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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C••••• G••••• F•••••••• A•••••••• L••
Latest filing Sep 3, 2026
First filing on the tape Apr 23, 2018 · 40 filings
SEC status approved since May 23, 2018
RAUM
$725M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
90%
$656M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$72.5M
derived; firm RAUM over IAPD count
Employees
16
13 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$725M as of Apr 1, 2026
Mar 22, 2019$126M then
HNW client RAUM$610M as of Apr 1, 2026
Mar 22, 2019$107M then
State-registered IARs (5.B.3)11 as of Apr 1, 2026
Mar 22, 20197 then
Employees (5.A)18 as of Apr 1, 2026
Mar 22, 201912 then
Private funds: no history
RAUM +63% over the last fiscal year+37% a year over threeIARs 9 to 10offices 1 to 2
Practice profile
derived from the filing of Sep 3, 2026; every figure names its basis
- RAUM per advisor
- $72.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $661,390derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 8.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 3.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +63%derivedbetween the last two annual amendments
- Advisor growth, one year
- +22%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Custody
- $4.0M, 20 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- controlled by a public reporting company (10.A)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$610M84%
- Individuals$45.7M6.3%
- Charitable organizations$35.3M4.9%
- Pension and profit-sharing plans$28.0M3.9%
- Corporations and businesses$5.7M0.8%
- Individual clients
- 166reported
- HNW clients
- 180reported
- Pension plan clients
- 3reported
- Charitable clients
- 6reported
- Accounts
- 1,096reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.0M for 20 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• L•••••• G•••••Certified Financial Planner | Asheville, Nc | Jan 21, 2010 | 17 y | 1 |
| D•••• M•••••• N••••• | Asheville, Nc | Jan 3, 2018 | 26 y | 3 |
| M•••••• W•••••• D••••••Certified Financial Planner, Chartered Financial Analyst | Asheville, Nc | Nov 26, 2018 | 10 y | 1 |
| T••••• B••• P•••••Certified Financial Planner | Asheville, Nc | Aug 7, 2019 | 17 y | 0 |
| S••••• M••••••• A••••••• | Asheville, Nc | Aug 23, 2019 | 13 y | 2 |
| J•• G•••• R••••Chartered Financial Analyst | Asheville, Nc | Aug 20, 2020 | 32 y | 1 |
| R•••• V•••••• B••••• | Asheville, Nc | Feb 8, 2024 | 16 y | 0 |
| T••• B•••••••••Certified Financial Planner | Asheville, Nc | Feb 13, 2024 | 11 y | 1 |
| K••• E•••• G•••••••••Chartered Financial Analyst | Asheville, Nc | Sep 23, 2025 | 10 y | 2 |
| D••••• L••••••• R•••••••Chartered Financial Consultant | Greenville, Sc | Jan 6, 2026 | 33 y | 5 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- J•••• N••••• R•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 21, 2024 · RIA to wirehouse
- C•••• S•••• L••••• to M••••••Mar 22, 2023 · RIA to affiliated broker-dealer or bank
- O•••••• J••• I•••••• to F•••• C••••••• I••••••• S•••••••• I•••Nov 19, 2018 · RIA to affiliated broker-dealer or bank
- C••• R•••• to S••••• W••••• A•••••••• I•••Mar 16, 2012 · Other
- J••• D•••• R•••••• to S•••••••• I••••••••• N•••• I•••May 23, 2011 · RIA to a state-registered adviser
- C•••• S•••• L••••• to V•••••• A•••••••• I•••Dec 31, 2006 · Other
- D•••• S••••• M••••• to F•••• C••••••• I••••••• S•••••••• I•••Jul 2, 2004 · Other
Joined, latest
- D••••• L••••••• R••••••• from V•••••• A•••••••• I•••Jan 6, 2026 · Affiliated broker-dealer or bank to independent RIA
- K••• E•••• G••••••••• from I•• A•••••••• L••Sep 23, 2025 · RIA to RIA
- T••• B••••••••• from E••••• J••••Feb 13, 2024 · Affiliated broker-dealer or bank to independent RIA
- J•••• N••••• R•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 6, 2022 · Wirehouse to independent RIA
- J•• G•••• R•••• from B••• A••••• • C•• I•••Aug 20, 2020 · RIA to RIA
- S••••• M••••••• A••••••• from W•••• F•••• A•••••••Aug 23, 2019 · Wirehouse to independent RIA
- M•••••• W•••••• D•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Nov 26, 2018 · Affiliated broker-dealer or bank to independent RIA
- D•••• M•••••• N••••• from V•••••• A•••••••• I•••Jan 3, 2018 · Other
- O•••••• J••• I•••••• from V•••••• A•••••••• I•••Jan 1, 2018 · Other
- C••• R•••• from V•••••• A•••••••• I•••Mar 22, 2010 · Other
- M•••••• L•••••• G••••• from V•••••• A•••••••• I•••Jan 21, 2010 · RIA to RIA
- J••• D•••• R•••••• from V•••••• A•••••••• I•••Apr 15, 2009 · Other
- C•••• S•••• L••••• from V•••••• A•••••••• I•••Jun 14, 2007 · Other
- C•••• S•••• L••••• from C•••••••• G••••• M•••••• I•••Jul 2, 2004 · Other
- D•••• S••••• M••••• from N•• E•••••• S••••••••• C•••••••••Oct 15, 2003 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from V•••••• A•••••••• I•••Dec 31, 2017 · Asheville, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• G•••••• T•••• · Co-Ceocontrolsince 01/2017 · owns less than 5%
- G•••••• M••••••• L•••••• · Co-Ceocontrolsince 01/2017 · owns less than 5%
- G•••••• G•••••• T•••• · Ownercontrolsince 01/2016 · owns 25% to 50% of G••••• H•••••••• L•••
- G•••••• M••••••• L•••••• · Ownercontrolsince 01/2016 · owns 25% to 50% of G••••• H•••••••• L•••
- B•••• T•••••• M•••• · Cco & Coosince 08/2021 · owns less than 5%
Entity owners
- G••••• H•••••••• L••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- C••••• G••••• I•••••••• A•••••••• I•••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Asheville, Nc · principal | 10 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Arden, NC2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Apr 1, 2026RAUM (Item 5.F) moved from $444,012,621 to $724,883,187 (+63.0%) between the annual amendments of 2025-03-24 and 2026-04-01; the peer median change was +16.0% (1385 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 95% percentile
What changed
consecutive filings, newest first
- Advisory employees · 12 to 13Apr 1, 2026 to Sep 3, 2026
- BD registered reps · 5 to 0Apr 1, 2026 to Sep 3, 2026
- Employees · 18 to 16Apr 1, 2026 to Sep 3, 2026
- Financial planning clients · 101-250 to 101-250Apr 1, 2026 to Sep 3, 2026
- State-registered IARs · 11 to 10Apr 1, 2026 to Sep 3, 2026
- Succession · false to unsetApr 1, 2026 to Sep 3, 2026
- Accounts · 946 to 1,096Dec 18, 2025 to Feb 13, 2026
- HNW clients · 165 to 180Dec 18, 2025 to Feb 13, 2026
- Individual clients · 145 to 166Dec 18, 2025 to Feb 13, 2026
- Pension plan clients · 2 to 3Dec 18, 2025 to Feb 13, 2026
- Discretionary RAUM · $430M to $707MDec 18, 2025 to Feb 13, 2026
- HNW RAUM · $356M to $610MDec 18, 2025 to Feb 13, 2026
- Individual RAUM · $34.6M to $45.7MDec 18, 2025 to Feb 13, 2026
- Non-discretionary RAUM · $13.9M to $17.7MDec 18, 2025 to Feb 13, 2026
- Pension RAUM · $19.0M to $28.0MDec 18, 2025 to Feb 13, 2026
- RAUM · $444M to $725MDec 18, 2025 to Feb 13, 2026
- Advisory employees · 9 to 12Mar 24, 2025 to Nov 5, 2025
- BD registered reps · 4 to 5Mar 24, 2025 to Nov 5, 2025
- Employees · 15 to 18Mar 24, 2025 to Nov 5, 2025
- State-registered IARs · 9 to 11Mar 24, 2025 to Nov 5, 2025
- Other offices · 1 to 2Mar 24, 2025 to Nov 5, 2025
- Accounts · 843 to 946Sep 26, 2024 to Mar 24, 2025
- Charity clients · 5 to 6Sep 26, 2024 to Mar 24, 2025
- Corporate clients · 4 to 7Sep 26, 2024 to Mar 24, 2025
- HNW clients · 138 to 165Sep 26, 2024 to Mar 24, 2025
- Individual clients · 140 to 145Sep 26, 2024 to Mar 24, 2025
- Pension plan clients · 0 to 2Sep 26, 2024 to Mar 24, 2025
- Assets in custody · $50.0M to $4.0MSep 26, 2024 to Mar 24, 2025
- Financial planning clients · 101-250 to 101-250Sep 26, 2024 to Mar 24, 2025
- Discretionary RAUM · $340M to $430MSep 26, 2024 to Mar 24, 2025
- HNW RAUM · $281M to $356MSep 26, 2024 to Mar 24, 2025
- Individual RAUM · $40.4M to $34.6MSep 26, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $11.2M to $13.9MSep 26, 2024 to Mar 24, 2025
- Pension RAUM · $0 to $19.0MSep 26, 2024 to Mar 24, 2025
- RAUM · $351M to $444MSep 26, 2024 to Mar 24, 2025
- Other offices · 0 to 1Mar 22, 2024 to Aug 28, 2024
- Accounts · 769 to 843Mar 6, 2024 to Mar 22, 2024
- Corporate clients · 3 to 4Mar 6, 2024 to Mar 22, 2024
- HNW clients · 122 to 138Mar 6, 2024 to Mar 22, 2024
- Individual clients · 125 to 140Mar 6, 2024 to Mar 22, 2024
Signals
6 dated events
- C••••• G••••• F•••••••• A•••••••• L•• reported RAUM $724.9M, up 63% from $444.0M (2025-12-18 to 2026-02-13)Feb 13, 2026 · RAUM change · derived
- J•••• N••••• R•••••• left C••••• G••••• F•••••••• A•••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-04-05)Feb 21, 2024 · Advisor changed firm · fact
- C•••• S•••• L••••• left C••••• G••••• F•••••••• A•••••••• L•• for Mariner (registered 2023-08-22)Mar 22, 2023 · Advisor changed firm · fact
- Morrow George Groome (Board Chair) no longer on Schedule A of C••••• G••••• F•••••••• A•••••••• L•• (listed 2021-06-09, absent 2021-08-23)Aug 23, 2021 · Control person left · inference
- Svend Colin Larsen (Cco/Director Personal Financial Strategies) no longer on Schedule A of C••••• G••••• F•••••••• A•••••••• L•• (listed 2021-06-09, absent 2021-08-23)Aug 23, 2021 · Control person left · inference
- C••••• G••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 23, 2018 · ria f•••• adv filing · 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/colton-groome-companyreportedpublic record, Form ADV, Sep 18, 2026
- Website
- coltongroome.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 828-252-1816reportedpublic record, Form ADV, Sep 3, 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
- $72.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026