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.

SEC-registered adviser

A4 Wealth Advisors LLC

Independent wealth managerHuntersville, North CarolinaCRD 152397SEC 801-125825website IAPD

Latest filing May 27, 2026

First filing on the tape May 6, 2022 · 29 filings

SEC status approved since Jun 6, 2022

RAUM

$214M

reported, Item 5.F

Discretionary

96%

of RAUM

Private clients

100%

$214M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$26.7M

derived; firm RAUM over IAPD count

Employees

8 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

29 filings and snapshots on the tape

RAUM$214M as of May 27, 2026

Mar 31, 2023$126M then

HNW client RAUM$141M as of May 27, 2026

Mar 31, 2023$85.3M then

State-registered IARs (5.B.3)8 as of May 27, 2026

Mar 31, 20233 then

Employees (5.A)8 as of May 27, 2026

Mar 31, 20233 then

Private funds: no history

RAUM +21% over the last fiscal year+19% a year over threeIARs 5 to 8

Practice profile

derived from the filing of May 27, 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

RAUM per advisor: $26.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 73derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $967,243derivedHNW RAUM over HNW clients
Average account: $156,444derivedRAUM over accounts (5.F.2.f)
Discretionary: 96%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 4.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +21%derivedbetween the last two annual amendments
Advisor growth, one year: +20%derivedItem 5.B.3 between annual amendments
Client growth, one year: +1.7%derived
Compensation: percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisers, publications, educational seminarsreportedItem 5.G
Custody: $5.0M, 14 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

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)
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$141M66%
Individuals$72.5M34%

Individual clients: 441reported
HNW clients: 146reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1,366reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: $5.0M for 14 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived

Advisors registered through the firm

8 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
John Burke BalcerzakCertified Financial Planner	Huntersville, Nc	Jun 4, 2010	29 y	5
Shauntae E Funkhouser	Huntersville, Nc	Mar 15, 2022	10 y	1
Heather Marie Fowler	Huntersville, Nc	May 1, 2024	11 y	0
Zachary Alan SpainhourCertified Financial Planner	Huntersville, Nc	Aug 19, 2024	18 y	2
Conrad Jordan Phillips	Huntersville, Nc	Jan 17, 2025	15 y	2
Cory Michael EspositoCertified Financial Planner	Huntersville, Nc	Aug 15, 2025	11 y	2
Kaylynne Elise Willis	Huntersville, Nc	May 27, 2026	16 y	2
Micheal James Foster	Huntersville, Nc	May 27, 2026	10 y	2

Advisor movement

0 left, 2 joined in 12 months

net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months

Left, latest

Matthew Spencer Long to 11 Financial
Nov 14, 2023 · RIA to RIA

Joined, latest

Micheal James Foster from Hornor, Townsend & Kent, LLC
May 27, 2026 · RIA to RIA
Kaylynne Elise Willis from Hornor, Townsend & Kent, LLC
May 27, 2026 · RIA to RIA
Cory Michael Esposito from LPL Financial LLC
Aug 15, 2025 · Affiliated broker-dealer or bank to independent RIA
Conrad Jordan Phillips from Alphastar Capital Management
Jan 17, 2025 · RIA to RIA
Zachary Alan Spainhour from LPL Financial LLC
Aug 19, 2024 · Affiliated broker-dealer or bank to independent RIA
Matthew Spencer Long from Park Avenue Securities LLC
May 1, 2023 · Affiliated broker-dealer or bank to independent RIA
John Burke Balcerzak from Trident Investment Management Inc
Jun 4, 2010 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from Hornor, Townsend & Kent, LLC
May 26, 2026 · Charlotte, Nc

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Burke John Balcerzak · Managing Membercontrol
since 04/2010 · owns 75% or more
Marie Heather Fowler · Chief Compliance Officer/ Investment Advisor Representativecontrol
since 04/2024 · owns less than 5%

Related persons

Schedule D 7.A

John Balcerzak
real estaten

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Huntersville, Nc · principal	8	2	0

Offices

Schedule D 1.F, the 25 largest

Charlotte, NC2 employees

What changed

consecutive filings, newest first

Advisory employees · 6 to 8
Mar 26, 2026 to May 27, 2026
BD registered reps · 0 to 1
Mar 26, 2026 to May 27, 2026
Employees · 6 to 8
Mar 26, 2026 to May 27, 2026
Insurance-licensed employees · 0 to 1
Mar 26, 2026 to May 27, 2026
State-registered IARs · 6 to 8
Mar 26, 2026 to May 27, 2026
Advisory employees · 7 to 6
Feb 19, 2026 to Mar 26, 2026
Employees · 7 to 6
Feb 19, 2026 to Mar 26, 2026
State-registered IARs · 7 to 6
Feb 19, 2026 to Mar 26, 2026
Accounts · 1,279 to 1,366
Dec 8, 2025 to Feb 19, 2026
Advisory employees · 6 to 7
Dec 8, 2025 to Feb 19, 2026
HNW clients · 136 to 146
Dec 8, 2025 to Feb 19, 2026
Individual clients · 429 to 441
Dec 8, 2025 to Feb 19, 2026
Assets in custody · $3.9M to $5.0M
Dec 8, 2025 to Feb 19, 2026
Employees · 6 to 7
Dec 8, 2025 to Feb 19, 2026
State-registered IARs · 6 to 7
Dec 8, 2025 to Feb 19, 2026
Discretionary RAUM · $181M to $204M
Dec 8, 2025 to Feb 19, 2026
HNW RAUM · $105M to $141M
Dec 8, 2025 to Feb 19, 2026
Individual RAUM · $85.0M to $72.5M
Dec 8, 2025 to Feb 19, 2026
Non-discretionary RAUM · $8.6M to $9.3M
Dec 8, 2025 to Feb 19, 2026
RAUM · $190M to $214M
Dec 8, 2025 to Feb 19, 2026
Accounts · 1,286 to 1,279
May 27, 2025 to Aug 15, 2025
Advisory employees · 5 to 6
May 27, 2025 to Aug 15, 2025
HNW clients · 120 to 136
May 27, 2025 to Aug 15, 2025
Individual clients · 435 to 429
May 27, 2025 to Aug 15, 2025
Assets in custody · $2.0M to $3.9M
May 27, 2025 to Aug 15, 2025
Employees · 5 to 6
May 27, 2025 to Aug 15, 2025
State-registered IARs · 5 to 6
May 27, 2025 to Aug 15, 2025
Discretionary RAUM · $168M to $181M
May 27, 2025 to Aug 15, 2025
HNW RAUM · $106M to $105M
May 27, 2025 to Aug 15, 2025
Individual RAUM · $73.1M to $85.0M
May 27, 2025 to Aug 15, 2025
Non-discretionary RAUM · $11.7M to $8.6M
May 27, 2025 to Aug 15, 2025
RAUM · $179M to $190M
May 27, 2025 to Aug 15, 2025
Accounts · 1,249 to 1,286
Mar 18, 2025 to May 27, 2025
HNW clients · 123 to 120
Mar 18, 2025 to May 27, 2025
Individual clients · 454 to 435
Mar 18, 2025 to May 27, 2025
Assets in custody · $2.9M to $2.0M
Mar 18, 2025 to May 27, 2025
Financial planning clients · 1-10 to 1-10
Mar 18, 2025 to May 27, 2025
Discretionary RAUM · $163M to $168M
Mar 18, 2025 to May 27, 2025
HNW RAUM · $109M to $106M
Mar 18, 2025 to May 27, 2025
Individual RAUM · $67.4M to $73.1M
Mar 18, 2025 to May 27, 2025

Signals

4 dated events

2 advisors left Hornor, Townsend & Kent, LLC (Charlotte, NC) for A4 Wealth Advisors LLC on the same day
May 26, 2026 · Team lift-out · derived
Marie Heather Fowler (Chief Compliance Officer/ Investment Advisor Representative) appeared on Schedule A of A4 Wealth Advisors Llc
May 1, 2024 · Control person joined · fact
Matthew Spencer Long left A4 Wealth Advisors Llc for 11 Financial (registered 2024-01-02)
Nov 14, 2023 · Advisor changed firm · fact
A4 Wealth Advisors Llc filed its initial SEC registration (Form ADV)
May 6, 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

Firm profile: LINKEDIN.COM/COMPANY/A4-WEALTH-ADVISORS-LLCreportedpublic record, Form ADV, Sep 18, 2026
Website: A4CFP.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 704-509-1141reportedpublic record, Form ADV, May 27, 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: $26.7Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026