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J••••• A•••• I••••••••• L••

STATE REGISTEREDFormer SEC adviser· Mooresville, North Carolinawebsite

STATE REGISTERED, based in Mooresville, North Carolina, reporting $85.2M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$85.2M
Form ADV
Private clients
99%
of RAUM, $83.9M
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 164119 · 1 filingShow
CRD 164119First filing on the tape Mar 6, 2026, latest Mar 6, 2026IAPD
RAUM
$85.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$83.9M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape

Filed figures over time

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Mar 6, 2026; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
$42.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
65derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.3MderivedHNW RAUM over HNW clients
Average account
$265,277derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
0.7derived3 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
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing

67% high-net-worth individuals, 32% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow
  • High-net-worth individuals$56.9M67%
  • Individuals$27.0M32%
  • Corporations and businesses$1.3M1.5%
Individual clients
112reported
HNW clients
17reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
321reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
on the IAPD state feed, not SEC-registeredderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      2 on IAPD today; the longest tenured first
      NameBranchHere sinceIn industryPrior firms
      J••••• T••••• A••••Catawba, Nc Jun 25, 201221 y0
      I•••• N•••••••••Mooresville, Nc Nov 20, 202417 y0
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      No Schedule A on the extract for this adviser.
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Mooresville, Nc · principal200
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      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
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 6, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 6, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 15, 2026Show
      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
      STATE REGISTEREDderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 15, 2026