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
T••••••• W••••• M•••••••••
Legal name T••••••• S••••••••• W••••• M••••••••• I••
Latest filing Feb 26, 2026
First filing on the tape Mar 26, 2012 · 33 filings
SEC status approved since Sep 15, 2008
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$1.3B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$129M
derived; firm RAUM over IAPD count
Employees
14
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$1.3B as of Feb 26, 2026
Mar 26, 2012$463M then
HNW client RAUM$1.2B as of Feb 26, 2026
Mar 26, 2018$557M then
State-registered IARs (5.B.3)9 as of Feb 26, 2026
Mar 26, 20120 then
Employees (5.A)14 as of Feb 26, 2026
Mar 15, 201311 then
Private funds: no history
RAUM +7.3% over the last fiscal year+10% a year over threeIARs 11 to 9
Practice profile
derived from the filing of Feb 26, 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
- RAUM per advisor
- $129MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- -18%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 5.G
- Custody
- $575M, 391 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)
- 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$1.2B90%
- Individuals$106M8.2%
- Charitable organizations$17.5M1.4%
- Corporations and businesses$7.1M0.5%
- Individual clients
- 227reported
- HNW clients
- 289reported
- Pension plan clients
- 0reported
- Charitable clients
- 6reported
- Accounts
- 1,170reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $575M for 391 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• D••••• R••••••• | Raleigh, Nc | May 21, 2009 | 40 y | 1 |
| S•••• W•••••• L••••Chartered Financial Analyst | Raleigh, Nc | May 21, 2009 | 25 y | 1 |
| J••••• L•• P••••• | Raleigh, Nc | May 28, 2009 | 40 y | 1 |
| K••••••• W••• B••••••Certified Financial Planner | Raleigh, Nc | Jan 3, 2011 | 34 y | 2 |
| P••• D••••• R••••••• | Raleigh, Nc | Aug 23, 2012 | 14 y | 0 |
| M••••••• L• P••••••• | Raleigh, Nc | Oct 15, 2014 | 25 y | 0 |
| J•••••• R•••••••• S•••••••• | Raleigh, Nc | Jan 20, 2022 | 25 y | 0 |
| D••••• B•••• F••• | Saranac, Mi | Jun 24, 2022 | 11 y | 0 |
| D•••••• J••• M•••••• | Raleigh, Nc | Aug 24, 2023 | 28 y | 0 |
| C••••• E•••••• J••••••• | Raleigh, Nc | Sep 2, 2026 | 11 y | 0 |
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 headcount1 left over 36 months
Left, latest
- N••••••• A••••• F••••••• to I•••••• W•••••Feb 27, 2025 · RIA to RIA
- L•••• T••••• C••••••• to C••••• A••••••• G••••• L••May 11, 2023 · RIA to RIA
- C••••••• A• Z•••••• to M••••• S••••••Jul 16, 2021 · RIA to wirehouse
- R•••••• C••••••• M•••••• to H••••• R••••Jun 13, 2016 · Other
- M•••••• H•••••• to E•••••••• P••••••••• L••Jun 17, 2014 · Other
- M••• C••••••• S••••••• to J•• I••••••••• P•••••••• L••May 2, 2014 · Other
Joined, latest
- N••••••• A••••• F••••••• from D••••••••• F••• A••••••• L•Aug 14, 2024 · Other
- C••••••• A• Z•••••• from T•• I••••••••• A•••••• A••••••• L••Mar 24, 2021 · RIA to RIA
- L•••• T••••• C••••••• from B••• A•••• M••••••••• I•••Jul 17, 2014 · Other
- K••••••• W••• B•••••• from T••••••• S••••••••• L••Jan 3, 2011 · Other
- J••••• L•• P••••• from T••••••• S••••••••• L••May 28, 2009 · Other
- R•••••• C••••••• M•••••• from T••••••• S••••••••• L••May 28, 2009 · Other
- M•••••• H•••••• from T••••••• S••••••••• L••May 21, 2009 · Other
- S•••• W•••••• L•••• from T••••••• S••••••••• L••May 21, 2009 · Other
- P••• D••••• R••••••• from T••••••• S••••••••• L••May 21, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••••• P•••• D••••• · Ceo, Managing Membercontrolsince 08/2008 · owns 25% to 50%
- S••••••••• J••••••• R•••••••• · Chief Operations Officer, Chief Compliance Officercontrolsince 02/2024 · owns 5% to 10%
- B••••••• K•••••••• W••• · Managing Directorsince 01/2018 · owns 5% to 10%
- H•••••••• M••••••••• · Senior Client Service Managersince 07/2021 · owns 10% to 25%
- K••••••• D••••••• L••• · Managing Directorsince 01/2018 · owns 5% to 10%
- L••••• S••••• W•••••• · Managing Directorsince 01/2018 · owns 5% to 10%
- P•••••• J•••••• L•• · Sr. Relationship Managersince 01/2018 · owns less than 5%
- R•••••••• P•••• D••••• · Senior Relationship Managersince 07/2021 · owns 10% to 25%
- T•••••• C••••• L••• · Membersince 08/2008 · owns 5% to 10%
Entity owners
- P••• D• R••••••• I•• 2••• · Member Irrevocable Trust Dateddirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Raleigh, Nc · principal | 9 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Feb 26, 2026S••••••••• J••••••• R•••••••• (CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2024-02-16 and 2026-02-26peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,150 to 1,170Sep 30, 2025 to Feb 26, 2026
- Advisory employees · 11 to 9Sep 30, 2025 to Feb 26, 2026
- HNW clients · 279 to 289Sep 30, 2025 to Feb 26, 2026
- Individual clients · 246 to 227Sep 30, 2025 to Feb 26, 2026
- Assets in custody · $592M to $575MSep 30, 2025 to Feb 26, 2026
- Employees · 15 to 14Sep 30, 2025 to Feb 26, 2026
- State-registered IARs · 11 to 9Sep 30, 2025 to Feb 26, 2026
- Discretionary RAUM · $1.2B to $1.3BSep 30, 2025 to Feb 26, 2026
- HNW RAUM · $1.1B to $1.2BSep 30, 2025 to Feb 26, 2026
- Individual RAUM · $116M to $106MSep 30, 2025 to Feb 26, 2026
- RAUM · $1.2B to $1.3BSep 30, 2025 to Feb 26, 2026
- Financial planning clients · 0 to 0Feb 20, 2025 to Sep 30, 2025
- Accounts · 1,085 to 1,150Jan 14, 2025 to Feb 20, 2025
- Advisory employees · 9 to 11Jan 14, 2025 to Feb 20, 2025
- HNW clients · 262 to 279Jan 14, 2025 to Feb 20, 2025
- Individual clients · 260 to 246Jan 14, 2025 to Feb 20, 2025
- Assets in custody · $529M to $592MJan 14, 2025 to Feb 20, 2025
- Employees · 13 to 15Jan 14, 2025 to Feb 20, 2025
- State-registered IARs · 10 to 11Jan 14, 2025 to Feb 20, 2025
- Discretionary RAUM · $1.1B to $1.2BJan 14, 2025 to Feb 20, 2025
- HNW RAUM · $970M to $1.1BJan 14, 2025 to Feb 20, 2025
- Individual RAUM · $125M to $116MJan 14, 2025 to Feb 20, 2025
- RAUM · $1.1B to $1.2BJan 14, 2025 to Feb 20, 2025
- Accounts · 1,086 to 1,085Apr 5, 2023 to Feb 16, 2024
- Advisory employees · 10 to 9Apr 5, 2023 to Feb 16, 2024
- Corporate clients · 0 to 3Apr 5, 2023 to Feb 16, 2024
- HNW clients · 241 to 262Apr 5, 2023 to Feb 16, 2024
- Individual clients · 280 to 260Apr 5, 2023 to Feb 16, 2024
- Assets in custody · $469M to $529MApr 5, 2023 to Feb 16, 2024
- Employees · 14 to 13Apr 5, 2023 to Feb 16, 2024
- Discretionary RAUM · $968M to $1.1BApr 5, 2023 to Feb 16, 2024
- HNW RAUM · $820M to $970MApr 5, 2023 to Feb 16, 2024
- Individual RAUM · $132M to $125MApr 5, 2023 to Feb 16, 2024
- RAUM · $968M to $1.1BApr 5, 2023 to Feb 16, 2024
- Accounts · 995 to 1,086Nov 3, 2022 to Mar 10, 2023
- Charity clients · 0 to 6Nov 3, 2022 to Mar 10, 2023
- HNW clients · 263 to 241Nov 3, 2022 to Mar 10, 2023
- Individual clients · 235 to 280Nov 3, 2022 to Mar 10, 2023
- Assets in custody · $439M to $469MNov 3, 2022 to Mar 10, 2023
- Employees · 13 to 14Nov 3, 2022 to Mar 10, 2023
Signals
2 dated events
- N••••••• A••••• F••••••• left T••••••• W••••• M••••••••• for I•••••• W••••• (registered 2025-05-08)Feb 27, 2025 · a•••••• firm change · fact
- L•••• T••••• C••••••• left T••••••• W••••• M••••••••• for C••••• A••••••• G••••• L•• (registered 2024-03-13)May 11, 2023 · a•••••• firm change · 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 email
- info@trianglewealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 919-838-3221reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-678-5901reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- trianglewealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 919-838-3221reportedpublic record, Form ADV, Feb 26, 2026
- Team page
- trianglewealth.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $129Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026