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
C••••••• R••••••••• P•••••••• I•••
Latest filing Jun 2, 2026
First filing on the tape Jun 16, 2025 · 3 filings
SEC status approved since Jun 12, 2025
RAUM
$127M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
77%
$98.0M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$42.5M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$127M as of Jun 2, 2026
Jun 16, 2025$111M then
HNW client RAUM$72.7M as of Jun 2, 2026
Jun 16, 2025$59.7M then
State-registered IARs (5.B.3)3 as of Jun 2, 2026
Jun 16, 20253 then
Employees (5.A)3 as of Jun 2, 2026
Jun 16, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 2, 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
- $42.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $507,631derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 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 assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $32.9M, 56 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$72.7M57%
- Corporations and businesses$29.3M23%
- Individuals$25.2M20%
- Charitable organizations$160,8170.1%
- Pension and profit-sharing plans$38,4690.0%
- Individual clients
- 76reported
- HNW clients
- 25reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 251reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $32.9M for 56 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• A•••••••• Y••••Certified Financial Planner | Durham, Nc | May 9, 2018 | 13 y | 0 |
| A••••• C••••••• | Durham, Nc | Sep 22, 2020 | 11 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
- T••••• R• G••••••• to G••••••• I••••••••• L••Jun 15, 2021 · Other
- H••• E••••• S••••• to G••••••• I••••••••• L••May 25, 2021 · Other
- J•••• C••••••• M••••••• to G••••••• I••••••••• L••Sep 5, 2018 · Other
Joined, latest
- H••• E••••• S••••• from R•••• I••••••••• A••••••• L••Feb 20, 2013 · Other
- D•••••• V••••• A••• from E••••• J••••Feb 19, 2013 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••• D••••••• V••••• · President/Chief Compliance Officercontrolsince 11/2016 · owns 75% or more
- C•••••••• A••••• · Investment Advisor Representative/Chief Investment Officercontrolsince 03/2022 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Durham, Nc | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Jun 2, 2026selection of other advisers (Item 5.G.7): yes on the filing of 2026-03-03, no on the filing of 2026-06-02peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory activities · 4 to 3Mar 3, 2026 to Jun 2, 2026
- Charity clients · unset to 1.0Mar 3, 2026 to Jun 2, 2026
- Corporate clients · unset to 4.0Mar 3, 2026 to Jun 2, 2026
- HNW clients · 26 to 25Mar 3, 2026 to Jun 2, 2026
- Individual clients · 75 to 76Mar 3, 2026 to Jun 2, 2026
- Pension plan clients · unset to 1.0Mar 3, 2026 to Jun 2, 2026
- Discretionary RAUM · $121M to $125MMar 3, 2026 to Jun 2, 2026
- HNW RAUM · $70.1M to $72.7MMar 3, 2026 to Jun 2, 2026
- Individual RAUM · $24.4M to $25.2MMar 3, 2026 to Jun 2, 2026
- Non-discretionary RAUM · $2.0M to $2.0MMar 3, 2026 to Jun 2, 2026
- Pension RAUM · $38,488 to $38,469Mar 3, 2026 to Jun 2, 2026
- RAUM · $123M to $127MMar 3, 2026 to Jun 2, 2026
- Accounts · 231 to 251Jun 16, 2025 to Mar 3, 2026
- HNW clients · 23 to 26Jun 16, 2025 to Mar 3, 2026
- Individual clients · 74 to 75Jun 16, 2025 to Mar 3, 2026
- Assets in custody · $26.7M to $32.9MJun 16, 2025 to Mar 3, 2026
- Discretionary RAUM · $109M to $121MJun 16, 2025 to Mar 3, 2026
- HNW RAUM · $59.7M to $70.1MJun 16, 2025 to Mar 3, 2026
- Individual RAUM · $22.0M to $24.4MJun 16, 2025 to Mar 3, 2026
- Non-discretionary RAUM · $2.3M to $2.0MJun 16, 2025 to Mar 3, 2026
- Pension RAUM · $32,628 to $38,488Jun 16, 2025 to Mar 3, 2026
- RAUM · $111M to $123MJun 16, 2025 to Mar 3, 2026
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
- 919-439-2114reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/cardinal-retirement-planning-increportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••://WWW.PLANWITHC•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 919-439-2114reportedpublic record, Form ADV, Jun 2, 2026
- Contact form
- planwithcardinal.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- planwithcardinal.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- $42.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026