DFX Intelligence
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D••••••••• P•••••••• S•••••••• L••
Independent wealth manager, reporting $231M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $231M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +19%
- Private clients
- 87% of RAUM, $201M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $195MRAUM now $231M
- Contact points 3
Every filed figure, and the identifiersCRD 160072 · SEC 801-74471 · 28 filingsShowHide
CRD 160072SEC 801-74471First filing on the tape Feb 29, 2012, latest Feb 10, 2026SEC status approved since Mar 27, 2012IAPD
RAUM
$231M
reported, Item 5.F
Discretionary
14%
of RAUM
Private clients
87%
$201M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$231M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$231M as of Feb 10, 2026
Feb 21, 2013$72.2M then
HNW client RAUM$193M as of Feb 10, 2026
Feb 9, 2018$82.4M then
State-registered IARs (5.B.3)1 as of Feb 10, 2026
Feb 21, 20131 then
Employees (5.A)1 as of Feb 10, 2026
Feb 21, 20131 then
Private funds: no history
RAUM +19% over the last fiscal year+17% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $231MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.8MderivedHNW RAUM over HNW clients
- Average account
- $3.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 14%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.5%derived
- Compensation
- percentage of assetsreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$193M84%
- Pension and profit-sharing plans$29.7M13%
- Individuals$8.1M3.5%
- Individual clients
- 25reported
- HNW clients
- 33reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 59reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••••• S•••••••• | Leland, Nc | Dec 21, 2021 | 29 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• P•••••• ••••• · Managing Member/Chief Compliance Officercontrolsince 12/2011 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Leland, NC1 employees
What changed
consecutive filings, newest first
- Accounts · 56 to 59Sep 4, 2025 to Feb 10, 2026
- HNW clients · 32 to 33Sep 4, 2025 to Feb 10, 2026
- Individual clients · 23 to 25Sep 4, 2025 to Feb 10, 2026
- Discretionary RAUM · $28.4M to $31.9MSep 4, 2025 to Feb 10, 2026
- HNW RAUM · $157M to $193MSep 4, 2025 to Feb 10, 2026
- Individual RAUM · $11.1M to $8.1MSep 4, 2025 to Feb 10, 2026
- Non-discretionary RAUM · $166M to $199MSep 4, 2025 to Feb 10, 2026
- Pension RAUM · $26.5M to $29.7MSep 4, 2025 to Feb 10, 2026
- RAUM · $195M to $231MSep 4, 2025 to Feb 10, 2026
- Accounts · 55 to 56Feb 23, 2024 to Feb 19, 2025
- HNW clients · 27 to 32Feb 23, 2024 to Feb 19, 2025
- Individual clients · 27 to 23Feb 23, 2024 to Feb 19, 2025
- Financial planning clients · 51-100 to 51-100Feb 23, 2024 to Feb 19, 2025
- HQ city · unset to Feb 23, 2024 to Feb 19, 2025
- HQ state · unset to Feb 23, 2024 to Feb 19, 2025
- Discretionary RAUM · $24.5M to $28.4MFeb 23, 2024 to Feb 19, 2025
- HNW RAUM · $137M to $157MFeb 23, 2024 to Feb 19, 2025
- Individual RAUM · $10.1M to $11.1MFeb 23, 2024 to Feb 19, 2025
- Non-discretionary RAUM · $146M to $166MFeb 23, 2024 to Feb 19, 2025
- Pension RAUM · $23.3M to $26.5MFeb 23, 2024 to Feb 19, 2025
- RAUM · $171M to $195MFeb 23, 2024 to Feb 19, 2025
- Accounts · 53 to 55Jun 29, 2023 to Feb 23, 2024
- HNW clients · 29 to 27Jun 29, 2023 to Feb 23, 2024
- Individual clients · 23 to 27Jun 29, 2023 to Feb 23, 2024
- Discretionary RAUM · $20.8M to $24.5MJun 29, 2023 to Feb 23, 2024
- HNW RAUM · $117M to $137MJun 29, 2023 to Feb 23, 2024
- Individual RAUM · $9.4M to $10.1MJun 29, 2023 to Feb 23, 2024
- Non-discretionary RAUM · $125M to $146MJun 29, 2023 to Feb 23, 2024
- Pension RAUM · $19.6M to $23.3MJun 29, 2023 to Feb 23, 2024
- RAUM · $146M to $171MJun 29, 2023 to Feb 23, 2024
- Accounts · 233 to 53Mar 1, 2022 to Mar 6, 2023
- HNW clients · 35 to 29Mar 1, 2022 to Mar 6, 2023
- Individual clients · 21 to 23Mar 1, 2022 to Mar 6, 2023
- Discretionary RAUM · $22.2M to $20.8MMar 1, 2022 to Mar 6, 2023
- HNW RAUM · $136M to $117MMar 1, 2022 to Mar 6, 2023
- Individual RAUM · $10.3M to $9.4MMar 1, 2022 to Mar 6, 2023
- Non-discretionary RAUM · $146M to $125MMar 1, 2022 to Mar 6, 2023
- Pension RAUM · $22.2M to $19.6MMar 1, 2022 to Mar 6, 2023
- RAUM · $169M to $146MMar 1, 2022 to Mar 6, 2023
- Accounts · 228 to 233Oct 15, 2021 to Mar 1, 2022
Signals
No event on the tape.
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 phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Feb 10, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Feb 10, 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
- $231Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026