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
P••••••• W••••• C•••••• I•••
Latest filing Feb 11, 2026
First filing on the tape May 30, 2024 · 3 filings
SEC status approved since Jul 1, 2024
RAUM
$174M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
98%
$171M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$86.8M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$174M as of Feb 11, 2026
Mar 21, 2025$133M then
HNW client RAUM$150M as of Feb 11, 2026
Mar 21, 2025$114M then
State-registered IARs (5.B.3)2 as of Feb 11, 2026
Mar 21, 20252 then
Employees (5.A)2 as of Feb 11, 2026
Mar 21, 20252 then
Private funds: no history
RAUM +31% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 11, 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
- $86.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $534,095derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $16.3M, 13 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
- is an insurance broker or agent (6.A.6)
- 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)
- 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$150M86%
- Individuals$20.9M12%
- Pension and profit-sharing plans$1.4M0.8%
- Charitable organizations$1.3M0.7%
- Individual clients
- 51reported
- HNW clients
- 49reported
- Pension plan clients
- 1reported
- Charitable clients
- 4reported
- Accounts
- 325reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $16.3M for 13 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| L•••••••• L•••• | Durham, Nc | Jul 24, 2014 | 29 y | 6 |
| L••• M•••• G••••••Certified Financial Planner, Chartered Financial Consultant | Durham, Nc | Oct 10, 2014 | 40 y | 4 |
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
- L••• M•••• G•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Oct 10, 2014 · Other
- L•••••••• L•••• from M••••• K••••• • C••••••• L••Jul 24, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• B••••• P••• · Ownercontrolsince 02/2023 · owns 25% to 50%
- G••••••• L•••• M•••• · President / Ccocontrolsince 10/2014 · owns 75% or more
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 · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 307 to 325Mar 21, 2025 to Feb 11, 2026
- HNW clients · 45 to 49Mar 21, 2025 to Feb 11, 2026
- Individual clients · 45 to 51Mar 21, 2025 to Feb 11, 2026
- Assets in custody · $3.1M to $16.3MMar 21, 2025 to Feb 11, 2026
- Financial planning clients · 1-10 to 11-25Mar 21, 2025 to Feb 11, 2026
- Discretionary RAUM · $119M to $161MMar 21, 2025 to Feb 11, 2026
- HNW RAUM · $114M to $150MMar 21, 2025 to Feb 11, 2026
- Individual RAUM · $16.6M to $20.9MMar 21, 2025 to Feb 11, 2026
- Non-discretionary RAUM · $13.7M to $12.5MMar 21, 2025 to Feb 11, 2026
- Pension RAUM · $1.2M to $1.4MMar 21, 2025 to Feb 11, 2026
- RAUM · $133M to $174MMar 21, 2025 to Feb 11, 2026
- Accounts · 302 to 307May 30, 2024 to Mar 21, 2025
- Charity clients · 2 to 4May 30, 2024 to Mar 21, 2025
- HNW clients · 40 to 45May 30, 2024 to Mar 21, 2025
- Individual clients · 51 to 45May 30, 2024 to Mar 21, 2025
- Assets in custody · unset to 3074046.0May 30, 2024 to Mar 21, 2025
- Custody of client assets · false to trueMay 30, 2024 to Mar 21, 2025
- Financial planning clients · 1-10 to 1-10May 30, 2024 to Mar 21, 2025
- Discretionary RAUM · $108M to $119MMay 30, 2024 to Mar 21, 2025
- HNW RAUM · $98.9M to $114MMay 30, 2024 to Mar 21, 2025
- Individual RAUM · $26.7M to $16.6MMay 30, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $21.0M to $13.7MMay 30, 2024 to Mar 21, 2025
- Pension RAUM · $999,233 to $1.2MMay 30, 2024 to Mar 21, 2025
- RAUM · $129M to $133MMay 30, 2024 to Mar 21, 2025
Signals
1 dated events
- P••••••• W••••• C•••••• I••• filed its initial SEC registration (Form ADV)May 30, 2024 · 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 email
- concierge@pinaforewealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 919-213-0458reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 919-213-0458reportedpublic record, Form ADV, Feb 11, 2026
- Contact form
- pinaforewealth.com/contactreportedpublished 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
- $86.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026