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.

Former SEC-registered adviser

Davis Financial Planning

Former SEC-registered adviserAsheville, North CarolinaCRD 154186SEC 801-123715IAPD
Legal name Davis Financial Planning, LLC
Latest filing Mar 7, 2023
First filing on the tape Mar 15, 2022 · 2 filings
RAUM
$101M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$101M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$101M as of Mar 7, 2023
Mar 15, 2022$105M then
HNW client RAUM$40.5M as of Mar 7, 2023
Mar 15, 2022$61.3M then
State-registered IARs (5.B.3)4 as of Mar 7, 2023
Mar 15, 20224 then
Employees (5.A)6 as of Mar 7, 2023
Mar 15, 20227 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 7, 2023; every figure names its basis
RAUM per advisor
$25.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
33derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$152,453derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$60.9M60%
  • High-net-worth individuals$40.5M40%
Individual clients
108reported
HNW clients
22reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
665reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Allan Richard Brown · Ownercontrol
        since 01/2020 · owns 25% to 50%
      • Sullivan Albert Davis · Owner / Chief Compliance Officercontrol
        since 06/2010 · owns 50% to 75%
      • M Adrianne Gordon · Ownercontrol
        since 01/2022 · owns 10% to 25%
      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 · 237 to 665
        Mar 15, 2022 to Mar 7, 2023
      • HNW clients · 33 to 22
        Mar 15, 2022 to Mar 7, 2023
      • Individual clients · 92 to 108
        Mar 15, 2022 to Mar 7, 2023
      • Employees · 7 to 6
        Mar 15, 2022 to Mar 7, 2023
      • Financial planning clients · 1-10 to 11-25
        Mar 15, 2022 to Mar 7, 2023
      • HNW RAUM · $61.3M to $40.5M
        Mar 15, 2022 to Mar 7, 2023
      • Individual RAUM · $43.6M to $60.9M
        Mar 15, 2022 to Mar 7, 2023
      • Non-discretionary RAUM · $105M to $101M
        Mar 15, 2022 to Mar 7, 2023
      • RAUM · $105M to $101M
        Mar 15, 2022 to Mar 7, 2023
      Signals
      6 dated events
      • Mack Scott Nesbit left Davis Financial Planning for Buckingham Strategic Wealth, Llc (registered 2023-05-05)
        May 5, 2023 · Advisor changed firm · fact
      • Richard Allan Brown left Davis Financial Planning for Buckingham Strategic Wealth, Llc (registered 2023-05-05)
        May 5, 2023 · Advisor changed firm · fact
      • 2 advisors left Davis Financial Planning (Asheville, NC) for Buckingham Strategic Wealth, LLC on the same day
        May 5, 2023 · Team lift-out · derived
      • Louise Anne Mcfarland (Owner) no longer on Schedule A of Davis Financial Planning (listed 2022-03-15, absent 2023-03-07)
        Mar 7, 2023 · Control person left · inference
      • Anne Louise Mcfarland left Davis Financial Planning for Integrated Financial Coaching And Planning (registered 2023-01-30)
        Jan 24, 2023 · Advisor changed firm · fact
      • Davis Financial Planning filed its initial SEC registration (Form ADV)
        Mar 15, 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.
      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
      Former SEC-registered adviserderiveda 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