DFX Intelligence
RIA Intelligence
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SEC-registered adviser
H••••••• W••••• M•••••••••
Legal name H••••••• W••••• M••••••••• I•••
Latest filing Jan 23, 2026
First filing on the tape May 1, 2019 · 17 filings
SEC status approved since Jun 3, 2019
RAUM
$258M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$248M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$86.1M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$258M as of Jan 23, 2026
Jan 21, 2020$107M then
HNW client RAUM$174M as of Jan 23, 2026
Jan 21, 2020$70.2M then
State-registered IARs (5.B.3)3 as of Jan 23, 2026
Jan 21, 20203 then
Employees (5.A)4 as of Jan 23, 2026
Jan 21, 20203 then
Private funds: no history
RAUM +18% over the last fiscal year+19% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jan 23, 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
- RAUM per advisor
- $86.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 94derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $395,450derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $8.4M, 19 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$174M67%
- Individuals$74.4M29%
- Pension and profit-sharing plans$10.4M4.0%
- Individual clients
- 212reported
- HNW clients
- 69reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 653reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $8.4M for 19 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• S• H•••••Certified Financial Planner | Asheville, Nc | Jan 17, 2007 | 22 y | 1 |
| G••• J••• M•••••Certified Financial Planner | Asheville, Nc | Mar 18, 2011 | 27 y | 1 |
| S•••• J••• C••• | Asheville, Nc | Dec 7, 2016 | 11 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
- G••• J••• M••••• from K•••••• F••••• • C•Mar 18, 2011 · Other
- D•••• S• H••••• from K•••••• F••••• • C•Jan 17, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• D••••• S• · President/Financial Planner/Ccocontrolsince 03/2007 · owns 75% or more
- M•••••• G•••• J••• · Secretary/Financial Plannercontrolsince 03/2007 · 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 | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Greenville, SC3 employees
What changed
consecutive filings, newest first
- Accounts · 613 to 653Jan 27, 2025 to Jan 23, 2026
- HNW clients · 66 to 69Jan 27, 2025 to Jan 23, 2026
- Individual clients · 200 to 212Jan 27, 2025 to Jan 23, 2026
- Assets in custody · $14.6M to $8.4MJan 27, 2025 to Jan 23, 2026
- Financial planning clients · 0 to 1-10Jan 27, 2025 to Jan 23, 2026
- Discretionary RAUM · $219M to $258MJan 27, 2025 to Jan 23, 2026
- HNW RAUM · $152M to $174MJan 27, 2025 to Jan 23, 2026
- Individual RAUM · $59.7M to $74.4MJan 27, 2025 to Jan 23, 2026
- Pension RAUM · $8.0M to $10.4MJan 27, 2025 to Jan 23, 2026
- RAUM · $219M to $258MJan 27, 2025 to Jan 23, 2026
- Accounts · 584 to 613May 23, 2024 to Jan 27, 2025
- HNW clients · 63 to 66May 23, 2024 to Jan 27, 2025
- Individual clients · 190 to 200May 23, 2024 to Jan 27, 2025
- Pension plan clients · unset to 5.0May 23, 2024 to Jan 27, 2025
- Assets in custody · $11.3M to $14.6MMay 23, 2024 to Jan 27, 2025
- Financial planning clients · 0 to 0May 23, 2024 to Jan 27, 2025
- Discretionary RAUM · $189M to $219MMay 23, 2024 to Jan 27, 2025
- HNW RAUM · $135M to $152MMay 23, 2024 to Jan 27, 2025
- Individual RAUM · $49.1M to $59.7MMay 23, 2024 to Jan 27, 2025
- Pension RAUM · $4.7M to $8.0MMay 23, 2024 to Jan 27, 2025
- RAUM · $189M to $219MMay 23, 2024 to Jan 27, 2025
- Accounts · 559 to 584Feb 3, 2023 to Jan 25, 2024
- HNW clients · 50 to 63Feb 3, 2023 to Jan 25, 2024
- Individual clients · 183 to 190Feb 3, 2023 to Jan 25, 2024
- Assets in custody · $1.3M to $11.3MFeb 3, 2023 to Jan 25, 2024
- Financial planning clients · 1-10 to 0Feb 3, 2023 to Jan 25, 2024
- Discretionary RAUM · $154M to $189MFeb 3, 2023 to Jan 25, 2024
- HNW RAUM · $98.9M to $135MFeb 3, 2023 to Jan 25, 2024
- Individual RAUM · $51.2M to $49.1MFeb 3, 2023 to Jan 25, 2024
- Pension RAUM · $3.6M to $4.7MFeb 3, 2023 to Jan 25, 2024
- RAUM · $154M to $189MFeb 3, 2023 to Jan 25, 2024
- Accounts · 507 to 559Oct 21, 2022 to Feb 3, 2023
- HNW clients · 55 to 50Oct 21, 2022 to Feb 3, 2023
- Individual clients · 165 to 183Oct 21, 2022 to Feb 3, 2023
- Assets in custody · $16.8M to $1.3MOct 21, 2022 to Feb 3, 2023
- Employees · 3 to 4Oct 21, 2022 to Feb 3, 2023
- Financial planning clients · 11-25 to 1-10Oct 21, 2022 to Feb 3, 2023
- Discretionary RAUM · $163M to $154MOct 21, 2022 to Feb 3, 2023
- HNW RAUM · $121M to $98.9MOct 21, 2022 to Feb 3, 2023
- Individual RAUM · $38.7M to $51.2MOct 21, 2022 to Feb 3, 2023
Signals
1 dated events
- H••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)May 1, 2019 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/474980/ADMINreportedpublic record, Form ADV, Sep 21, 2026
- Website
- X.@H•••••••WEALTHreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 828-337-9395reportedpublic record, Form ADV, Jan 23, 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
- $86.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026