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
A••••••• W••••• A•••••• S••••••••
Asset manager (funds and pooled vehicles)Charlotte, North CarolinaCRD 143593SEC 801-67829websiteIAPD
Legal name A•••• I••••••••• I•••
Latest filing Jul 31, 2026
First filing on the tape Mar 27, 2012 · 42 filings
SEC status approved since Apr 24, 2007
RAUM
$11B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$1.6B
derived; firm RAUM over IAPD count
Employees
60
15 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$11B as of Jul 31, 2026
Mar 27, 2012$1.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Jul 31, 2026
Mar 22, 20130 then
Employees (5.A)60 as of Jul 31, 2026
Mar 22, 20135 then
Private funds: no history
RAUM +6.0% over the last fiscal year+9.8% a year over threeIARs 11 to 7offices 1 to 2
Practice profile
derived from the filing of Jul 31, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- RAUM per advisor
- $1.8BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $348,711derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 10.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- -36%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$11B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 31,684reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•• A•• V• | Charlotte, Nc | Sep 11, 2019 | 12 y | 0 |
| S•••• H••••• F•••• | Charlotte, Nc | Jan 31, 2024 | 15 y | 6 |
| V•••••• S•••• L•••• | Concord, Ca | Feb 13, 2024 | 25 y | 3 |
| D••••• B•••••• M••••• | Charlotte, Nc | Feb 15, 2024 | 21 y | 4 |
| H•••• L•••••••Chartered Financial Analyst | Charlotte, Nc | Mar 7, 2024 | 10 y | 1 |
| D•••• R•••• | Charlotte, Nc | Apr 22, 2024 | 25 y | 3 |
| J••••••• S••••• S••••• | Charlotte, Nc | May 28, 2024 | 12 y | 3 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount3 left over 36 months
Left, latest
- P••••• E••••• P••••• to A••••••• S••••••• N••••••Nov 24, 2025 · Other
- M••• A••• S•••••• to V••••••• A••••••• S••••••••• I•••May 13, 2025 · Other
- J•••• R•••••• W•••••• to W•••• F•••• I••••••••• I••••••••• I•••Sep 20, 2024 · Other
- A••••• P••• G••••• to A••••• A•• P••••••• S•••••••Sep 9, 2022 · Other
- H••• V•••••• B•••••• to O••••••••• • C•• I•••Jan 3, 2022 · Other
- L••• C••••• M••••• to C•••••••• W••••• C••••••••• L••Jan 3, 2022 · Other
Joined, latest
- J••••••• S••••• S••••• from A••••• A•• P••••••• S•••••••May 28, 2024 · Other
- D•••• R•••• from O•••• W•••••• I•••Apr 22, 2024 · Other
- M••• A••• S•••••• from F•••••• I••••••••• M••••••••• I•••Apr 9, 2024 · Other
- H•••• L••••••• from A• W•••••Mar 7, 2024 · Other
- D••••• B•••••• M••••• from T•••••• I••••••••• M••••••••• L••Feb 15, 2024 · Other
- V•••••• S•••• L•••• from A••••••••• I•••Feb 13, 2024 · Other
- S•••• H••••• F•••• from S•••• W••••• M••••••••• L••Jan 31, 2024 · Other
- A••••• P••• G••••• from A••••• A•• P••••••• S•••••••Mar 29, 2021 · Other
- J•••• R•••••• W•••••• from L•• F•••••••• L••Nov 13, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• T••• F••• · Evpcontrolsince 12/2022 · owns less than 5%
- A••••• B••••••• W••••• · President/Ceo/Directorcontrolsince 11/2018 · owns less than 5%
- K••• M•••••• · Directorcontrolsince 12/2022 · owns less than 5%
- M•••••• L•• · Chairman, Group Chief Executive Office, Directorcontrolsince 09/2024 · owns less than 5%
- M•••••• D•••••• B•••••• · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- Z•••• G•••• G••••• · Evp/Treasurer/Directorcontrolsince 12/2022 · owns less than 5%
Entity owners
- A•••••••• F•••••••• H•••••••• I••• · Sole Shareholder - Direct Ownerdirect · owns 75% or more
- G••• E•••••• B•••••••• L•• · Shareholderindirect · owns 75% or more of A•••••••• F•••••••• H•••••••• I•••
- G••• E•••••• H•••••••• L••• · Shareholderindirect · owns 75% or more of G••• E•••••• T••••• I•••
- G••• E•••••• I••••••••• I••• · Managing Memberindirect · owns 75% or more of G••• E•••••• B•••••••• L••
- G••• E•••••• T••••• I••• · Shareholderindirect · owns 75% or more of V••••• I•••••••• L•
- G••• F••• X•••• L• · Memberindirect · owns 25% to 50% of G••• E•••••• H•••••••• L•••
- G••• I••••••••• X•• L•• · General Partnerindirect · owns F of G••• P••••••• X•••••• L•
- G••• P••••••• X•••••• L• · General Partnerindirect · owns F of G••• F••• X•••• L•
- G••• P••••••• X•••••• L• · General Partnerindirect · owns F of V••••• I•••••••• L•
- V••••• I•••••••• L• · Memberindirect · owns 25% to 50% of G••• E•••••• H•••••••• L•••
Related persons
Schedule D 7.A
- A•••••••• B••••••••• L••broker-dealern
- A•••••••• S•••••••• I•••LP sponsorn
- A•••••••• T•••• C••••••n
- A••••••••• I•••investment advisernRAUM $92B
Advisers that list A••••••• W••••• A•••••• S•••••••• as a related person
- 109018 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Charlotte, Nc · principal | 7 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Concord, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- a•••••• count dropChange between filings · filing Mar 17, 2026advisory representatives (Item 5.B.3) moved from 11.0 to 7.0 (-36.0%) between the annual amendments of 2025-04-16 and 2026-03-17; the peer median change was 0.0% (33 comparable advisers, 9.0th percentile of changes)peers: asset managers, $5B to $20B (33) · 9.4% percentile
What changed
consecutive filings, newest first
- Accounts · 32,716 to 31,684Dec 23, 2025 to Mar 17, 2026
- State-registered IARs · 11 to 7Dec 23, 2025 to Mar 17, 2026
- Other offices · 1 to 2Dec 23, 2025 to Mar 17, 2026
- Discretionary RAUM · $10B to $11BDec 23, 2025 to Mar 17, 2026
- RAUM · $10B to $11BDec 23, 2025 to Mar 17, 2026
- Accounts · 40,484 to 32,716Dec 2, 2024 to Apr 16, 2025
- Employees · 50 to 60Dec 2, 2024 to Apr 16, 2025
- Financial planning clients · unset to Dec 2, 2024 to Apr 16, 2025
- State-registered IARs · 5 to 11Dec 2, 2024 to Apr 16, 2025
- Discretionary RAUM · $11B to $10BDec 2, 2024 to Apr 16, 2025
- RAUM · $11B to $10BDec 2, 2024 to Apr 16, 2025
- Accounts · 30,113 to 40,484Mar 28, 2024 to Apr 29, 2024
- Discretionary RAUM · $8.8B to $11BMar 28, 2024 to Apr 29, 2024
- RAUM · $8.8B to $11BMar 28, 2024 to Apr 29, 2024
- Accounts · 34,153 to 30,113Nov 13, 2023 to Mar 28, 2024
- Advisory employees · 10 to 15Nov 13, 2023 to Mar 28, 2024
- Employees · 45 to 50Nov 13, 2023 to Mar 28, 2024
- State-registered IARs · 8 to 5Nov 13, 2023 to Mar 28, 2024
- Other offices · 0 to 1Nov 13, 2023 to Mar 28, 2024
- Discretionary RAUM · $8.3B to $8.8BNov 13, 2023 to Mar 28, 2024
- RAUM · $8.3B to $8.8BNov 13, 2023 to Mar 28, 2024
- Accounts · 30,687 to 34,153Jan 13, 2023 to Mar 30, 2023
- Employees · 32 to 45Jan 13, 2023 to Mar 30, 2023
- Discretionary RAUM · $9.5B to $8.3BJan 13, 2023 to Mar 30, 2023
- RAUM · $9.5B to $8.3BJan 13, 2023 to Mar 30, 2023
- Organization form · Limited Liability Company to CorporationApr 5, 2022 to Jan 13, 2023
- Related broker-dealer · false to trueApr 5, 2022 to Jan 13, 2023
- Succession · false to trueApr 5, 2022 to Jan 13, 2023
- Legal name · A•••• INVESTMENTS LLC to A•••• I••••••••• I•••Jan 13, 2023 to Jan 13, 2023
- Succession · true to falseJan 13, 2023 to Jan 13, 2023
- Accounts · 136 to 30,687Mar 31, 2022 to Apr 5, 2022
- Accounts · 24,107 to 136Jun 29, 2021 to Mar 31, 2022
- Advisory employees · 8 to 10Jun 29, 2021 to Mar 31, 2022
- Employees · 41 to 32Jun 29, 2021 to Mar 31, 2022
- State-registered IARs · 7 to 8Jun 29, 2021 to Mar 31, 2022
- Discretionary RAUM · $7.0B to $9.5BJun 29, 2021 to Mar 31, 2022
- RAUM · $7.0B to $9.5BJun 29, 2021 to Mar 31, 2022
- Accounts · 122 to 24,107Apr 15, 2021 to May 18, 2021
- Discretionary RAUM · $6.1B to $7.0BApr 15, 2021 to May 18, 2021
- RAUM · $6.1B to $7.0BApr 15, 2021 to May 18, 2021
Signals
22 dated events
- V•••••• S•••• L•••• no longer holds an investment adviser registration (last listed at A••••••• W••••• A•••••• S•••••••• on the 2026-09-14 feed)Sep 14, 2026 · a•••••• registration ended · derived
- P••••• E••••• P••••• left A••••••• W••••• A•••••• S•••••••• for A••••••• S••••••• N•••••• (registered 2025-12-17)Nov 24, 2025 · a•••••• firm change · fact
- M••• A••• S•••••• left A••••••• W••••• A•••••• S•••••••• for V••••••• A••••••• S••••••••• I••• (registered 2025-12-23)May 13, 2025 · a•••••• firm change · fact
- Lou Maiuri (Chairman, Group Chief Executive Office, Director) appeared on Schedule A of A••••••• W••••• A•••••• S••••••••Dec 2, 2024 · Control person joined · fact
- J•••• R•••••• W•••••• left A••••••• W••••• A•••••• S•••••••• for W•••• F•••• I••••••••• I••••••••• I••• (registered 2024-10-17)Sep 20, 2024 · a•••••• firm change · fact
- Thomas Jordan Darr (Director) no longer on Schedule A of A••••••• W••••• A•••••• S•••••••• (listed 2024-03-28, absent 2024-04-29)Apr 29, 2024 · Control person left · inference
- Brendan Daniel Mulvey (Chief Compliance Officer) appeared on Schedule A of A••••••• W••••• A•••••• S••••••••Mar 28, 2024 · Control person joined · fact
- S•••• Ryan Lambuth (Interim Chief Compliance Officer) no longer on Schedule A of A••••••• W••••• A•••••• S•••••••• (listed 2023-11-13, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- S•••• Ryan Lambuth (Interim Chief Compliance Officer) appeared on Schedule A of A••••••• W••••• A•••••• S••••••••Nov 13, 2023 · Control person joined · fact
- A••••••• W••••• A•••••• S•••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 13, 2023 · Succession (Item 4) · fact
- Michael H. Michael Kim (Director) appeared on Schedule A of A••••••• W••••• A•••••• S••••••••Jan 13, 2023 · Control person joined · fact
- Bransford D•••• Blundin (Chairman) no longer on Schedule A of A••••••• W••••• A•••••• S•••••••• (listed 2022-04-05, absent 2023-01-13)Jan 13, 2023 · Control person left · inference
- George Gary Zyla (Evp/Treasurer/Director) appeared on Schedule A of A••••••• W••••• A•••••• S••••••••Jan 13, 2023 · Control person joined · fact
- Thomas Jordan Darr (Director) appeared on Schedule A of A••••••• W••••• A•••••• S••••••••Jan 13, 2023 · Control person joined · fact
- Fyke Ted Angus (General Counsel) appeared on Schedule A of A••••••• W••••• A•••••• S••••••••Jan 13, 2023 · Control person joined · fact
- A••••• P••• G••••• left A••••••• W••••• A•••••• S•••••••• for A••••• A•• P••••••• S••••••• (registered 2022-09-13)Sep 9, 2022 · a•••••• firm change · fact
- A••••••• W••••• A•••••• S•••••••• reported RAUM $9.5B, up 35% from $7.0B (2021-06-29 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- H••• V•••••• B•••••• left A••••••• W••••• A•••••• S•••••••• for O••••••••• • C•• I••• (registered 2021-05-27)Jan 3, 2022 · a•••••• firm change · fact
- L••• C••••• M••••• left A••••••• W••••• A•••••• S•••••••• for C•••••••• W••••• C••••••••• L•• (registered 2021-11-09)Jan 3, 2022 · a•••••• firm change · fact
- A••••••• W••••• A•••••• S•••••••• reported RAUM $6.1B, up 32% from $4.7B (2020-09-01 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- A••••••• W••••• A•••••• S•••••••• reported RAUM $4.7B, up 44% from $3.2B (2019-04-11 to 2020-02-12)Feb 12, 2020 · RAUM change · derived
- Bransford D•••• Blundin (Chairman) appeared on Schedule A of A••••••• W••••• A•••••• S••••••••Mar 28, 2019 · Control person joined · 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
- H•••S://WWW.LINKEDIN.COM/COMPANY/A•••••••-WEALTH-A••••••-S••reportedpublic record, Form ADV, Sep 18, 2026
- Website
- exchange.adhesionwealth.com/reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 888-295-8351reportedpublic record, Form ADV, Jul 31, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.6Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026