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.
SEC-registered adviser
Colony Family Offices, LLC
Latest filing Aug 10, 2026
First filing on the tape Mar 12, 2013 · 34 filings
SEC status approved since Mar 19, 2013
RAUM
$3.4B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
96%
$3.2B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$480M
derived; firm RAUM over IAPD count
Employees
16
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$3.4B as of Aug 10, 2026
Mar 28, 2014$555M then
HNW client RAUM$3.2B as of Aug 10, 2026
Mar 29, 2018$1.3B then
State-registered IARs (5.B.3)7 as of Aug 10, 2026
Mar 28, 20143 then
Employees (5.A)16 as of Aug 10, 2026
Mar 28, 20146 then
Private funds: no history
RAUM +12% over the last fiscal year+15% a year over threeIARs 6 to 7
Practice profile
derived from the filing of Aug 10, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $480MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 90derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.1MderivedHNW RAUM over HNW clients
- Average account
- $3.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 2.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $3.4B, 656 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)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$3.2B96%
- Charitable organizations$139M4.1%
- Individual clients
- 0reported
- HNW clients
- 631reported
- Pension plan clients
- 0reported
- Charitable clients
- 25reported
- Accounts
- 1,048reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.4B for 656 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Wyman Thomas Byrd | Chapel Hill, Nc | Jun 5, 2013 | 15 y | 1 |
| Eric Dean RidenourCertified Financial Planner, Personal Financial Specialist | Charlotte, Nc | Sep 16, 2013 | 28 y | 3 |
| Christopher Shannon Elliotte | Charlotte, Nc | Aug 25, 2014 | 17 y | 2 |
| Peter Lindsey JespersenChartered Financial Analyst | Charlotte, Nc | Oct 15, 2015 | 16 y | 1 |
| Kristin N LewisCertified Financial Planner | Charlotte, Nc | Feb 3, 2020 | 15 y | 1 |
| David Alan Worley | Charlotte, Nc | Apr 25, 2022 | 10 y | 0 |
| Clare Marie Lawrence | Charlotte, Nc | May 22, 2026 | 15 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
- Kristin N Lewis from Queens Oak AdvisorsFeb 3, 2020 · RIA to RIA
- Peter Lindsey Jespersen from Queens Oak AdvisorsOct 15, 2015 · Other
- Christopher Shannon Elliotte from Arlington Partners LLCAug 25, 2014 · Other
- Eric Dean Ridenour from Genspring Charleston, LLCSep 16, 2013 · Other
- Wyman Thomas Byrd from Gfo Advisory Services, LLCJun 5, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Thomas Wyman Byrd · Chief Investment Strategistcontrolsince 05/2013 · owns 10% to 25%
- Dean Eric Ridenour · Managing Director / Chief Compliance Officercontrolsince 08/2013 · owns 25% to 50%
- Annette Susan Bridges · Membersince 12/2013 · owns 10% to 25%
- William Scott Schattenfield · Trusteesince 11/2020 · owns 25% to 50%
Entity owners
- Ridenour 2020 Irrevocable Trust · Ownerdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- Colony Trust Company, LLCn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Charlotte, Nc · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Chapel Hill, NC1 employees
- Nashville, TN
What changed
consecutive filings, newest first
- Accounts · 989 to 1,048Mar 18, 2025 to Feb 25, 2026
- Charity clients · 27 to 25Mar 18, 2025 to Feb 25, 2026
- HNW clients · 560 to 631Mar 18, 2025 to Feb 25, 2026
- Assets in custody · $3.0B to $3.4BMar 18, 2025 to Feb 25, 2026
- Employees · 15 to 16Mar 18, 2025 to Feb 25, 2026
- State-registered IARs · 6 to 7Mar 18, 2025 to Feb 25, 2026
- Discretionary RAUM · $2.9B to $3.3BMar 18, 2025 to Feb 25, 2026
- HNW RAUM · $2.9B to $3.2BMar 18, 2025 to Feb 25, 2026
- Non-discretionary RAUM · $58.6M to $46.3MMar 18, 2025 to Feb 25, 2026
- RAUM · $3.0B to $3.4BMar 18, 2025 to Feb 25, 2026
- Accounts · 559 to 989Aug 23, 2024 to Mar 18, 2025
- Charity clients · 21 to 27Aug 23, 2024 to Mar 18, 2025
- HNW clients · 460 to 560Aug 23, 2024 to Mar 18, 2025
- Assets in custody · $2.6B to $3.0BAug 23, 2024 to Mar 18, 2025
- Employees · 14 to 15Aug 23, 2024 to Mar 18, 2025
- Financial planning clients · 251-500 to More than 500Aug 23, 2024 to Mar 18, 2025
- State-registered IARs · 5 to 6Aug 23, 2024 to Mar 18, 2025
- Discretionary RAUM · $2.5B to $2.9BAug 23, 2024 to Mar 18, 2025
- HNW RAUM · $2.5B to $2.9BAug 23, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $53.2M to $58.6MAug 23, 2024 to Mar 18, 2025
- RAUM · $2.6B to $3.0BAug 23, 2024 to Mar 18, 2025
- Accounts · 547 to 559Jan 2, 2024 to Mar 13, 2024
- Charity clients · 16 to 21Jan 2, 2024 to Mar 13, 2024
- Assets in custody · $2.2B to $2.6BJan 2, 2024 to Mar 13, 2024
- Employees · 13 to 14Jan 2, 2024 to Mar 13, 2024
- Discretionary RAUM · $2.2B to $2.5BJan 2, 2024 to Mar 13, 2024
- HNW RAUM · $2.1B to $2.5BJan 2, 2024 to Mar 13, 2024
- Non-discretionary RAUM · $32.1M to $53.2MJan 2, 2024 to Mar 13, 2024
- RAUM · $2.2B to $2.6BJan 2, 2024 to Mar 13, 2024
- Accounts · 269 to 547Oct 28, 2022 to Mar 29, 2023
- Charity clients · 17 to 16Oct 28, 2022 to Mar 29, 2023
- HNW clients · 195 to 460Oct 28, 2022 to Mar 29, 2023
- Assets in custody · $2.4B to $2.2BOct 28, 2022 to Mar 29, 2023
- Employees · 12 to 13Oct 28, 2022 to Mar 29, 2023
- Financial planning clients · 101-250 to 251-500Oct 28, 2022 to Mar 29, 2023
- State-registered IARs · 4 to 5Oct 28, 2022 to Mar 29, 2023
- Discretionary RAUM · $2.3B to $2.2BOct 28, 2022 to Mar 29, 2023
- HNW RAUM · $2.2B to $2.1BOct 28, 2022 to Mar 29, 2023
- Individual RAUM · unset to 0.0Oct 28, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $39.0M to $32.1MOct 28, 2022 to Mar 29, 2023
Signals
2 dated events
- Katherine Sarah Brock (Chief Compliance Officer) no longer on Schedule A of Colony Family Offices, Llc (listed 2023-03-29, absent 2024-01-02)Jan 2, 2024 · Control person left · inference
- Colony Family Offices, Llc filed its initial SEC registration (Form ADV)Mar 12, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Colony Family Offices, LLC · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 615-701-3391reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 704-285-7300reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/colony-family-officesreportedpublic record, Form ADV, Sep 18, 2026
- Website
- COLONYFAMILYOFFICES.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 704-285-7300reportedpublic record, Form ADV, Aug 10, 2026
- Team page
- colonyfamilyoffices.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $480Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026