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••••• F•••••••• S••••••••• C••••
Latest filing Feb 11, 2026
First filing on the tape May 31, 2017 · 14 filings
SEC status approved since Jul 6, 2017
RAUM
$309M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
97%
$301M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$77.4M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$309M as of Feb 11, 2026
Mar 26, 2018$160M then
HNW client RAUM$289M as of Feb 11, 2026
Mar 26, 2018$127M then
State-registered IARs (5.B.3)4 as of Feb 11, 2026
Mar 26, 20184 then
Employees (5.A)7 as of Feb 11, 2026
Mar 26, 20185 then
Private funds: no history
RAUM +12% over the last fiscal year+12% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 11, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $77.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $552,561derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $58.9M, 73 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$289M93%
- Individuals$12.0M3.9%
- Pension and profit-sharing plans$8.7M2.8%
- Individual clients
- 43reported
- HNW clients
- 97reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 560reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $58.9M for 73 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• P•••• C•••••••Certified Financial Planner | Raleigh, Nc | Jan 28, 2005 | 25 y | 0 |
| N••••• R••• H•••••••Certified Financial Planner | Raleigh, Nc | Jan 28, 2005 | 29 y | 1 |
| S•••••••• C• M••••• | Raleigh, Nc | Nov 5, 2013 | 14 y | 1 |
| D•••• S•••• T••••••Certified Financial Planner | Raleigh, Nc | Oct 29, 2024 | 11 y | 7 |
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••••••• A••••• F••••••• to D••••••••• F••• A••••••• L•Jan 28, 2022 · Other
- J••• J•••••• S••••••••• to C•••••••Jul 20, 2017 · Other
Joined, latest
- D•••• S•••• T•••••• from R••••• W• B•••• • C•• I•••••••••Oct 29, 2024 · RIA to RIA
- S•••••••• C• M••••• from F•••• C•••••• F•••••••• P•••••••• I•••Nov 5, 2013 · Other
- N••••• R••• H••••••• from T••••••• A•••• M••••••••• C••••Jan 28, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• E•••• P•••• · Vice Presidentcontrolsince 07/2004 · owns 50% to 75%
- H•••••••• N•••••• R••• · President/ Ccocontrolsince 07/2004 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Raleigh, Nc · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 549 to 560May 13, 2025 to Feb 11, 2026
- HNW clients · 91 to 97May 13, 2025 to Feb 11, 2026
- Individual clients · 45 to 43May 13, 2025 to Feb 11, 2026
- Assets in custody · $55.7M to $58.9MMay 13, 2025 to Feb 11, 2026
- Employees · 6 to 7May 13, 2025 to Feb 11, 2026
- Discretionary RAUM · $270M to $301MMay 13, 2025 to Feb 11, 2026
- HNW RAUM · $251M to $289MMay 13, 2025 to Feb 11, 2026
- Individual RAUM · $19.4M to $12.0MMay 13, 2025 to Feb 11, 2026
- Non-discretionary RAUM · $6.9M to $8.7MMay 13, 2025 to Feb 11, 2026
- Pension RAUM · $6.9M to $8.7MMay 13, 2025 to Feb 11, 2026
- RAUM · $277M to $309MMay 13, 2025 to Feb 11, 2026
- Financial planning clients · 101-250 to 101-250Feb 12, 2025 to May 13, 2025
- Accounts · 530 to 549Oct 29, 2024 to Feb 12, 2025
- HNW clients · 81 to 91Oct 29, 2024 to Feb 12, 2025
- Individual clients · 53 to 45Oct 29, 2024 to Feb 12, 2025
- Assets in custody · $52.8M to $55.7MOct 29, 2024 to Feb 12, 2025
- Discretionary RAUM · $250M to $270MOct 29, 2024 to Feb 12, 2025
- HNW RAUM · $226M to $251MOct 29, 2024 to Feb 12, 2025
- Individual RAUM · $24.1M to $19.4MOct 29, 2024 to Feb 12, 2025
- Non-discretionary RAUM · $5.9M to $6.9MOct 29, 2024 to Feb 12, 2025
- Pension RAUM · $5.7M to $6.9MOct 29, 2024 to Feb 12, 2025
- RAUM · $256M to $277MOct 29, 2024 to Feb 12, 2025
- Advisory employees · 2 to 3Jan 25, 2024 to Oct 29, 2024
- Employees · 5 to 6Jan 25, 2024 to Oct 29, 2024
- State-registered IARs · 3 to 4Jan 25, 2024 to Oct 29, 2024
- Accounts · 492 to 530Feb 21, 2023 to Jan 25, 2024
- HNW clients · 67 to 81Feb 21, 2023 to Jan 25, 2024
- Individual clients · 64 to 53Feb 21, 2023 to Jan 25, 2024
- Assets in custody · $152M to $52.8MFeb 21, 2023 to Jan 25, 2024
- Discretionary RAUM · $217M to $250MFeb 21, 2023 to Jan 25, 2024
- HNW RAUM · $184M to $226MFeb 21, 2023 to Jan 25, 2024
- Individual RAUM · $33.9M to $24.1MFeb 21, 2023 to Jan 25, 2024
- Non-discretionary RAUM · $5.6M to $5.9MFeb 21, 2023 to Jan 25, 2024
- Pension RAUM · $5.4M to $5.7MFeb 21, 2023 to Jan 25, 2024
- RAUM · $223M to $256MFeb 21, 2023 to Jan 25, 2024
- Accounts · 529 to 492Mar 3, 2022 to Feb 21, 2023
- HNW clients · 58 to 67Mar 3, 2022 to Feb 21, 2023
- Individual clients · 73 to 64Mar 3, 2022 to Feb 21, 2023
- Assets in custody · $116M to $152MMar 3, 2022 to Feb 21, 2023
- Employees · 4 to 5Mar 3, 2022 to Feb 21, 2023
Signals
2 dated events
- Nicholas Andrew Faulkner left Beacon Financial Strategies Corp. for Dimensional Fund Advisors Lp (registered 2024-05-28)Jan 28, 2022 · Advisor changed firm · fact
- Beacon Financial Strategies Corp. filed its initial SEC registration (Form ADV)May 31, 2017 · 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
- 919-803-3801reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/BEACON-FINANCIAL-STRATEGIESreportedpublic record, Form ADV, Sep 18, 2026
- Website
- BEACONFINANCIALSTRATEGIES.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 919-803-3801reportedpublic record, Form ADV, Feb 11, 2026
- Contact form
- beaconfinancialstrategies.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- beaconfinancialstrategies.com/who-we-arereportedpublished 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
- $77.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026