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
A••••• P•••••• C••••••
Legal name A••••• P•••••• C••••••• L••
Latest filing Aug 20, 2026
First filing on the tape Jun 29, 2018 · 31 filings
SEC status approved since Aug 1, 2018
RAUM
$510M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$510M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$63.7M
derived; firm RAUM over IAPD count
Employees
9
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$510M as of Aug 20, 2026
Mar 30, 2019$174M then
HNW client RAUM$278M as of Aug 20, 2026
Mar 30, 2019$50.8M then
State-registered IARs (5.B.3)8 as of Aug 20, 2026
Mar 30, 20197 then
Employees (5.A)9 as of Aug 20, 2026
Mar 30, 201910 then
Private funds: no history
RAUM +12% over the last fiscal year+20% a year over threeIARs 9 to 8
Practice profile
derived from the filing of Aug 20, 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
- i••••••••• 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
- $63.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $299,300derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $70.0M, 122 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$278M55%
- Individuals$231M45%
- Individual clients
- 507reported
- HNW clients
- 202reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,703reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $70.0M for 122 clientsreported
- Compensation
- % of AUMreported
- 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
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• B•••• P••••••• | Cornelius, Nc | Nov 22, 2010 | 22 y | 2 |
| T••••• J•••• F••••••Certified Financial Planner | Cornelius, Nc | May 13, 2014 | 18 y | 3 |
| T••••• K•••• K•••• | Cornelius, Nc | Jan 22, 2015 | 21 y | 1 |
| J•••• L••• G•••••• | Cornelius, Nc | Aug 23, 2016 | 15 y | 0 |
| G•••••• G•••••• P••••••Certified Financial Planner | Cornelius, Nc | Feb 9, 2018 | 18 y | 3 |
| A•••••• M••••• B••••••Certified Financial Planner | Cornelius, Nc | Nov 28, 2018 | 14 y | 1 |
| T•••••• A•••••••• D•••••• | Cornelius, Nc | Nov 6, 2024 | 13 y | 1 |
| W••••• C• T•••••Certified Financial Planner | Cornelius, Nc | Feb 5, 2026 | 13 y | 2 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 13% of current headcount1 left over 36 months
Left, latest
- C•••• K••••• C•••• to I••••••••• A•••••• A•••••••• L••Jan 6, 2026 · Other
- M•••••• A••••• S•••••• to S••••• F•••••••• A•••••••• I•••Aug 6, 2019 · RIA to RIA
- G••• R•••••• P•••••• to A• W••••• M••••••••• L••Jun 20, 2018 · RIA to RIA
- W••••• A• T••••••• to P••• A••••• S••••••••• L••Mar 1, 2018 · RIA to affiliated broker-dealer or bank
- N••••• D•••••• O•••••• to W••••• A•• C••••••• I•••May 11, 2017 · Other
Joined, latest
- W••••• C• T••••• from E••••• J••••Feb 5, 2026 · Affiliated broker-dealer or bank to independent RIA
- T•••••• A•••••••• D•••••• from V••••••• A•••••••• I•••Nov 6, 2024 · Affiliated broker-dealer or bank to independent RIA
- C•••• K••••• C•••• from C••• L••Dec 11, 2019 · Affiliated broker-dealer or bank to independent RIA
- M•••••• A••••• S•••••• from S•••••• I••••••••• G••••• L••Jan 22, 2019 · Other
- A•••••• M••••• B•••••• from L•• F•••••••• L••Nov 28, 2018 · RIA to RIA
- G•••••• G•••••• P•••••• from L•• F•••••••• L••Feb 9, 2018 · Other
- W••••• A• T••••••• from W•••• F•••• A•••••••Jun 20, 2017 · Wirehouse to independent RIA
- N••••• D•••••• O•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 29, 2017 · Wirehouse to independent RIA
- G••• R•••••• P•••••• from G••••• F•••••••• P•••••• C••••••• I•••Nov 6, 2015 · Other
- T••••• K•••• K•••• from G••••• F•••••••• P•••••• C••••••• I•••Jan 22, 2015 · Other
- T••••• J•••• F•••••• from W•••• F•••• A•••••••May 13, 2014 · Wirehouse to independent RIA
- J••• B•••• P••••••• from G••••• F•••••••• P•••••• C••••••• I•••Nov 22, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from G••••• F•••••••• P•••••• C••••••• I•••Jun 12, 2017 · Sarasota, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• T•••• M• · Ccocontrolsince 09/2022 · owns less than 5%
- K••••• T•••••• K•••• · Membercontrolsince 01/2014 · owns 25% to 50%
- P•••••••• J•••• B•••• · Managing Membercontrolsince 05/2010 · owns 50% to 75%
Related persons
Schedule D 7.A
- C••••••• P•••••• C••••••• I•••real estaten
- E••••• • R••••••••• C••••••••• O• T•• F••••••••• I•••real estaten
- P••• 2• R•••••• I•••investment companyn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cornelius, Nc · principal | 8 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Hickory, NC8 employees
What changed
consecutive filings, newest first
- Accounts · 1,701 to 1,703Jun 4, 2025 to Mar 20, 2026
- Corporate clients · 1.0 to unsetJun 4, 2025 to Mar 20, 2026
- HNW clients · 182 to 202Jun 4, 2025 to Mar 20, 2026
- Individual clients · 528 to 507Jun 4, 2025 to Mar 20, 2026
- Assets in custody · $80.7M to $70.0MJun 4, 2025 to Mar 20, 2026
- State-registered IARs · 9 to 8Jun 4, 2025 to Mar 20, 2026
- Discretionary RAUM · $450M to $505MJun 4, 2025 to Mar 20, 2026
- HNW RAUM · $290M to $278MJun 4, 2025 to Mar 20, 2026
- Individual RAUM · $165M to $231MJun 4, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $6.0M to $4.8MJun 4, 2025 to Mar 20, 2026
- RAUM · $456M to $510MJun 4, 2025 to Mar 20, 2026
- Financial planning clients · 0 to 0Mar 27, 2025 to Jun 4, 2025
- Accounts · 1,740 to 1,701Dec 4, 2024 to Mar 27, 2025
- Advisory employees · 8 to 9Dec 4, 2024 to Mar 27, 2025
- HNW clients · 108 to 182Dec 4, 2024 to Mar 27, 2025
- Individual clients · 594 to 528Dec 4, 2024 to Mar 27, 2025
- Assets in custody · $89.2M to $80.7MDec 4, 2024 to Mar 27, 2025
- Employees · 8 to 9Dec 4, 2024 to Mar 27, 2025
- State-registered IARs · 8 to 9Dec 4, 2024 to Mar 27, 2025
- Discretionary RAUM · $377M to $450MDec 4, 2024 to Mar 27, 2025
- HNW RAUM · $193M to $290MDec 4, 2024 to Mar 27, 2025
- Individual RAUM · $195M to $165MDec 4, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $11.2M to $6.0MDec 4, 2024 to Mar 27, 2025
- RAUM · $388M to $456MDec 4, 2024 to Mar 27, 2025
- Accounts · 1,737 to 1,740Aug 31, 2023 to Mar 27, 2024
- Advisory employees · 9 to 8Aug 31, 2023 to Mar 27, 2024
- Individual clients · 568 to 594Aug 31, 2023 to Mar 27, 2024
- Assets in custody · $40.1M to $89.2MAug 31, 2023 to Mar 27, 2024
- Employees · 11 to 8Aug 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $282M to $377MAug 31, 2023 to Mar 27, 2024
- HNW RAUM · $184M to $193MAug 31, 2023 to Mar 27, 2024
- Individual RAUM · $112M to $195MAug 31, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $14.6M to $11.2MAug 31, 2023 to Mar 27, 2024
- RAUM · $296M to $388MAug 31, 2023 to Mar 27, 2024
- Accounts · 1,526 to 1,737Jan 27, 2023 to Mar 20, 2023
- Advisory employees · 8 to 9Jan 27, 2023 to Mar 20, 2023
- Corporate clients · unset to 1.0Jan 27, 2023 to Mar 20, 2023
- HNW clients · 105 to 108Jan 27, 2023 to Mar 20, 2023
- Individual clients · 557 to 568Jan 27, 2023 to Mar 20, 2023
- Assets in custody · $43.9M to $40.1MJan 27, 2023 to Mar 20, 2023
Signals
3 dated events
- C•••• K••••• C•••• left A••••• P•••••• C•••••• for I••••••••• A•••••• A•••••••• L•• (registered 2025-12-09)Jan 6, 2026 · a•••••• firm change · fact
- M T••• A••••••••• (Cco) appeared on Schedule A of A••••• P•••••• C••••••Sep 26, 2022 · Control person joined · fact
- A••••• P•••••• C•••••• filed its initial SEC registration (Form ADV)Jun 29, 2018 · 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
- info@aspireadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- bryan@aspireadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- keith@aspireadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- susie@aspireadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- tina@aspireadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- tj@aspireadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- trent@aspireadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jessica@aspireadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- wes@aspireadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 704-237-9927reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 828-328-1499reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 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
- $63.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026