DFX Intelligence
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P••••••••• W••••• M••••••••• S••••••• L••
Independent wealth manager, based in Statesville, North Carolina, reporting $136M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $136M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +5.7%
- Private clients
- 100% of RAUM, $136M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 5
Every filed figure, and the identifiersCRD 150266 · SEC 801-123592 · 11 filingsShowHide
CRD 150266SEC 801-123592First filing on the tape Mar 9, 2012, latest Jan 30, 2026SEC status approved since Apr 1, 2022IAPD
RAUM
$136M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$136M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$68.1M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$136M as of Jan 30, 2026
Mar 9, 2012$62.6M then
HNW client RAUM$122M as of Jan 30, 2026
Mar 25, 2022$103M then
State-registered IARs (5.B.3)2 as of Jan 30, 2026
Mar 9, 20120 then
Employees (5.A)3 as of Jan 30, 2026
Mar 25, 20224 then
Private funds: no history
RAUM +5.7% over the last fiscal year+8.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 30, 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
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $68.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.4MderivedHNW RAUM over HNW clients
- Average account
- $796,224derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $135MreportedItem 5.I
- 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)
- 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$122M90%
- Individuals$13.9M10%
- Individual clients
- 41reported
- HNW clients
- 19reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 171reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• M•••••• F••••••Chartered Financial Consultant | Statesville, Nc | Jun 17, 2009 | 19 y | 1 |
| J••• G•••••• S•••••••• | Statesville, Nc | Jun 17, 2009 | 32 y | 2 |
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
- J••• G•••••• S•••••••• from L•• F•••••••• L••Jun 17, 2009 · Other
- S•••• M•••••• F•••••• from P••••••••• A••••••• S•••••••• L••Jun 17, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• S••••• M•••••• · Director/Managing Member/Chief Compliance Officercontrolsince 05/2009 · owns less than 5%
- S••••••••• J•••• G•••••• · Founder/Managing Membercontrolsince 04/2007 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Statesville, Nc · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 61 to 171Mar 7, 2025 to Jan 30, 2026
- HNW clients · 16 to 19Mar 7, 2025 to Jan 30, 2026
- Individual clients · 45 to 41Mar 7, 2025 to Jan 30, 2026
- Discretionary RAUM · $129M to $136MMar 7, 2025 to Jan 30, 2026
- HNW RAUM · $114M to $122MMar 7, 2025 to Jan 30, 2026
- Individual RAUM · $15.2M to $13.9MMar 7, 2025 to Jan 30, 2026
- RAUM · $129M to $136MMar 7, 2025 to Jan 30, 2026
- Accounts · 62 to 61Mar 27, 2024 to Mar 7, 2025
- Individual clients · 46 to 45Mar 27, 2024 to Mar 7, 2025
- Employees · 4 to 3Mar 27, 2024 to Mar 7, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 7, 2025
- Discretionary RAUM · $119M to $129MMar 27, 2024 to Mar 7, 2025
- HNW RAUM · $104M to $114MMar 27, 2024 to Mar 7, 2025
- Individual RAUM · $14.8M to $15.2MMar 27, 2024 to Mar 7, 2025
- RAUM · $119M to $129MMar 27, 2024 to Mar 7, 2025
- Accounts · 173 to 62Mar 27, 2023 to Mar 27, 2024
- HNW clients · 15 to 16Mar 27, 2023 to Mar 27, 2024
- Individual clients · 47 to 46Mar 27, 2023 to Mar 27, 2024
- Discretionary RAUM · $107M to $119MMar 27, 2023 to Mar 27, 2024
- HNW RAUM · $93.1M to $104MMar 27, 2023 to Mar 27, 2024
- Individual RAUM · $14.1M to $14.8MMar 27, 2023 to Mar 27, 2024
- RAUM · $107M to $119MMar 27, 2023 to Mar 27, 2024
- Accounts · 180 to 173Sep 9, 2022 to Mar 27, 2023
- HNW clients · 13 to 15Sep 9, 2022 to Mar 27, 2023
- Individual clients · 50 to 47Sep 9, 2022 to Mar 27, 2023
- Discretionary RAUM · $118M to $107MSep 9, 2022 to Mar 27, 2023
- HNW RAUM · $103M to $93.1MSep 9, 2022 to Mar 27, 2023
- Individual RAUM · $14.2M to $14.1MSep 9, 2022 to Mar 27, 2023
- RAUM · $118M to $107MSep 9, 2022 to Mar 27, 2023
- Accounts · 63 to 180Mar 25, 2022 to May 5, 2022
- Accounts · 180 to 63Mar 2, 2022 to Mar 25, 2022
- Accounts · 201 to 180Mar 14, 2012 to Mar 2, 2022
- Advisory employees · unset to 2.0Mar 14, 2012 to Mar 2, 2022
- Advisory activities · 3 to 2Mar 14, 2012 to Mar 2, 2022
- HNW clients · unset to 13.0Mar 14, 2012 to Mar 2, 2022
- Individual clients · unset to 50.0Mar 14, 2012 to Mar 2, 2022
- Employees · unset to 4.0Mar 14, 2012 to Mar 2, 2022
- Financial planning clients · 51-100 to 0Mar 14, 2012 to Mar 2, 2022
- State-registered IARs · 0 to 2Mar 14, 2012 to Mar 2, 2022
- Other offices · unset to 0.0Mar 14, 2012 to Mar 2, 2022
Signals
1 dated events
- ••• LockedMar 2, 2022 · 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 email
- ••• 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 30, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jan 30, 2026
- Team page
- ••• 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
- $68.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026