DFX Intelligence
RIA Intelligence
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SEC-registered adviser
H••••• S••••• I••••••••• A••••••• L••
Latest filing Jun 1, 2026
First filing on the tape Nov 21, 2024 · 7 filings
SEC status approved since Feb 5, 2025
RAUM
$166M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$166M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$23.8M
derived; firm RAUM over IAPD count
Employees
8
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$166M as of Jun 1, 2026
Jan 14, 2025$112M then
HNW client RAUM$29.6M as of Jun 1, 2026
Jan 14, 2025$18.0M then
State-registered IARs (5.B.3)3 as of Jun 1, 2026
Jan 14, 20253 then
Employees (5.A)8 as of Jun 1, 2026
Jan 14, 20258 then
Private funds: no history
RAUM +25% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Jun 1, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $23.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $14.8MderivedHNW RAUM over HNW clients
- Average account
- $187,152derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 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
- +15%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$137M82%
- High-net-worth individuals$29.6M18%
- Individual clients
- 350reported
- HNW clients
- 2reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 889reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• A•••••• M•••••Certified Financial Planner, Chartered Financial Consultant | Apex, Nc | Oct 17, 2007 | 27 y | 2 |
| M•••••• B•••• O••••••• | Apex, Nc | Sep 1, 2021 | 14 y | 0 |
| K•••• C•••• C•••••• | Apex, Nc | Sep 12, 2025 | 13 y | 3 |
| D••••• B•••• C•••••• | Apex, Nc | Sep 12, 2025 | 11 y | 2 |
| G••••• T••••• N••••• | Apex, Nc | Sep 12, 2025 | 16 y | 5 |
| C•••••• D••• L••••Chartered Financial Analyst | Apex, Nc | Sep 18, 2025 | 42 y | 3 |
| M•••••• C•••••• M••••• | Apex, Nc | Sep 18, 2025 | 25 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
- D••••• B•••• C•••••• from E••••• J••••Oct 31, 2023 · Affiliated broker-dealer or bank to independent RIA
- C•••••• D••• L•••• from C••••••• R••••••••• C••••••••• I•••Apr 1, 2023 · Other
- K•••• C•••• C•••••• from R•••••• C•••••• M••••••••• I•••Oct 25, 2019 · RIA to RIA
- M•••••• C•••••• M••••• from H••••• W•••••Oct 2, 2019 · RIA to RIA
- G••••• T••••• N••••• from A••••••• F••••••••Oct 2, 2019 · Other
- J••••• A•••••• M••••• from P•••• S••••••••• L••Oct 17, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• J•••••• A•••••• · Managing Member, Chief Compliance Officercontrolsince 09/2007 · owns 50% to 75%
- M•••••• M••••••• C•••••• · Managing Membersince 09/2019 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Apex, Nc · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 675 to 889Sep 11, 2025 to Mar 31, 2026
- Advisory employees · 8 to 7Sep 11, 2025 to Mar 31, 2026
- Individual clients · 305 to 350Sep 11, 2025 to Mar 31, 2026
- Insurance-licensed employees · 7 to 3Sep 11, 2025 to Mar 31, 2026
- Discretionary RAUM · $134M to $166MSep 11, 2025 to Mar 31, 2026
- HNW RAUM · $24.0M to $29.6MSep 11, 2025 to Mar 31, 2026
- Individual RAUM · $110M to $137MSep 11, 2025 to Mar 31, 2026
- RAUM · $134M to $166MSep 11, 2025 to Mar 31, 2026
- Accounts · 670 to 675Jan 14, 2025 to Mar 28, 2025
- Financial planning clients · 101-250 to 101-250Jan 14, 2025 to Mar 28, 2025
- Discretionary RAUM · $112M to $134MJan 14, 2025 to Mar 28, 2025
- HNW RAUM · $18.0M to $24.0MJan 14, 2025 to Mar 28, 2025
- Individual RAUM · $94.0M to $110MJan 14, 2025 to Mar 28, 2025
- RAUM · $112M to $134MJan 14, 2025 to Mar 28, 2025
Signals
1 dated events
- H••••• S••••• I••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Nov 21, 2024 · 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
- 919-589-4040reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.h•••••••••.netreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 919-589-4040reportedpublic record, Form ADV, Jun 1, 2026
- Contact form
- h•••••••••.netreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- h•••••••••.netreportedpublished 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
- $23.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026