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
Norris Financial Group, LLC
Latest filing Mar 19, 2026
First filing on the tape Mar 15, 2012 · 21 filings
SEC status approved since Apr 25, 2018
RAUM
$353M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$326M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$88.3M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$353M as of Mar 19, 2026
Mar 15, 2012$52.5M then
HNW client RAUM$252M as of Mar 19, 2026
Mar 28, 2019$73.4M then
State-registered IARs (5.B.3)3 as of Mar 19, 2026
Mar 15, 20120 then
Employees (5.A)6 as of Mar 19, 2026
Mar 28, 20195 then
Private funds: no history
RAUM +40% over the last fiscal year+29% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 19, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $88.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $394,859derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +40%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -31%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $12.4M, 2 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$252M71%
- Individuals$74.1M21%
- Pension and profit-sharing plans$19.4M5.5%
- Corporations and businesses$6.6M1.9%
- Charitable organizations$634,5250.2%
- Individual clients
- 284reported
- HNW clients
- 78reported
- Pension plan clients
- 35reported
- Charitable clients
- n/areported
- Accounts
- 894reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $353M managedreported
- Custody of client assets
- $12.4M for 2 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Terry Lynn NorrisCertified Financial Planner, Chartered Financial Consultant | Greenville, Sc | Nov 27, 2001 | 41 y | 0 |
| Altman J Norris | Greenville, Sc | Apr 7, 2006 | 22 y | 0 |
| Calvin Benjamin Davis | Greenville, Sc | Sep 26, 2017 | 11 y | 1 |
| Harrison Clark Obrien | Greenville, Sc | Jul 27, 2026 | 11 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Robert Joshua Roach to Bfc Planning, Inc.Jul 31, 2017 · Other
Joined, latest
- Harrison Clark Obrien from Ameriprise Financial Services, LLCJul 27, 2026 · Affiliated broker-dealer or bank to independent RIA
- Calvin Benjamin Davis from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 26, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lynn Terry Norris · Chief Compliance Officer, Presidentcontrolsince 03/2007 · owns less than 5%
- Lynn Terry Norris · Presidentcontrolsince 03/1997 · owns 75% or more of Terry L. Norris Financial Services, Corp.
Entity owners
- Terry L. Norris Financial Services, Corp. · Memberdirect · 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 |
|---|---|---|---|---|---|
| Greenville, Sc · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 19, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $251,609,978 to $353,003,756, advisors 3 to 3, private clients 522 to 362, offices 0 to 0 (2025-03-24 to 2026-03-19)peers: independent wealth managers, $100M to $500M (5,676)
- custody status changedChange between filings · filing Mar 19, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-24, yes on the filing of 2026-03-19peers: independent wealth managers, $100M to $500M (5,676)
- RAUM up 25 %Change between filings · filing Mar 19, 2026RAUM (Item 5.F) moved from $251,609,978 to $353,003,756 (+40.0%) between the annual amendments of 2025-03-24 and 2026-03-19; the peer median change was +15.0% (4551 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,551) · 93% percentile
What changed
consecutive filings, newest first
- Accounts · 879 to 894Mar 24, 2025 to Mar 19, 2026
- Corporate clients · 11 to 6Mar 24, 2025 to Mar 19, 2026
- HNW clients · 61 to 78Mar 24, 2025 to Mar 19, 2026
- Individual clients · 461 to 284Mar 24, 2025 to Mar 19, 2026
- Pension plan clients · unset to 35.0Mar 24, 2025 to Mar 19, 2026
- Assets in custody · unset to 12423003.0Mar 24, 2025 to Mar 19, 2026
- Custody of client assets · false to trueMar 24, 2025 to Mar 19, 2026
- Discretionary RAUM · $252M to $353MMar 24, 2025 to Mar 19, 2026
- HNW RAUM · $160M to $252MMar 24, 2025 to Mar 19, 2026
- Individual RAUM · $84.3M to $74.1MMar 24, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $0 to $275,312Mar 24, 2025 to Mar 19, 2026
- Pension RAUM · $217,672 to $19.4MMar 24, 2025 to Mar 19, 2026
- RAUM · $252M to $353MMar 24, 2025 to Mar 19, 2026
- Wrap assets (manager) · $252M to $353MMar 24, 2025 to Mar 19, 2026
- Accounts · 747 to 879Apr 22, 2024 to Mar 24, 2025
- Charity clients · 1.0 to unsetApr 22, 2024 to Mar 24, 2025
- Corporate clients · 7 to 11Apr 22, 2024 to Mar 24, 2025
- Individual clients · 397 to 461Apr 22, 2024 to Mar 24, 2025
- Insurance-licensed employees · 1 to 0Apr 22, 2024 to Mar 24, 2025
- Financial planning clients · 0 to 0Apr 22, 2024 to Mar 24, 2025
- Discretionary RAUM · $196M to $252MApr 22, 2024 to Mar 24, 2025
- HNW RAUM · $132M to $160MApr 22, 2024 to Mar 24, 2025
- Individual RAUM · $61.9M to $84.3MApr 22, 2024 to Mar 24, 2025
- Pension RAUM · unset to 217672.0Apr 22, 2024 to Mar 24, 2025
- RAUM · $196M to $252MApr 22, 2024 to Mar 24, 2025
- Wrap assets (manager) · $196M to $252MApr 22, 2024 to Mar 24, 2025
- Accounts · 720 to 747Nov 3, 2023 to Mar 13, 2024
- Advisory activities · 3 to 4Nov 3, 2023 to Mar 13, 2024
- Charity clients · 2 to 1Nov 3, 2023 to Mar 13, 2024
- Corporate clients · 5 to 7Nov 3, 2023 to Mar 13, 2024
- HNW clients · 48 to 61Nov 3, 2023 to Mar 13, 2024
- Individual clients · 304 to 397Nov 3, 2023 to Mar 13, 2024
- Employees · 4 to 6Nov 3, 2023 to Mar 13, 2024
- Financial planning clients · 1-10 to 0Nov 3, 2023 to Mar 13, 2024
- Discretionary RAUM · $165M to $196MNov 3, 2023 to Mar 13, 2024
- HNW RAUM · $104M to $132MNov 3, 2023 to Mar 13, 2024
- Individual RAUM · $57.2M to $61.9MNov 3, 2023 to Mar 13, 2024
- RAUM · $165M to $196MNov 3, 2023 to Mar 13, 2024
- Wrap assets (manager) · $165M to $196MNov 3, 2023 to Mar 13, 2024
- Charity clients · 1 to 2Mar 4, 2022 to Mar 10, 2023
Signals
2 dated events
- Norris Financial Group, Llc reported RAUM $353.0M, up 40% from $251.6M (2025-03-24 to 2026-03-19)Mar 19, 2026 · RAUM change · derived
- Norris Financial Group, Llc filed its initial SEC registration (Form ADV)Mar 26, 2018 · 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
- info@norrisfinancialgroup.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 864-235-6408reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/NORRIS-FINANCIAL-GROUPreportedpublic record, Form ADV, Sep 17, 2026
- Website
- NORRISFINANCIALGROUP.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 864-235-6408reportedpublic record, Form ADV, Mar 19, 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
- $88.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026