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•••••• W••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Apr 18, 2022 · 7 filings
SEC status approved since May 19, 2022
RAUM
$196M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$195M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$65.4M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$196M as of Mar 30, 2026
Mar 31, 2023$106M then
HNW client RAUM$175M as of Mar 30, 2026
Mar 31, 2023$83.6M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Mar 31, 20233 then
Employees (5.A)3 as of Mar 30, 2026
Mar 31, 20233 then
Private funds: no history
RAUM +30% over the last fiscal year+23% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 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
- RAUM per advisor
- $65.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $302,320derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $110M, 30 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$175M89%
- Individuals$20.4M10%
- Pension and profit-sharing plans$950,2340.5%
- Charitable organizations$26,3770.0%
- Individual clients
- 27reported
- HNW clients
- 76reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 649reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $110M for 30 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=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• J••• S••••••••• | Chapel Hill, Nc | Jul 7, 2011 | 23 y | 4 |
| A•••• Y•••• M••••••••Certified Financial Planner | Chapel Hill, Nc | Feb 4, 2018 | 17 y | 1 |
| A•••••• J••• G•••••••• | Chapel Hill, Nc | Feb 2, 2021 | 17 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
- F••••••• J• S•••• to R•••••• J•••• • A••••••••• I•••Dec 10, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- A•••• Y•••• M•••••••• from G••••••• P••••• P•••••• W••••• M••••••••• L••Feb 4, 2018 · RIA to RIA
- E••• J••• S••••••••• from J••••• C•••••• M••••••••• L••Jul 7, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• E•••• J••• · Manager, Chief Compliance Officer, Membercontrolsince 02/2011 · owns 75% or more
Related persons
Schedule D 7.A
- E••• J• S•••••••••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chapel Hill, Nc · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 30, 2026HNW share of RAUM moved from 69.0% to 89.0% between the annual amendments of 2025-03-31 and 2026-03-30peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 588 to 649Mar 31, 2025 to Mar 30, 2026
- HNW clients · 36 to 76Mar 31, 2025 to Mar 30, 2026
- Individual clients · 58 to 27Mar 31, 2025 to Mar 30, 2026
- Assets in custody · $87.6M to $110MMar 31, 2025 to Mar 30, 2026
- Financial planning clients · 51-100 to 101-250Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $150M to $195MMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $104M to $175MMar 31, 2025 to Mar 30, 2026
- Individual RAUM · $46.0M to $20.4MMar 31, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $1.1M to $1.0MMar 31, 2025 to Mar 30, 2026
- Pension RAUM · $837,188 to $950,234Mar 31, 2025 to Mar 30, 2026
- RAUM · $151M to $196MMar 31, 2025 to Mar 30, 2026
- Charity clients · 11.0 to unsetMay 20, 2024 to Mar 31, 2025
- Corporate clients · unset to 0.0May 20, 2024 to Mar 31, 2025
- HNW clients · 57 to 36May 20, 2024 to Mar 31, 2025
- Individual clients · 28 to 58May 20, 2024 to Mar 31, 2025
- Assets in custody · unset to 87554797.0May 20, 2024 to Mar 31, 2025
- Custody of client assets · false to trueMay 20, 2024 to Mar 31, 2025
- Financial planning clients · 51-100 to 51-100May 20, 2024 to Mar 31, 2025
- Discretionary RAUM · $121M to $150MMay 20, 2024 to Mar 31, 2025
- HNW RAUM · $103M to $104MMay 20, 2024 to Mar 31, 2025
- Individual RAUM · $18.7M to $46.0MMay 20, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $1.2M to $1.1MMay 20, 2024 to Mar 31, 2025
- Pension RAUM · $467,065 to $837,188May 20, 2024 to Mar 31, 2025
- RAUM · $123M to $151MMay 20, 2024 to Mar 31, 2025
- Advisory activities · 4 to 5Mar 27, 2024 to May 20, 2024
- Accounts · 532 to 588Mar 31, 2023 to Mar 27, 2024
- Charity clients · 3 to 11Mar 31, 2023 to Mar 27, 2024
- Corporate clients · 2.0 to unsetMar 31, 2023 to Mar 27, 2024
- HNW clients · 30 to 57Mar 31, 2023 to Mar 27, 2024
- Individual clients · 41 to 28Mar 31, 2023 to Mar 27, 2024
- Pension plan clients · 1.0 to unsetMar 31, 2023 to Mar 27, 2024
- Financial planning clients · 1-10 to 51-100Mar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $106M to $121MMar 31, 2023 to Mar 27, 2024
- HNW RAUM · $83.6M to $103MMar 31, 2023 to Mar 27, 2024
- Individual RAUM · $22.0M to $18.7MMar 31, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $378,839 to $1.2MMar 31, 2023 to Mar 27, 2024
- Pension RAUM · $234,087 to $467,065Mar 31, 2023 to Mar 27, 2024
- RAUM · $106M to $123MMar 31, 2023 to Mar 27, 2024
- Accounts · 446 to 532Apr 18, 2022 to Mar 31, 2023
- Charity clients · 2 to 3Apr 18, 2022 to Mar 31, 2023
Signals
1 dated events
- A•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 18, 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
- info@amphorawealth.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 919-240-6111reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 919-867-5740reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- amphorawealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (919) 240-6111reportedpublic record, Form ADV, Mar 30, 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
- $65.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026