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
Powell Wealth
Legal name Powell Financial, Inc.
Latest filing Feb 13, 2026
First filing on the tape Dec 21, 2011 · 32 filings
SEC status approved since Apr 28, 2015
RAUM
$229M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$228M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$115M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$229M as of Feb 13, 2026
Feb 2, 2016$110M then
HNW client RAUM$211M as of Feb 13, 2026
Mar 9, 2018$76.7M then
State-registered IARs (5.B.3)2 as of Feb 13, 2026
Feb 2, 20161 then
Employees (5.A)3 as of Feb 13, 2026
Feb 2, 20162 then
Private funds: no history
RAUM +13% over the last fiscal year+15% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Feb 13, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $115MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.9MderivedHNW RAUM over HNW clients
- Average account
- $842,648derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%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 consulting, selection of other advisersreportedItem 5.G
- Custody
- $312,615, 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$211M92%
- Individuals$17.8M7.8%
- Corporations and businesses$872,2080.4%
- Individual clients
- 55reported
- HNW clients
- 43reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 272reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $312,615 for 2 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| David Lemal PowellChartered Financial Consultant | Cornelius, Nc | Oct 15, 2007 | 31 y | 2 |
| Charles Guyler Powell | Cornelius, Nc | Mar 8, 2022 | 12 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- Madison Alayna Dunn to Transamerica Retirement Advisors, LLCOct 27, 2025 · RIA to affiliated broker-dealer or bank
- Patrick Barry to Wells Fargo AdvisorsDec 5, 2019 · RIA to wirehouse
- Jonathan Ament to LPL Financial LLCOct 26, 2017 · Other
- David Bilbe Miller to M Holdings Securities, Inc.Jan 25, 2016 · Other
Joined, latest
- Madison Alayna Dunn from Nuveen Asset Management, LLCFeb 20, 2025 · RIA to RIA
- Jonathan Ament from Raymond James & Associates, Inc.Mar 15, 2017 · Other
- David Lemal Powell from Network Planning Advisors, L.L.C.Oct 15, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lemal David Powell · President / Chief Compliance Officercontrolsince 10/2007 · 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 |
|---|---|---|---|---|---|
| Cornelius, Nc · principal | 2 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 251 to 272Jul 1, 2025 to Feb 13, 2026
- Advisory employees · 3 to 2Jul 1, 2025 to Feb 13, 2026
- HNW clients · 40 to 43Jul 1, 2025 to Feb 13, 2026
- Individual clients · 46 to 55Jul 1, 2025 to Feb 13, 2026
- Assets in custody · $296,381 to $312,615Jul 1, 2025 to Feb 13, 2026
- Employees · 4 to 3Jul 1, 2025 to Feb 13, 2026
- State-registered IARs · 3 to 2Jul 1, 2025 to Feb 13, 2026
- Discretionary RAUM · $203M to $229MJul 1, 2025 to Feb 13, 2026
- HNW RAUM · $188M to $211MJul 1, 2025 to Feb 13, 2026
- Individual RAUM · $13.9M to $17.8MJul 1, 2025 to Feb 13, 2026
- RAUM · $203M to $229MJul 1, 2025 to Feb 13, 2026
- Financial planning clients · 26-50 to 26-50Feb 14, 2025 to Jul 1, 2025
- Accounts · 265 to 251Jan 24, 2024 to Feb 14, 2025
- Advisory employees · 2 to 3Jan 24, 2024 to Feb 14, 2025
- Corporate clients · 9 to 10Jan 24, 2024 to Feb 14, 2025
- HNW clients · 41 to 40Jan 24, 2024 to Feb 14, 2025
- Individual clients · 55 to 46Jan 24, 2024 to Feb 14, 2025
- Assets in custody · $1.1M to $296,381Jan 24, 2024 to Feb 14, 2025
- Employees · 3 to 4Jan 24, 2024 to Feb 14, 2025
- State-registered IARs · 2 to 3Jan 24, 2024 to Feb 14, 2025
- Discretionary RAUM · $180M to $203MJan 24, 2024 to Feb 14, 2025
- HNW RAUM · $162M to $188MJan 24, 2024 to Feb 14, 2025
- Individual RAUM · $17.6M to $13.9MJan 24, 2024 to Feb 14, 2025
- RAUM · $180M to $203MJan 24, 2024 to Feb 14, 2025
- Accounts · 268 to 265Feb 24, 2023 to Jan 24, 2024
- Corporate clients · 10 to 9Feb 24, 2023 to Jan 24, 2024
- HNW clients · 36 to 41Feb 24, 2023 to Jan 24, 2024
- Individual clients · 53 to 55Feb 24, 2023 to Jan 24, 2024
- Assets in custody · $907,335 to $1.1MFeb 24, 2023 to Jan 24, 2024
- Discretionary RAUM · $152M to $180MFeb 24, 2023 to Jan 24, 2024
- HNW RAUM · $135M to $162MFeb 24, 2023 to Jan 24, 2024
- Individual RAUM · $16.5M to $17.6MFeb 24, 2023 to Jan 24, 2024
- RAUM · $152M to $180MFeb 24, 2023 to Jan 24, 2024
- Accounts · 283 to 268Mar 16, 2022 to Feb 24, 2023
- Advisory employees · 1 to 2Mar 16, 2022 to Feb 24, 2023
- Corporate clients · 11 to 10Mar 16, 2022 to Feb 24, 2023
- HNW clients · 42 to 36Mar 16, 2022 to Feb 24, 2023
- Individual clients · 60 to 53Mar 16, 2022 to Feb 24, 2023
- Assets in custody · $3.0M to $907,335Mar 16, 2022 to Feb 24, 2023
- State-registered IARs · 1 to 2Mar 16, 2022 to Feb 24, 2023
Signals
2 dated events
- Madison Alayna Dunn left Powell Wealth for Transamerica Retirement Advisors, Llc (registered 2026-03-04)Oct 27, 2025 · Advisor changed firm · fact
- Powell Financial, Inc. filed its initial SEC registration (Form ADV)Mar 31, 2015 · 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
- 704-439-0027reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 704-439-0058reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/powellwealthreportedpublic record, Form ADV, Sep 17, 2026
- Website
- POWELLWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (704) 439-0027reportedpublic record, Form ADV, Feb 13, 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
- $115Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026