DFX Intelligence
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Z•••• F•••••••• A•••••••• L••
Independent wealth manager, based in Greensboro, North Carolina, reporting $520M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $520M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +17%
- Private clients
- 82% of RAUM, $427M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $444MRAUM now $520M
- Contact points 2
Every filed figure, and the identifiersCRD 173129 · SEC 801-80364 · 59 filingsShowHide
CRD 173129SEC 801-80364First filing on the tape Sep 16, 2014, latest Feb 23, 2026SEC status approved since Sep 24, 2014IAPD
RAUM
$520M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
82%
$427M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$260M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
59 filings and snapshots on the tape
RAUM$520M as of Feb 23, 2026
Mar 9, 2015$142M then
HNW client RAUM$395M as of Feb 23, 2026
Jan 23, 2018$122M then
State-registered IARs (5.B.3)2 as of Feb 23, 2026
Mar 9, 20150 then
Employees (5.A)3 as of Feb 23, 2026
Mar 9, 20152 then
Private funds: no history
RAUM +17% over the last fiscal year+25% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 23, 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
- RAUM per advisor
- $260MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.2MderivedHNW RAUM over HNW clients
- Average account
- $687,757derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $64.8M, 70 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$395M76%
- Corporations and businesses$93.2M18%
- Individuals$31.2M6.0%
- Banks and thrifts$32,3740.0%
- Individual clients
- 90reported
- HNW clients
- 64reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 756reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $64.8M for 70 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.82 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 |
|---|---|---|---|---|
| A•• B••••••• Z••••Certified Financial Planner, Chartered Financial Analyst | Greensboro, Nc | Dec 16, 2014 | 21 y | 1 |
| L••• Z•••• T••••••• | Atlanta, Ga | Sep 25, 2018 | 10 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
- A••••••• M•••• M••••••• to L•• F•••••••• L••Jun 19, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- A•• B••••••• Z•••• from L•• F•••••••• L••Dec 16, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Z••••• A••• B••••••• · Managing Member, Chief Compliance Officercontrolsince 09/2014 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 754 to 756Jan 13, 2026 to Feb 23, 2026
- Advisory employees · 1 to 2Jan 13, 2026 to Feb 23, 2026
- Individual clients · 91 to 90Jan 13, 2026 to Feb 23, 2026
- Assets in custody · $66.3M to $64.8MJan 13, 2026 to Feb 23, 2026
- Employees · 2 to 3Jan 13, 2026 to Feb 23, 2026
- State-registered IARs · 1 to 2Jan 13, 2026 to Feb 23, 2026
- Discretionary RAUM · $504M to $520MJan 13, 2026 to Feb 23, 2026
- HNW RAUM · $380M to $395MJan 13, 2026 to Feb 23, 2026
- Individual RAUM · $30.7M to $31.2MJan 13, 2026 to Feb 23, 2026
- RAUM · $504M to $520MJan 13, 2026 to Feb 23, 2026
- Accounts · 730 to 754Oct 27, 2025 to Jan 13, 2026
- Corporate clients · 9 to 10Oct 27, 2025 to Jan 13, 2026
- HNW clients · 55 to 64Oct 27, 2025 to Jan 13, 2026
- Individual clients · 86 to 91Oct 27, 2025 to Jan 13, 2026
- Assets in custody · $49.0M to $66.3MOct 27, 2025 to Jan 13, 2026
- Employees · 3 to 2Oct 27, 2025 to Jan 13, 2026
- Financial planning clients · 51-100 to 101-250Oct 27, 2025 to Jan 13, 2026
- State-registered IARs · 2 to 1Oct 27, 2025 to Jan 13, 2026
- Discretionary RAUM · $444M to $504MOct 27, 2025 to Jan 13, 2026
- HNW RAUM · $340M to $380MOct 27, 2025 to Jan 13, 2026
- Individual RAUM · $25.5M to $30.7MOct 27, 2025 to Jan 13, 2026
- RAUM · $444M to $504MOct 27, 2025 to Jan 13, 2026
- Financial planning clients · 51-100 to 51-100Mar 6, 2025 to Jun 26, 2025
- Accounts · 722 to 730Jun 19, 2024 to Mar 6, 2025
- Corporate clients · 8 to 9Jun 19, 2024 to Mar 6, 2025
- HNW clients · 52 to 55Jun 19, 2024 to Mar 6, 2025
- Individual clients · 93 to 86Jun 19, 2024 to Mar 6, 2025
- Assets in custody · $218M to $49.0MJun 19, 2024 to Mar 6, 2025
- Employees · 2 to 3Jun 19, 2024 to Mar 6, 2025
- Financial planning clients · 101-250 to 51-100Jun 19, 2024 to Mar 6, 2025
- State-registered IARs · 1 to 2Jun 19, 2024 to Mar 6, 2025
- Discretionary RAUM · $425M to $444MJun 19, 2024 to Mar 6, 2025
- HNW RAUM · $322M to $340MJun 19, 2024 to Mar 6, 2025
- Individual RAUM · $28.6M to $25.5MJun 19, 2024 to Mar 6, 2025
- RAUM · $425M to $444MJun 19, 2024 to Mar 6, 2025
- Financial planning clients · 1-10 to 101-250May 15, 2024 to Jun 19, 2024
- Accounts · 721 to 722Feb 13, 2024 to May 15, 2024
- Advisory employees · 0 to 1Feb 13, 2024 to May 15, 2024
- Corporate clients · 9 to 8Feb 13, 2024 to May 15, 2024
- HNW clients · 53 to 52Feb 13, 2024 to May 15, 2024
Signals
2 dated events
- ••• LockedMay 15, 2024 · RAUM change · derived
- ••• LockedSep 16, 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
- Website
- ••• Lockedreportedpublic record, Form ADV, Feb 23, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Feb 23, 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
- $260Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026