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••••• F•••••••• P•••••••• I•••
Latest filing Feb 22, 2026
First filing on the tape Jan 7, 2022 · 12 filings
SEC status approved since Feb 8, 2022
RAUM
$163M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$162M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$81.5M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$163M as of Feb 22, 2026
Feb 23, 2023$104M then
HNW client RAUM$103M as of Feb 22, 2026
Feb 23, 2023$51.4M then
State-registered IARs (5.B.3)2 as of Feb 22, 2026
Feb 23, 20231 then
Employees (5.A)2 as of Feb 22, 2026
Feb 23, 20231 then
Private funds: no history
RAUM +12% over the last fiscal year+16% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 22, 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
- $81.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 121derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $222,574derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 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
- +0.4%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, 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
- 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$103M63%
- Individuals$58.8M36%
- Charitable organizations$1.2M0.7%
- Individual clients
- 188reported
- HNW clients
- 54reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 732reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| M•••••• R••• C•••••Certified Financial Planner | Black Mountain, Nc | Jan 22, 2015 | 25 y | 2 |
| L•••• M•••••• C••••• | Black Mountain, Nc | Sep 27, 2023 | 10 y | 3 |
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
- L•••• M•••••• C••••• from A••••••• F••••••••• L•••Sep 27, 2023 · Affiliated broker-dealer or bank to independent RIA
- M•••••• R••• C••••• from W•••• F•••• A•••••••Jan 22, 2015 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• M••••••• R••• · President/Chief Compliance Officercontrolsince 03/2005 · 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 |
|---|---|---|---|---|---|
| Black Mountain, Nc · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Asheville, NC1 employees
What changed
consecutive filings, newest first
- Accounts · 725 to 732Sep 19, 2025 to Feb 22, 2026
- HNW clients · 55 to 54Sep 19, 2025 to Feb 22, 2026
- Individual clients · 186 to 188Sep 19, 2025 to Feb 22, 2026
- Discretionary RAUM · $145M to $163MSep 19, 2025 to Feb 22, 2026
- HNW RAUM · $92.1M to $103MSep 19, 2025 to Feb 22, 2026
- Individual RAUM · $52.1M to $58.8MSep 19, 2025 to Feb 22, 2026
- RAUM · $145M to $163MSep 19, 2025 to Feb 22, 2026
- Accounts · 614 to 725Mar 20, 2024 to Feb 17, 2025
- HNW clients · 32 to 55Mar 20, 2024 to Feb 17, 2025
- Individual clients · 202 to 186Mar 20, 2024 to Feb 17, 2025
- Financial planning clients · 101-250 to 101-250Mar 20, 2024 to Feb 17, 2025
- Discretionary RAUM · $120M to $145MMar 20, 2024 to Feb 17, 2025
- HNW RAUM · $61.5M to $92.1MMar 20, 2024 to Feb 17, 2025
- Individual RAUM · $57.6M to $52.1MMar 20, 2024 to Feb 17, 2025
- RAUM · $120M to $145MMar 20, 2024 to Feb 17, 2025
- Accounts · 619 to 614Sep 29, 2023 to Mar 10, 2024
- Charity clients · 0 to 1Sep 29, 2023 to Mar 10, 2024
- HNW clients · 25 to 32Sep 29, 2023 to Mar 10, 2024
- Individual clients · 172 to 202Sep 29, 2023 to Mar 10, 2024
- Discretionary RAUM · $104M to $120MSep 29, 2023 to Mar 10, 2024
- HNW RAUM · $51.4M to $61.5MSep 29, 2023 to Mar 10, 2024
- Individual RAUM · $53.1M to $57.6MSep 29, 2023 to Mar 10, 2024
- RAUM · $104M to $120MSep 29, 2023 to Mar 10, 2024
- Advisory employees · 1 to 2Jun 20, 2023 to Sep 29, 2023
- Employees · 1 to 2Jun 20, 2023 to Sep 29, 2023
- State-registered IARs · 1 to 2Jun 20, 2023 to Sep 29, 2023
- Accounts · 609 to 619Aug 25, 2022 to Feb 23, 2023
- Charity clients · 1 to 0Aug 25, 2022 to Feb 23, 2023
- Corporate clients · unset to 0.0Aug 25, 2022 to Feb 23, 2023
- HNW clients · 33 to 25Aug 25, 2022 to Feb 23, 2023
- Individual clients · 158 to 172Aug 25, 2022 to Feb 23, 2023
- Pension plan clients · unset to 0.0Aug 25, 2022 to Feb 23, 2023
- Pooled vehicle clients · unset to 0.0Aug 25, 2022 to Feb 23, 2023
- Discretionary RAUM · $127M to $104MAug 25, 2022 to Feb 23, 2023
- HNW RAUM · $74.8M to $51.4MAug 25, 2022 to Feb 23, 2023
- Individual RAUM · $50.8M to $53.1MAug 25, 2022 to Feb 23, 2023
- Pension RAUM · unset to 0.0Aug 25, 2022 to Feb 23, 2023
- Pooled vehicle RAUM · unset to 0.0Aug 25, 2022 to Feb 23, 2023
- RAUM · $127M to $104MAug 25, 2022 to Feb 23, 2023
- Other offices · 2 to 1Feb 24, 2022 to Aug 25, 2022
Signals
1 dated events
- C••••• F•••••••• P•••••••• I••• filed its initial SEC registration (Form ADV)Jan 7, 2022 · 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
- 828-654-8830reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/C•••••-FINANCIAL-P•••••••-Ireportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 828-654-8830reportedpublic record, Form ADV, Feb 22, 2026
- Contact form
- colliefp.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- colliefp.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
- $81.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026