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
A•• A•••••••
Legal name A•• A•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Sep 26, 2014 · 26 filings
SEC status approved since Oct 15, 2014
RAUM
$499M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$482M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$125M
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$499M as of Mar 30, 2026
Feb 9, 2015$109M then
HNW client RAUM$336M as of Mar 30, 2026
Mar 12, 2018$66.5M then
State-registered IARs (5.B.3)4 as of Mar 30, 2026
Feb 9, 20153 then
Employees (5.A)10 as of Mar 30, 2026
Feb 9, 20157 then
Private funds: no history
RAUM +15% over the last fiscal year+17% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Mar 30, 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
- $125MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 105derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $458,104derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.7%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $38.0M, 57 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)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$336M67%
- Individuals$146M29%
- Corporations and businesses$15.7M3.1%
- Charitable organizations$993,6110.2%
- Pension and profit-sharing plans$596,8660.1%
- Individual clients
- 292reported
- HNW clients
- 128reported
- Pension plan clients
- 1reported
- Charitable clients
- 2reported
- Accounts
- 1,089reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $38.0M for 57 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• W••••• J••••••Certified Financial Planner | Mt. Pleasant, Sc | Nov 19, 2014 | 24 y | 4 |
| D•••••• B•••• E••••••Certified Financial Planner | Asheville, Nc | Nov 19, 2014 | 32 y | 2 |
| P•••••• J••••••• L•••• | Asheville, Nc | Sep 18, 2015 | 25 y | 1 |
| M••••• R••• H••• | Asheville, Nc | Mar 17, 2026 | 16 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
- D••• D••••••• to F••••••••• I••••••••• A••••••• L••Oct 21, 2024 · RIA to RIA
Joined, latest
- D••• D••••••• from P•••• S••••••••• L••Mar 20, 2024 · Affiliated broker-dealer or bank to independent RIA
- P•••••• J••••••• L•••• from V•••• F•••••••• A•••••••• I•••Sep 18, 2015 · Other
- R•••• W••••• J•••••• from L•• F•••••••• L••Nov 19, 2014 · Other
- D•••••• B•••• E•••••• from L•• F•••••••• L••Nov 19, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••••• D••••••• B•••• · Managing Membercontrolsince 10/2014 · owns 75% or more
- E••••••• J•••••••• R•••• · Chief Compliance Officercontrolsince 10/2014 · owns less than 5%
- J••••••• R••••• W••••• · Managing Membercontrolsince 10/2014 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Asheville, Nc · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Mount Pleasant, SC1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,027 to 1,089Nov 20, 2025 to Mar 30, 2026
- Advisory employees · 3 to 4Nov 20, 2025 to Mar 30, 2026
- Corporate clients · 4 to 5Nov 20, 2025 to Mar 30, 2026
- HNW clients · 127 to 128Nov 20, 2025 to Mar 30, 2026
- Individual clients · 274 to 292Nov 20, 2025 to Mar 30, 2026
- Pension plan clients · 2 to 1Nov 20, 2025 to Mar 30, 2026
- Assets in custody · $55.5M to $38.0MNov 20, 2025 to Mar 30, 2026
- Employees · 9 to 10Nov 20, 2025 to Mar 30, 2026
- State-registered IARs · 3 to 4Nov 20, 2025 to Mar 30, 2026
- Discretionary RAUM · $434M to $499MNov 20, 2025 to Mar 30, 2026
- HNW RAUM · $300M to $336MNov 20, 2025 to Mar 30, 2026
- Individual RAUM · $117M to $146MNov 20, 2025 to Mar 30, 2026
- Pension RAUM · $2.7M to $596,866Nov 20, 2025 to Mar 30, 2026
- RAUM · $434M to $499MNov 20, 2025 to Mar 30, 2026
- Accounts · 974 to 1,027Nov 18, 2024 to Mar 26, 2025
- Advisory employees · 4 to 3Nov 18, 2024 to Mar 26, 2025
- Advisory activities · 3 to 4Nov 18, 2024 to Mar 26, 2025
- HNW clients · 124 to 127Nov 18, 2024 to Mar 26, 2025
- Individual clients · 263 to 274Nov 18, 2024 to Mar 26, 2025
- Assets in custody · $13.3M to $55.5MNov 18, 2024 to Mar 26, 2025
- Employees · 8 to 9Nov 18, 2024 to Mar 26, 2025
- Financial planning clients · 11-25 to 26-50Nov 18, 2024 to Mar 26, 2025
- State-registered IARs · 4 to 3Nov 18, 2024 to Mar 26, 2025
- Other offices · 2 to 1Nov 18, 2024 to Mar 26, 2025
- Discretionary RAUM · $374M to $434MNov 18, 2024 to Mar 26, 2025
- HNW RAUM · $258M to $300MNov 18, 2024 to Mar 26, 2025
- Individual RAUM · $101M to $117MNov 18, 2024 to Mar 26, 2025
- Pension RAUM · $2.4M to $2.7MNov 18, 2024 to Mar 26, 2025
- RAUM · $374M to $434MNov 18, 2024 to Mar 26, 2025
- Advisory employees · 6 to 4Mar 26, 2024 to Nov 18, 2024
- Employees · 10 to 8Mar 26, 2024 to Nov 18, 2024
- State-registered IARs · 5 to 4Mar 26, 2024 to Nov 18, 2024
- Accounts · 920 to 974Dec 8, 2023 to Mar 26, 2024
- BD registered reps · 2 to 0Dec 8, 2023 to Mar 26, 2024
- Charity clients · 4 to 2Dec 8, 2023 to Mar 26, 2024
- Corporate clients · 5 to 4Dec 8, 2023 to Mar 26, 2024
- HNW clients · 129 to 124Dec 8, 2023 to Mar 26, 2024
- Individual clients · 257 to 263Dec 8, 2023 to Mar 26, 2024
- Pension plan clients · 4 to 2Dec 8, 2023 to Mar 26, 2024
- Assets in custody · $15.4M to $13.3MDec 8, 2023 to Mar 26, 2024
Signals
2 dated events
- D••• D••••••• left A•• A••••••• for F••••••••• I••••••••• A••••••• L•• (registered 2025-02-07)Oct 21, 2024 · Advisor changed firm · fact
- A•• A••••••• filed its initial SEC registration (Form ADV)Sep 26, 2014 · 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
- jennifer@act-advisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jerri@act-advisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- nate@act-advisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- nicolette@act-advisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- pat@act-advisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- rachel@act-advisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- ruth@act-advisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- sylvia@act-advisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- wes@act-advisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 828-398-2801reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 828-398-2802reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 843-266-2622reportedpublished 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
- $125Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026