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
S•••••• P••••••• G••••
Legal name S•••••• P••••••• • W••••• M••••••••• L••
Latest filing Mar 2, 2026
First filing on the tape Mar 31, 2020 · 16 filings
SEC status approved since Apr 30, 2020
RAUM
$384M
reported, Item 5.F
Discretionary
52%
of RAUM
Private clients
94%
$360M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$128M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$384M as of Mar 2, 2026
Mar 21, 2021$183M then
HNW client RAUM$313M as of Mar 2, 2026
Mar 21, 2021$134M then
State-registered IARs (5.B.3)4 as of Mar 2, 2026
Mar 21, 20214 then
Employees (5.A)5 as of Mar 2, 2026
Mar 21, 20217 then
Private funds: no history
RAUM +11% over the last fiscal year+14% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $128MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $381,393derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 52%derivedof RAUM
- Institutional
- 6.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$313M82%
- Individuals$46.8M12%
- Pension and profit-sharing plans$23.2M6.0%
- Corporations and businesses$660,9380.2%
- Individual clients
- 108reported
- HNW clients
- 88reported
- Pension plan clients
- 14reported
- Charitable clients
- 0reported
- Accounts
- 1,006reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 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 |
|---|---|---|---|---|
| D•••• C•••••Certified Financial Planner | Greensboro, Nc | Jan 25, 2013 | 16 y | 0 |
| I•• N• R••• | Greensboro, Nc | Sep 30, 2016 | 45 y | 3 |
| R•••••• D••••• | Greensboro, Nc | Dec 18, 2023 | 12 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 headcount1 left over 36 months
Left, latest
- E••• J• W••••• to B•••••••• F•••••••• A•••••••Jan 8, 2025 · RIA to RIA
- B••••• S•••••• to S•••••••• A••••••• P•••••••Jun 14, 2021 · RIA to RIA
Joined, latest
- B••••• S•••••• from P•••• S••••••••• L••Jul 6, 2018 · Affiliated broker-dealer or bank to independent RIA
- I•• N• R••• from U••••• A•••••••Sep 30, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• D•••• · Manager, Chief Executive Officer, Chief Compliance Officercontrolsince 12/2012 · owns 75% or more
- L••••••• B••••••• S•••• · Passive Ownersince 12/2017 · owns less than 5%
- L••••••• D••••• L•• · Passive Ownersince 04/2018 · owns less than 5%
- R•••••••• J•••••••• D•••• · Passive Ownersince 12/2017 · owns less than 5%
- R•••• I••• N• · Senior Advisorsince 07/2015 · owns 10% to 25%
- W•••••• E•••• J• · Advisorsince 07/2021 · 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 |
|---|---|---|---|---|---|
| Greensboro, Nc · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 962 to 1,006Nov 17, 2025 to Mar 2, 2026
- Charity clients · unset to 0.0Nov 17, 2025 to Mar 2, 2026
- Corporate clients · unset to 3.0Nov 17, 2025 to Mar 2, 2026
- HNW clients · 86 to 88Nov 17, 2025 to Mar 2, 2026
- Individual clients · 131 to 108Nov 17, 2025 to Mar 2, 2026
- Pension plan clients · 13 to 14Nov 17, 2025 to Mar 2, 2026
- Pooled vehicle clients · unset to 0.0Nov 17, 2025 to Mar 2, 2026
- Assets in custody · $388,776 to $5.4MNov 17, 2025 to Mar 2, 2026
- Discretionary RAUM · $167M to $199MNov 17, 2025 to Mar 2, 2026
- HNW RAUM · $274M to $313MNov 17, 2025 to Mar 2, 2026
- Individual RAUM · $47.2M to $46.8MNov 17, 2025 to Mar 2, 2026
- Non-discretionary RAUM · $178M to $185MNov 17, 2025 to Mar 2, 2026
- Pension RAUM · $23.7M to $23.2MNov 17, 2025 to Mar 2, 2026
- Pooled vehicle RAUM · unset to 0.0Nov 17, 2025 to Mar 2, 2026
- RAUM · $345M to $384MNov 17, 2025 to Mar 2, 2026
- Financial planning clients · 101-250 to 101-250Mar 4, 2025 to Mar 19, 2025
- Accounts · 892 to 962Oct 18, 2024 to Mar 4, 2025
- HNW clients · 65 to 86Oct 18, 2024 to Mar 4, 2025
- Individual clients · 150 to 131Oct 18, 2024 to Mar 4, 2025
- Assets in custody · $1.5M to $388,776Oct 18, 2024 to Mar 4, 2025
- Discretionary RAUM · $132M to $167MOct 18, 2024 to Mar 4, 2025
- HNW RAUM · $204M to $274MOct 18, 2024 to Mar 4, 2025
- Individual RAUM · $53.0M to $47.2MOct 18, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $147M to $178MOct 18, 2024 to Mar 4, 2025
- Pension RAUM · $23.0M to $23.7MOct 18, 2024 to Mar 4, 2025
- RAUM · $280M to $345MOct 18, 2024 to Mar 4, 2025
- Employees · 7 to 5Apr 9, 2024 to May 22, 2024
- Accounts · 817 to 892Mar 23, 2023 to Mar 25, 2024
- Advisory employees · 3 to 4Mar 23, 2023 to Mar 25, 2024
- Charity clients · 4.0 to unsetMar 23, 2023 to Mar 25, 2024
- HNW clients · 68 to 65Mar 23, 2023 to Mar 25, 2024
- Individual clients · 132 to 150Mar 23, 2023 to Mar 25, 2024
- Pension plan clients · 10 to 13Mar 23, 2023 to Mar 25, 2024
- Assets in custody · $778,204 to $1.5MMar 23, 2023 to Mar 25, 2024
- Employees · 6 to 7Mar 23, 2023 to Mar 25, 2024
- State-registered IARs · 3 to 4Mar 23, 2023 to Mar 25, 2024
- Discretionary RAUM · $112M to $132MMar 23, 2023 to Mar 25, 2024
- HNW RAUM · $189M to $204MMar 23, 2023 to Mar 25, 2024
- Individual RAUM · $51.6M to $53.0MMar 23, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $145M to $147MMar 23, 2023 to Mar 25, 2024
Signals
2 dated events
- E••• J• W••••• left S•••••• P••••••• G•••• for B•••••••• F•••••••• A••••••• (registered 2025-01-07)Jan 8, 2025 · Advisor changed firm · fact
- S•••••• P••••••• G•••• filed its initial SEC registration (Form ADV)Mar 31, 2020 · 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 phone
- 800-371-1292reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/spartan-planning-&-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-371-1292reportedpublic record, Form ADV, Mar 2, 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
- $128Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026