 19, 2026HNW share of RAUM moved from 49.0% to 71.0% between the annual amendments of 2025-02-14 and 2026-02-19peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory activities · 4 to 5Jul 28, 2026 to Aug 18, 2026
- Business name · B••••••••• F•••••••• G••••• I••• to C••••• W••••• M•••••••••Feb 19, 2026 to Jul 28, 2026
- HNW clients · 55 to 60Feb 19, 2026 to Jul 28, 2026
- Individual clients · 153 to 158Feb 19, 2026 to Jul 28, 2026
- Financial planning clients · 26-50 to 101-250Feb 19, 2026 to Jul 28, 2026
- Legal name · B••••••••• F•••••••• G••••• I••• to C••••• W••••• M•••••••••Feb 19, 2026 to Jul 28, 2026
- Organization form · Corporation to Sole ProprietorshipFeb 19, 2026 to Jul 28, 2026
- Accounts · 437 to 443Feb 14, 2025 to Feb 19, 2026
- Advisory activities · 5 to 4Feb 14, 2025 to Feb 19, 2026
- HNW clients · 29 to 55Feb 14, 2025 to Feb 19, 2026
- Individual clients · 139 to 153Feb 14, 2025 to Feb 19, 2026
- Pension plan clients · unset to 3.0Feb 14, 2025 to Feb 19, 2026
- Employees · 3 to 2Feb 14, 2025 to Feb 19, 2026
- Financial planning clients · 101-250 to 26-50Feb 14, 2025 to Feb 19, 2026
- Discretionary RAUM · $99.4M to $135MFeb 14, 2025 to Feb 19, 2026
- HNW RAUM · $49.2M to $95.6MFeb 14, 2025 to Feb 19, 2026
- Individual RAUM · $50.2M to $37.0MFeb 14, 2025 to Feb 19, 2026
- Pension RAUM · unset to 2399792.0Feb 14, 2025 to Feb 19, 2026
- RAUM · $99.4M to $135MFeb 14, 2025 to Feb 19, 2026
- Related insurance company · false to trueFeb 14, 2025 to Feb 19, 2026
- Accounts · 421 to 437Nov 20, 2024 to Feb 14, 2025
- HNW clients · 49 to 29Nov 20, 2024 to Feb 14, 2025
- Individual clients · 125 to 139Nov 20, 2024 to Feb 14, 2025
- Employees · 4 to 3Nov 20, 2024 to Feb 14, 2025
- Financial planning clients · 1-10 to 101-250Nov 20, 2024 to Feb 14, 2025
- HQ city · unset to Nov 20, 2024 to Feb 14, 2025
- HQ state · unset to Nov 20, 2024 to Feb 14, 2025
- Discretionary RAUM · $95.5M to $99.4MNov 20, 2024 to Feb 14, 2025
- HNW RAUM · $68.4M to $49.2MNov 20, 2024 to Feb 14, 2025
- Individual RAUM · $26.3M to $50.2MNov 20, 2024 to Feb 14, 2025
- Pension RAUM · 792018.0 to unsetNov 20, 2024 to Feb 14, 2025
- RAUM · $95.5M to $99.4MNov 20, 2024 to Feb 14, 2025
- BD registered reps · 1 to 0Mar 7, 2024 to Nov 20, 2024
- Succession · true to falseFeb 13, 2024 to Mar 7, 2024
- Accounts · 423 to 421Mar 28, 2023 to Feb 13, 2024
- Advisory employees · 1 to 2Mar 28, 2023 to Feb 13, 2024
- Advisory activities · 6 to 5Mar 28, 2023 to Feb 13, 2024
- HNW clients · 35 to 49Mar 28, 2023 to Feb 13, 2024
- Individual clients · 119 to 125Mar 28, 2023 to Feb 13, 2024
- Financial planning clients · 26-50 to 1-10Mar 28, 2023 to Feb 13, 2024
Signals
2 dated events
- B••••••••• F•••••••• G••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Feb 13, 2024 · Succession (Item 4) · fact
- B••••••••• F•••••••• G••••• I••• filed its initial SEC registration (Form ADV)Jan 27, 2021 · 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
- 610-828-1155reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- carotawealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-828-1155reportedpublic record, Form ADV, Aug 18, 2026
- Contact form
- carotawealth.com/contactreportedpublished 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
- $67.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026