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
Semmax Financial Advisors, Inc.
Latest filing Mar 24, 2026
First filing on the tape Jun 29, 2017 · 29 filings
SEC status approved since Aug 1, 2017
RAUM
$495M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$495M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$61.9M
derived; firm RAUM over IAPD count
Employees
18
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$495M as of Mar 24, 2026
Mar 29, 2018$137M then
HNW client RAUM$120M as of Mar 24, 2026
Mar 29, 2018$32.8M then
State-registered IARs (5.B.3)7 as of Mar 24, 2026
Mar 29, 20185 then
Employees (5.A)18 as of Mar 24, 2026
Mar 29, 201815 then
Private funds: no history
RAUM +25% over the last fiscal year+19% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $61.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 103derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $221,143derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminars, otherreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$375M76%
- High-net-worth individuals$120M24%
- Individual clients
- 749reported
- HNW clients
- 77reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2,240reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Ellis Tyner | Winston-Salem, Nc | Dec 6, 2007 | 24 y | 0 |
| Matthew Jeremiah Landon | Winston-Salem, Nc | Aug 23, 2017 | 11 y | 0 |
| Marcus Duncan Snodgress | Waxahachie, Tx | Oct 1, 2020 | 21 y | 0 |
| Jonathan Philip Short | Winston-Salem, Nc | Aug 30, 2021 | 18 y | 1 |
| Michael Andrew SellersCertified Financial Planner | Winston-Salem, Nc | Jan 5, 2022 | 21 y | 4 |
| Lawrence David Vanlandingham | Winston-Salem, Nc | May 18, 2022 | 16 y | 2 |
| Jordan Francis Shinsky | Winston-Salem, Nc | Aug 4, 2022 | 22 y | 1 |
| Kyle Adam LeonardCertified Financial Planner | Winston-Salem, Nc | Jul 20, 2023 | 12 y | 5 |
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
- Penny Lee Di Giovanna to J. W. Cole Advisors, Inc.Jun 13, 2022 · RIA to RIA
- Travis Vernon Lethco to Twin City Private Wealth, LLCSep 17, 2021 · RIA to a newly registered adviser
- Joseph King Berry to Twin City Private Wealth, LLCSep 17, 2021 · RIA to a newly registered adviser
- Eric David Mattinson to Twin City Private Wealth, LLCSep 17, 2021 · RIA to a newly registered adviser
Joined, latest
- Kyle Adam Leonard from Cuso Financial Services, L.P.Jul 20, 2023 · Affiliated broker-dealer or bank to independent RIA
- Jordan Francis Shinsky from Edward JonesAug 4, 2022 · Affiliated broker-dealer or bank to independent RIA
- Lawrence David Vanlandingham from Avantax Advisory ServicesMay 18, 2022 · Affiliated broker-dealer or bank to independent RIA
- Michael Andrew Sellers from Aspire Private CapitalJan 5, 2022 · RIA to RIA
- Penny Lee Di Giovanna from J. W. Cole Advisors, Inc.Dec 2, 2021 · RIA to RIA
- Travis Vernon Lethco from Bb&T Securities, LLCApr 20, 2018 · Affiliated broker-dealer or bank to independent RIA
- Eric David Mattinson from Suntrust Investment Services, Inc.Jan 15, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Twin City Private Wealth, LLCSep 17, 2021 · Winstonsalem, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ellis John Tyner · Presidentcontrolsince 08/2007 · owns 75% or more
- Philip Jonathan Short · Chief Compliance Officersince 02/2022 · owns less than 5%
Related persons
Schedule D 7.A
- Semmax Inc.real estaten
- Semmax Tax, Inc.insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Winstonsalem, Nc | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Greensboro, NC7 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 24, 2026HNW share of RAUM moved from 69.0% to 24.0% between the annual amendments of 2025-03-21 and 2026-03-24peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 2,007 to 2,240Mar 21, 2025 to Mar 24, 2026
- HNW clients · 92 to 77Mar 21, 2025 to Mar 24, 2026
- Individual clients · 686 to 749Mar 21, 2025 to Mar 24, 2026
- Financial planning clients · More than 500 to 251-500Mar 21, 2025 to Mar 24, 2026
- Discretionary RAUM · $395M to $495MMar 21, 2025 to Mar 24, 2026
- HNW RAUM · $274M to $120MMar 21, 2025 to Mar 24, 2026
- Individual RAUM · $121M to $375MMar 21, 2025 to Mar 24, 2026
- RAUM · $395M to $495MMar 21, 2025 to Mar 24, 2026
- Accounts · 2,015 to 2,007Mar 28, 2024 to Mar 21, 2025
- HNW clients · 117 to 92Mar 28, 2024 to Mar 21, 2025
- Individual clients · 763 to 686Mar 28, 2024 to Mar 21, 2025
- Financial planning clients · 251-500 to More than 500Mar 28, 2024 to Mar 21, 2025
- Discretionary RAUM · $333M to $395MMar 28, 2024 to Mar 21, 2025
- HNW RAUM · $180M to $274MMar 28, 2024 to Mar 21, 2025
- Individual RAUM · $153M to $121MMar 28, 2024 to Mar 21, 2025
- Pension RAUM · unset to 0.0Mar 28, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · unset to 0.0Mar 28, 2024 to Mar 21, 2025
- RAUM · $333M to $395MMar 28, 2024 to Mar 21, 2025
- Accounts · 1,929 to 2,015Mar 30, 2023 to Mar 28, 2024
- HNW clients · 71 to 117Mar 30, 2023 to Mar 28, 2024
- Individual clients · 689 to 763Mar 30, 2023 to Mar 28, 2024
- Assets in custody · 8392322.0 to unsetMar 30, 2023 to Mar 28, 2024
- Custody of client assets · true to falseMar 30, 2023 to Mar 28, 2024
- Employees · 19 to 18Mar 30, 2023 to Mar 28, 2024
- Financial planning clients · 0 to 251-500Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $291M to $333MMar 30, 2023 to Mar 28, 2024
- HNW RAUM · $119M to $180MMar 30, 2023 to Mar 28, 2024
- Individual RAUM · $172M to $153MMar 30, 2023 to Mar 28, 2024
- RAUM · $291M to $333MMar 30, 2023 to Mar 28, 2024
- Accounts · 1,115 to 1,929Mar 31, 2022 to Mar 30, 2023
- Advisory employees · 6 to 7Mar 31, 2022 to Mar 30, 2023
- HNW clients · 106 to 71Mar 31, 2022 to Mar 30, 2023
- Individual clients · 738 to 689Mar 31, 2022 to Mar 30, 2023
- Assets in custody · $150M to $8.4MMar 31, 2022 to Mar 30, 2023
- Employees · 18 to 19Mar 31, 2022 to Mar 30, 2023
- State-registered IARs · 6 to 7Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $186M to $291MMar 31, 2022 to Mar 30, 2023
- HNW RAUM · $144M to $119MMar 31, 2022 to Mar 30, 2023
- Individual RAUM · $41.7M to $172MMar 31, 2022 to Mar 30, 2023
- RAUM · $186M to $291MMar 31, 2022 to Mar 30, 2023
Signals
5 dated events
- Semmax Financial Advisors, Inc. reported RAUM $495.4M, up 25% from $395.3M (2025-03-21 to 2026-03-24)Mar 24, 2026 · RAUM change · derived
- Semmax Financial Advisors, Inc. reported RAUM $291.0M, up 57% from $185.8M (2022-03-31 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Penny Lee Di Giovanna left Semmax Financial Advisors, Inc. for J. W. Cole Advisors, Inc. (registered 2022-06-23)Jun 13, 2022 · Advisor changed firm · fact
- David Eric Mattinson (Chief Compliance Officer) no longer on Schedule A of Semmax Financial Advisors, Inc. (listed 2021-06-03, absent 2021-09-17)Sep 17, 2021 · Control person left · inference
- Semmax Financial Advisors, Inc. filed its initial SEC registration (Form ADV)Jun 29, 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
- Firm profile
- linkedin.com/company/semmax-financial-group/aboutreportedpublic record, Form ADV, Sep 17, 2026
- Website
- semmaxbook.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 336-856-0080reportedpublic record, Form ADV, Mar 24, 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
- $61.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026