DFX Intelligence

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T•••••• A•••••••• L••

Independent wealth managerSEC-registered· Chapel Hill, North Carolinawebsite

Independent wealth manager, based in Chapel Hill, North Carolina, reporting $138M of regulatory assets across 2 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-01-28 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $138M
Advisors: 2
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +17%
Private clients: 89% of RAUM, $123M

Advisors (2)Advisor movement Where the RAUM sits

As of 2026-01-28 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +17% over the last fiscal year, to $138M.
2026-01-28
RAUM a year earlier $118MRAUM now $138M
7 published business contact points are on record, each with its source.
Contact points 7

Every filed figure, and the identifiersCRD 149308 · SEC 801-131916 · 2 filingsShow

CRD 149308SEC 801-131916First filing on the tape Jan 4, 2025, latest Jan 28, 2026SEC status approved since Feb 3, 2025IAPD

RAUM

$138M

reported, Item 5.F

Discretionary

88%

of RAUM

Private clients

89%

$123M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$68.9M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

2 filings and snapshots on the tape

RAUM$138M as of Jan 28, 2026

Jan 4, 2025$118M then

HNW client RAUM$97.0M as of Jan 28, 2026

Jan 4, 2025$82.7M then

State-registered IARs (5.B.3)2 as of Jan 28, 2026

Jan 4, 20252 then

Employees (5.A)2 as of Jan 28, 2026

Jan 4, 20252 then

Private funds: no history

RAUM +17% over the last fiscal yearIARs 2 to 2

Practice profile

derived from the filing of Jan 28, 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: $68.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 69derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.7MderivedHNW RAUM over HNW clients
Average account: $354,174derivedRAUM over accounts (5.F.2.f)
Discretionary: 88%derivedof RAUM
Institutional: 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 0.5derived4 offices incl. principal (1.F.5)
RAUM growth, one year: +17%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, hourlyreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publications, educational seminarsreportedItem 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)
receives research or other products from a broker-dealer, soft dollars (8.E)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$97.0M70%
Individuals$25.9M19%
Pension and profit-sharing plans$14.9M11%
Corporations and businesses$40,5390.0%

Individual clients: 81reported
HNW clients: 57reported
Pension plan clients: 2reported
Charitable clients: n/areported
Accounts: 389reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, hourlyreported
Class basis: private_client_share=0.89 fund_share=0.0 institutional_share=0.11 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
R••• V•••• G•••••Certified Financial Planner	Chapel Hill, Nc	Feb 12, 2009	21 y	1
W••••• A•••••••• H•••••Certified Financial Planner	Chapel Hill, Nc	Feb 12, 2009	22 y	1

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

R••• V•••• G••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Feb 12, 2009 · Wirehouse to independent RIA
W••••• A•••••••• H••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Feb 12, 2009 · Wirehouse to independent RIA

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

G•••••• R•••• V•••• · Principal & Chief Compliance Officercontrol
since 01/2009 · owns 50% to 75%
H•••••• W•••••• A•••••••• · Principalcontrol
since 01/2009 · 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
Chapel Hill, Nc · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 372 to 389
Jan 4, 2025 to Jan 28, 2026
HNW clients · 53 to 57
Jan 4, 2025 to Jan 28, 2026
Individual clients · 77 to 81
Jan 4, 2025 to Jan 28, 2026
HQ city · GREENSBORO to CHAPEL HILL
Jan 4, 2025 to Jan 28, 2026
Discretionary RAUM · $104M to $122M
Jan 4, 2025 to Jan 28, 2026
HNW RAUM · $82.7M to $97.0M
Jan 4, 2025 to Jan 28, 2026
Individual RAUM · $21.7M to $25.9M
Jan 4, 2025 to Jan 28, 2026
Non-discretionary RAUM · $14.0M to $16.2M
Jan 4, 2025 to Jan 28, 2026
Pension RAUM · $13.1M to $14.9M
Jan 4, 2025 to Jan 28, 2026
RAUM · $118M to $138M
Jan 4, 2025 to Jan 28, 2026

Signals

1 dated events

••• Locked
Jan 28, 2026 · ria hq relocated · 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: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Jan 28, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jan 28, 2026
Contact form: ••• Lockedreportedpublished 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: $68.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026