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••••••••• C•••••• A•••••••• L••
Latest filing Mar 10, 2026
First filing on the tape Jan 19, 2015 · 38 filings
SEC status approved since Apr 19, 2016
RAUM
$1.1B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$1.1B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$153M
derived; firm RAUM over IAPD count
Employees
14
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$1.1B as of Mar 10, 2026
Mar 30, 2017$170M then
HNW client RAUM$999M as of Mar 10, 2026
Mar 30, 2018$201M then
State-registered IARs (5.B.3)7 as of Mar 10, 2026
Mar 30, 20175 then
Employees (5.A)14 as of Mar 10, 2026
Mar 30, 20177 then
Private funds: no history
RAUM +17% over the last fiscal year+20% a year over threeIARs 8 to 7
Practice profile
derived from the filing of Mar 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
- RAUM per advisor
- $153MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $390,548derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $422M, 244 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$999M93%
- Individuals$58.5M5.5%
- Charitable organizations$8.2M0.8%
- Pension and profit-sharing plans$6.8M0.6%
- Individual clients
- 170reported
- HNW clients
- 254reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 2,745reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $422M for 244 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| T••••• M•••••• S••••••Chartered Financial Analyst | Charlotte, Nc | Feb 2, 2015 | 21 y | 1 |
| B•••• S•••••• J••••Certified Financial Planner | Charlotte, Nc | Feb 2, 2015 | 24 y | 2 |
| S•••••• P•••••• R••••••••Certified Financial Planner | Charlotte, Nc | Jun 28, 2016 | 24 y | 1 |
| M•••••• S•••••• W•••Certified Financial Planner | Charlotte, Nc | Sep 13, 2017 | 22 y | 1 |
| B•••• P• A•••••••Chartered Financial Analyst | Charlotte, Nc | Mar 29, 2018 | 10 y | 0 |
| D•••• H•••Chartered Financial Analyst | Charlotte, Nc | Oct 17, 2023 | 14 y | 2 |
| B•••• M•••••• H•••Certified Financial Planner | Charlotte, Nc | Feb 25, 2025 | 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 headcount0 left over 36 months
Left, latest
- W• C•••• W•••• to T•••••• A••••••• P•••••••• L••Jun 30, 2023 · RIA to a state-registered adviser
- E••• L• T••••• to R••••••• F•••••••• A•••••••• L••Mar 31, 2020 · RIA to RIA
Joined, latest
- D•••• H••• from J••• M••••• S••••••••• L••Oct 17, 2023 · Wirehouse to independent RIA
- E••• L• T••••• from M••••••• I•••••••••May 17, 2018 · Other
- M•••••• S•••••• W••• from D••••••• I••••••••• A••••••• L••Sep 13, 2017 · Other
- S•••••• P•••••• R•••••••• from N••••••••• M••••• I••••••••• S•••••••••Jun 28, 2016 · Other
- B•••• S•••••• J•••• from W••••••••• W••••• M••••••••• L••Feb 2, 2015 · Other
- T••••• M•••••• S•••••• from W••••••••• W••••• M••••••••• L••Feb 2, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W••••••••• W••••• M••••••••• L••Feb 5, 2015 · Huntersville, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••• B••••• S•••••• · Managing Member And Director Of Financial Planningcontrolsince 01/2015 · owns 25% to 50%
- R••••••••• S••••••• P•••••• · Managing Member And Director Of Financial Planningcontrolsince 07/2016 · owns 25% to 50%
- S••••••• T•••••• M•••••• · Managing Member, Chief Investment And Chief Compliance Officercontrolsince 01/2015 · owns 25% to 50%
- A•••••••• B••••• P• · Membersince 01/2019 · owns less than 5%
- W•••• M••••••• S•••••• · Membersince 01/2019 · owns 5% to 10%
Related persons
Schedule D 7.A
- P•• I•••••••• C••••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Charlotte, Nc · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,494 to 2,745Dec 1, 2025 to Mar 10, 2026
- Advisory employees · 8 to 7Dec 1, 2025 to Mar 10, 2026
- Charity clients · unset to 5.0Dec 1, 2025 to Mar 10, 2026
- HNW clients · 246 to 254Dec 1, 2025 to Mar 10, 2026
- Individual clients · 163 to 170Dec 1, 2025 to Mar 10, 2026
- Pension plan clients · 10.0 to unsetDec 1, 2025 to Mar 10, 2026
- Assets in custody · $534M to $422MDec 1, 2025 to Mar 10, 2026
- Employees · 13 to 14Dec 1, 2025 to Mar 10, 2026
- State-registered IARs · 8 to 7Dec 1, 2025 to Mar 10, 2026
- Discretionary RAUM · $872M to $1.1BDec 1, 2025 to Mar 10, 2026
- HNW RAUM · $833M to $999MDec 1, 2025 to Mar 10, 2026
- Individual RAUM · $49.7M to $58.5MDec 1, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $44.2M to $13.7MDec 1, 2025 to Mar 10, 2026
- Pension RAUM · $30.7M to $6.8MDec 1, 2025 to Mar 10, 2026
- RAUM · $916M to $1.1BDec 1, 2025 to Mar 10, 2026
- Financial planning clients · 0 to 0Mar 10, 2025 to May 14, 2025
- Accounts · 2,244 to 2,494Mar 8, 2024 to Mar 10, 2025
- HNW clients · 225 to 246Mar 8, 2024 to Mar 10, 2025
- Individual clients · 170 to 163Mar 8, 2024 to Mar 10, 2025
- Assets in custody · $466M to $534MMar 8, 2024 to Mar 10, 2025
- Discretionary RAUM · $735M to $872MMar 8, 2024 to Mar 10, 2025
- HNW RAUM · $688M to $833MMar 8, 2024 to Mar 10, 2025
- Individual RAUM · $58.6M to $49.7MMar 8, 2024 to Mar 10, 2025
- Non-discretionary RAUM · $34.8M to $44.2MMar 8, 2024 to Mar 10, 2025
- Pension RAUM · $21.3M to $30.7MMar 8, 2024 to Mar 10, 2025
- RAUM · $770M to $916MMar 8, 2024 to Mar 10, 2025
- Accounts · 2,041 to 2,244Mar 7, 2023 to Mar 8, 2024
- Advisory employees · 9 to 8Mar 7, 2023 to Mar 8, 2024
- HNW clients · 182 to 225Mar 7, 2023 to Mar 8, 2024
- Individual clients · 165 to 170Mar 7, 2023 to Mar 8, 2024
- Pension plan clients · 7 to 10Mar 7, 2023 to Mar 8, 2024
- Assets in custody · $489M to $466MMar 7, 2023 to Mar 8, 2024
- Employees · 14 to 13Mar 7, 2023 to Mar 8, 2024
- State-registered IARs · 9 to 8Mar 7, 2023 to Mar 8, 2024
- Discretionary RAUM · $595M to $735MMar 7, 2023 to Mar 8, 2024
- HNW RAUM · $538M to $688MMar 7, 2023 to Mar 8, 2024
- Individual RAUM · $66.9M to $58.6MMar 7, 2023 to Mar 8, 2024
- Non-discretionary RAUM · $28.7M to $34.8MMar 7, 2023 to Mar 8, 2024
- Pension RAUM · $18.1M to $21.3MMar 7, 2023 to Mar 8, 2024
- RAUM · $623M to $770MMar 7, 2023 to Mar 8, 2024
Signals
3 dated events
- W• C•••• W•••• left P••••••••• C•••••• A•••••••• L•• for T•••••• A••••••• P•••••••• L•• (registered 2023-09-29)Jun 30, 2023 · Advisor changed firm · fact
- P••••••••• C•••••• A•••••••• L•• reported RAUM $681.0M, up 57% from $434.8M (2021-03-11 to 2022-03-14)Mar 14, 2022 · RAUM change · derived
- P••••••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jan 19, 2015 · 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
- 704-215-4420reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 704-817-7213reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/providence-capital-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (704) 215-4420reportedpublic record, Form ADV, Mar 10, 2026
- Team page
- providencecapitaladvisors.com/our-teamreportedpublished 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
- $153Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026