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
D•••• C•••••• A•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Apr 8, 2024 · 5 filings
SEC status approved since May 9, 2024
RAUM
$179M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$179M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$89.6M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$179M as of Mar 30, 2026
Jan 8, 2025$127M then
HNW client RAUM$161M as of Mar 30, 2026
Jan 8, 2025$108M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Jan 8, 20252 then
Employees (5.A)4 as of Mar 30, 2026
Jan 8, 20254 then
Private funds: no history
RAUM +23% over the last fiscal yearIARs 2 to 2
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
- $89.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $506,067derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $1.2MreportedItem 5.I
- Custody
- $17.7M, 6 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$161M90%
- Individuals$18.4M10%
- Individual clients
- 39reported
- HNW clients
- 44reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 354reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $1.2M sponsored, $0 managedreported
- Custody of client assets
- $17.7M for 6 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 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 |
|---|---|---|---|---|
| B••••••• T•••••• D••••Certified Financial Planner | Charlotte, Nc | Jul 7, 2015 | 12 y | 1 |
| M•••••• E••••• F•••••Certified Financial Planner, Chartered Financial Analyst | Charlotte, Nc | Nov 4, 2021 | 14 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
- B••••••• T•••••• D•••• from D••••••• C••••••Jul 7, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• B•••••••• T•••••• · President, Chief Compliance Officercontrolsince 06/2015 · 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 |
|---|---|---|---|---|---|
| Charlotte, Nc · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 30, 2026wrap fee program participation (Item 5.I): no on the filing of 2025-03-26, yes on the filing of 2026-03-30peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 321 to 354Mar 26, 2025 to Mar 30, 2026
- HNW clients · 37 to 44Mar 26, 2025 to Mar 30, 2026
- Individual clients · 37 to 39Mar 26, 2025 to Mar 30, 2026
- Assets in custody · $13.2M to $17.7MMar 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $146M to $179MMar 26, 2025 to Mar 30, 2026
- HNW RAUM · $128M to $161MMar 26, 2025 to Mar 30, 2026
- Individual RAUM · $17.7M to $18.4MMar 26, 2025 to Mar 30, 2026
- RAUM · $146M to $179MMar 26, 2025 to Mar 30, 2026
- Wrap assets (manager) · unset to 0.0Mar 26, 2025 to Mar 30, 2026
- Wrap assets (sponsor) · unset to 1247796.0Mar 26, 2025 to Mar 30, 2026
- Accounts · 294 to 321Jan 8, 2025 to Mar 26, 2025
- HNW clients · 30 to 37Jan 8, 2025 to Mar 26, 2025
- Individual clients · 38 to 37Jan 8, 2025 to Mar 26, 2025
- Assets in custody · $14.3M to $13.2MJan 8, 2025 to Mar 26, 2025
- Financial planning clients · 0 to 0Jan 8, 2025 to Mar 26, 2025
- Organization form · Corporation to Limited Liability CompanyJan 8, 2025 to Mar 26, 2025
- Discretionary RAUM · $127M to $146MJan 8, 2025 to Mar 26, 2025
- HNW RAUM · $108M to $128MJan 8, 2025 to Mar 26, 2025
- Individual RAUM · $19.1M to $17.7MJan 8, 2025 to Mar 26, 2025
- RAUM · $127M to $146MJan 8, 2025 to Mar 26, 2025
- Succession · true to falseJan 8, 2025 to Mar 26, 2025
- Business name · D•••• C•••••• A•••••••• I••• to D•••• C•••••• A•••••••• L••Jul 10, 2024 to Jan 8, 2025
- Legal name · D•••• C•••••• A•••••••• I••• to D•••• C•••••• A•••••••• L••Jul 10, 2024 to Jan 8, 2025
- Succession · false to trueJul 10, 2024 to Jan 8, 2025
Signals
2 dated events
- D•••• C•••••• A•••••••• L•• reported succeeding to the business of Dolan Family, Inc. (Form ADV Item 4)Jan 8, 2025 · Succession (Item 4) · fact
- D•••• C•••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Apr 8, 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
- mailtolinfo@dolanca.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 704-887-4969reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/6619948reportedpublic record, Form ADV, Sep 18, 2026
- Website
- D••••CA.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (704) 887-4969reportedpublic record, Form ADV, Mar 30, 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
- $89.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026