DFX Intelligence
RIA Intelligence
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SEC-registered adviser
A••••••• W•••••• L••
Latest filing Jul 3, 2026
First filing on the tape Jun 5, 2025 · 4 filings
SEC status approved since Jul 3, 2025
RAUM
$146M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$141M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$24.3M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$146M as of Jul 3, 2026
Jun 5, 2025$117M then
HNW client RAUM$100M as of Jul 3, 2026
Jun 5, 2025$94.0M then
State-registered IARs (5.B.3)6 as of Jul 3, 2026
Jun 5, 20255 then
Employees (5.A)6 as of Jul 3, 2026
Jun 5, 20255 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 3, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $24.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 23derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $362,165derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$100M69%
- Individuals$41.2M28%
- Pension and profit-sharing plans$4.3M2.9%
- Individual clients
- 101reported
- HNW clients
- 34reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 402reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• G•••••Certified Financial Planner | Wilmington, Nc | Feb 20, 2009 | 22 y | 0 |
| B•••••• T••••• D••••••••Certified Financial Planner | Oak Ridge, Nc | Aug 11, 2009 | 17 y | 0 |
| K•••• L•••• C•••••Certified Financial Planner | Wilmington, Nc | Feb 21, 2011 | 15 y | 0 |
| K•••• T••• M•• | Wilmington, Nc | Aug 13, 2014 | 13 y | 0 |
| C•••••• N••••• G•••••Certified Financial Planner | Wilmington, Nc | Sep 28, 2020 | 15 y | 1 |
| J•••• K•••••• G••••• | Wilmington, Nc | Dec 15, 2025 | 12 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- C•••••• N••••• G••••• from V••••••• A•••••••• I•••Sep 28, 2020 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••••• B••••••• T••••• · Manager, Chief Compliance Officercontrolsince 07/2013 · owns less than 5%
Entity owners
- D•••• M••••••••• I••• · Ownerdirect · owns 25% to 50%
- L••• A•• G•••••• I••• · 50% Ownerdirect · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Wilmington, Nc · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 7 to 6Mar 26, 2026 to Jul 3, 2026
- Employees · 7 to 6Mar 26, 2026 to Jul 3, 2026
- State-registered IARs · 7 to 6Mar 26, 2026 to Jul 3, 2026
- Accounts · 370 to 402Sep 19, 2025 to Mar 26, 2026
- Advisory employees · 5 to 7Sep 19, 2025 to Mar 26, 2026
- HNW clients · 48 to 34Sep 19, 2025 to Mar 26, 2026
- Individual clients · 72 to 101Sep 19, 2025 to Mar 26, 2026
- Pension plan clients · 4 to 5Sep 19, 2025 to Mar 26, 2026
- Employees · 5 to 7Sep 19, 2025 to Mar 26, 2026
- State-registered IARs · 5 to 7Sep 19, 2025 to Mar 26, 2026
- Discretionary RAUM · $117M to $146MSep 19, 2025 to Mar 26, 2026
- HNW RAUM · $94.0M to $100MSep 19, 2025 to Mar 26, 2026
- Individual RAUM · $18.4M to $41.2MSep 19, 2025 to Mar 26, 2026
- Pension RAUM · $4.3M to $4.3MSep 19, 2025 to Mar 26, 2026
- RAUM · $117M to $146MSep 19, 2025 to Mar 26, 2026
Signals
No event on the tape.
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
- 910-790-0122reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 336-218-6677reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-761-7577reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- A•••••••WEALTH.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 910-790-0122reportedpublic record, Form ADV, Jul 3, 2026
- Contact form
- a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- a•••••••••.comreportedpublished 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
- $24.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026