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
H••••• H••••• W••••• A•••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Feb 15, 2012 · 36 filings
SEC status approved since Feb 22, 2010
RAUM
$171M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$153M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$42.8M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$171M as of Mar 26, 2026
Feb 15, 2012$107M then
HNW client RAUM$146M as of Mar 26, 2026
Mar 29, 2018$94.5M then
State-registered IARs (5.B.3)4 as of Mar 26, 2026
Feb 15, 20120 then
Employees (5.A)7 as of Mar 26, 2026
Mar 22, 201310 then
Private funds2 as of Mar 26, 2026
Mar 29, 20181 then
RAUM +1.4% over the last fiscal year+16% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $42.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 19derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $842,986derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $121M, 8 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.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$146M85%
- Pooled investment vehicles$17.2M10%
- Individuals$6.8M3.9%
- Corporations and businesses$1.2M0.7%
- Individual clients
- 42reported
- HNW clients
- 34reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 203reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $121M for 8 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.1 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• D•••• F•• | Charlotte, Nc | Apr 26, 2010 | 25 y | 4 |
| J••• W•••••• T••• | Charlotte, Nc | Apr 26, 2010 | 33 y | 1 |
| S•••• C••••• C••••••Certified Financial Planner | Charlotte, Nc | May 20, 2014 | 20 y | 1 |
| G•••••• D•••• J••••••Chartered Financial Analyst | Charlotte, Nc | May 9, 2024 | 16 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
- L•• C••••••••• L••••• to C•• A•••• M••••••••• G••••Jul 7, 2015 · Other
- S•••••• P••• M••••• to F•••••• W••••• M••••••••• L••May 15, 2014 · Other
- J••• H•••••• B••••• to P•••••••• S••••• A•••••••• L••Jun 24, 2013 · Other
- E••••• W•••••• R••• to A••••••• A•••• M••••••••• I•••Sep 17, 2010 · Other
Joined, latest
- S•••• C••••• C•••••• from F•••• C••••••• I••••••• S•••••••• I•••May 20, 2014 · Other
- J••• H•••••• B••••• from W•• C•••••• A•••••••• L••Jun 5, 2013 · Other
- L•• C••••••••• L••••• from R•••• A•••• M••••••••• L••Jul 5, 2012 · Other
- E••••• W•••••• R••• from W•••• F•••• A•••••••May 13, 2010 · Other
- S•••••• P••• M••••• from R•••• T•••• W••••• M•••••••••Apr 26, 2010 · Other
- M•••••• D•••• F•• from I•• W••••• M••••••••• I•••Apr 26, 2010 · Other
- J••• W•••••• T••• from I•• W••••• M••••••••• I•••Apr 26, 2010 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G••••• T••• B••• F••• L• | Hedge Fund | $9.5M | 9 | Mar 29, 2018 |
| H••••• H••••• M••••••••• F•••• L•no longer reported | Private Equity Fund | $5.6M | 63 | Nov 19, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F••• M••••••• D•••• · Managing Member, Chief Compliance Officercontrolsince 09/2009 · owns less than 5%
- C••••••• S••••• C••••• · Ownercontrolsince 01/2017 · owns 75% or more of C•••••• F••••••••• I•••
- F••• M••••••• D•••• · Ownercontrolsince 12/2009 · owns 75% or more of H• H•••••••• L••
Entity owners
- H••••• H••••• A•••••••• L•• · Memberdirect · owns 75% or more
- C•••••• F••••••••• I••• · Memberindirect · owns 50% to 75% of H••••• H••••• A•••••••• L••
- H• H•••••••• L•• · Memberindirect · owns 50% to 75% of H••••• H••••• A•••••••• L••
Related persons
Schedule D 7.A
- H••••• H••••• T•• A•••••••• L••insurancen
- J••• W• T•••pooled vehicle sponsory
- M•••••• F••pooled vehicle sponsorn
- M•••••• F••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Charlotte, Nc · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 26, 2026portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2025-07-15, yes on the filing of 2026-03-26peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 226 to 203Jul 15, 2025 to Mar 26, 2026
- Advisory activities · 3 to 4Jul 15, 2025 to Mar 26, 2026
- Corporate clients · 2.0 to unsetJul 15, 2025 to Mar 26, 2026
- HNW clients · 37 to 34Jul 15, 2025 to Mar 26, 2026
- Individual clients · 38 to 42Jul 15, 2025 to Mar 26, 2026
- Pooled vehicle clients · 1 to 2Jul 15, 2025 to Mar 26, 2026
- Assets in custody · $120M to $121MJul 15, 2025 to Mar 26, 2026
- Private funds · 1 to 2Jul 15, 2025 to Mar 26, 2026
- Discretionary RAUM · $169M to $171MJul 15, 2025 to Mar 26, 2026
- HNW RAUM · $147M to $146MJul 15, 2025 to Mar 26, 2026
- Individual RAUM · $8.3M to $6.8MJul 15, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $11.7M to $17.2MJul 15, 2025 to Mar 26, 2026
- RAUM · $169M to $171MJul 15, 2025 to Mar 26, 2026
- Accounts · 227 to 226Mar 28, 2025 to Jul 15, 2025
- Corporate clients · 0 to 2Mar 28, 2025 to Jul 15, 2025
- HNW clients · 35 to 37Mar 28, 2025 to Jul 15, 2025
- Pooled vehicle clients · 3 to 1Mar 28, 2025 to Jul 15, 2025
- Financial planning clients · 0 to 0Mar 28, 2025 to Jul 15, 2025
- Pooled vehicle RAUM · $13.0M to $11.7MMar 28, 2025 to Jul 15, 2025
- Accounts · 253 to 227Mar 27, 2024 to Mar 28, 2025
- Advisory employees · 3 to 4Mar 27, 2024 to Mar 28, 2025
- HNW clients · 26 to 35Mar 27, 2024 to Mar 28, 2025
- Individual clients · 62 to 38Mar 27, 2024 to Mar 28, 2025
- Assets in custody · $63.6M to $120MMar 27, 2024 to Mar 28, 2025
- Employees · 4 to 7Mar 27, 2024 to Mar 28, 2025
- State-registered IARs · 3 to 4Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $119M to $169MMar 27, 2024 to Mar 28, 2025
- HNW RAUM · $97.4M to $147MMar 27, 2024 to Mar 28, 2025
- Individual RAUM · $11.7M to $8.3MMar 27, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $10.0M to $13.0MMar 27, 2024 to Mar 28, 2025
- RAUM · $119M to $169MMar 27, 2024 to Mar 28, 2025
- Accounts · 215 to 253Apr 4, 2023 to Mar 27, 2024
- HNW clients · 34 to 26Apr 4, 2023 to Mar 27, 2024
- Individual clients · 40 to 62Apr 4, 2023 to Mar 27, 2024
- Pooled vehicle clients · 4 to 3Apr 4, 2023 to Mar 27, 2024
- Assets in custody · $60.8M to $63.6MApr 4, 2023 to Mar 27, 2024
- Financial planning clients · 1-10 to 0Apr 4, 2023 to Mar 27, 2024
- Discretionary RAUM · $110M to $119MApr 4, 2023 to Mar 27, 2024
- HNW RAUM · $96.0M to $97.4MApr 4, 2023 to Mar 27, 2024
- Individual RAUM · $5.0M to $11.7MApr 4, 2023 to Mar 27, 2024
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- H••••• H••••• W••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- H••••• H••••• W••••• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 704-343-2447reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••H•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 704-343-2447reportedpublic record, Form ADV, Mar 26, 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
- $42.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026