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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Latest filing Apr 1, 2026
First filing on the tape Feb 27, 2012 · 20 filings
SEC status approved since Apr 2, 2012
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$0 as of Apr 1, 2026
Mar 23, 2025$0 then
HNW client RAUM$0 as of Apr 1, 2026
Mar 27, 2018$0 then
State-registered IARs (5.B.3)1 as of Apr 1, 2026
Feb 21, 20133 then
Employees (5.A)2 as of Apr 1, 2026
Feb 21, 20134 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $0derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- financial planning, educational seminarsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••• D••• F•••••Certified Financial Planner | Durham, Nc | Dec 10, 2012 | 24 y | 7 |
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
- C••• J•••• J•••••••• to C• A•••• M••••••••• L••Mar 14, 2018 · Other
Joined, latest
- L••• D••• F••••• from C•• A•••••••• L••Jan 23, 2012 · Other
- C••• J•••• J•••••••• from W•••• F•••• A•••••••Jan 1, 2010 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• L•••• D••• · Ownercontrolsince 01/2012 · owns 75% or more
- R••••• S•••• T•••••• · President And Chief Compliance Officercontrolsince 03/2016 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · unset to 0.0Mar 21, 2024 to Mar 23, 2025
- Financial planning clients · 0 to 0Mar 21, 2024 to Mar 23, 2025
- HQ city · unset to Mar 21, 2024 to Mar 23, 2025
- HQ state · unset to Mar 21, 2024 to Mar 23, 2025
- Discretionary RAUM · unset to 0.0Mar 21, 2024 to Mar 23, 2025
- Non-discretionary RAUM · unset to 0.0Mar 21, 2024 to Mar 23, 2025
- RAUM · unset to 0.0Mar 21, 2024 to Mar 23, 2025
- HQ city · DURHAM to unsetMar 31, 2021 to Mar 19, 2022
- HQ state · NC to unsetMar 31, 2021 to Mar 19, 2022
- Other offices · 1 to 0Mar 31, 2021 to Mar 19, 2022
- Charity clients · unset to 0.0Jun 29, 2020 to Mar 31, 2021
- Corporate clients · unset to 0.0Jun 29, 2020 to Mar 31, 2021
- HNW clients · unset to 0.0Jun 29, 2020 to Mar 31, 2021
- Individual clients · unset to 0.0Jun 29, 2020 to Mar 31, 2021
- Pension plan clients · unset to 0.0Jun 29, 2020 to Mar 31, 2021
- Pooled vehicle clients · unset to 0.0Jun 29, 2020 to Mar 31, 2021
- Employees · 3 to 2Jun 29, 2020 to Mar 31, 2021
- HNW RAUM · unset to 0.0Jun 29, 2020 to Mar 31, 2021
- Individual RAUM · unset to 0.0Jun 29, 2020 to Mar 31, 2021
- Pension RAUM · unset to 0.0Jun 29, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · unset to 0.0Jun 29, 2020 to Mar 31, 2021
- Charity clients · 0.0 to unsetMar 22, 2019 to Mar 26, 2020
- Corporate clients · 0.0 to unsetMar 22, 2019 to Mar 26, 2020
- HNW clients · 0.0 to unsetMar 22, 2019 to Mar 26, 2020
- Individual clients · 39.0 to unsetMar 22, 2019 to Mar 26, 2020
- Pension plan clients · 0.0 to unsetMar 22, 2019 to Mar 26, 2020
- Pooled vehicle clients · 0.0 to unsetMar 22, 2019 to Mar 26, 2020
- Employees · 4 to 3Mar 22, 2019 to Mar 26, 2020
- HNW RAUM · 0.0 to unsetMar 22, 2019 to Mar 26, 2020
- Individual RAUM · 0.0 to unsetMar 22, 2019 to Mar 26, 2020
- Pension RAUM · 0.0 to unsetMar 22, 2019 to Mar 26, 2020
- Pooled vehicle RAUM · 0.0 to unsetMar 22, 2019 to Mar 26, 2020
- Individual clients · 54 to 39Mar 27, 2018 to Mar 22, 2019
- Employees · 1 to 4Mar 27, 2018 to Mar 22, 2019
- Financial planning clients · 51-100 to 0Mar 27, 2018 to Mar 22, 2019
- HQ city · MORRISVILLE to DURHAMMar 27, 2018 to Mar 22, 2019
- State-registered IARs · 0 to 1Mar 27, 2018 to Mar 22, 2019
- Advisory employees · 2 to 1Mar 30, 2017 to Mar 27, 2018
- Advisory activities · 3 to 2Mar 30, 2017 to Mar 27, 2018
- Charity clients · unset to 0.0Mar 30, 2017 to Mar 27, 2018
Signals
1 dated events
- R•••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 18, 2016 · Succession (Item 4) · 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
- H•••S://WWW.LINKEDIN.COM/COMPANY/1000313reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 877-438-7520reportedpublic record, Form ADV, Apr 1, 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
- No RAUM reportedderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026