DFX Intelligence

RIA Intelligence

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SEC-registered adviser

S•••••• A•••••••• L••

Independent wealth managerCRD 283153SEC 801-119419website IAPD

Latest filing Mar 9, 2026

First filing on the tape Aug 10, 2020 · 16 filings

SEC status approved since Sep 9, 2020

RAUM

$400M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

90%

$362M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$200M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

16 filings and snapshots on the tape

RAUM$400M as of Mar 9, 2026

Feb 17, 2021$118M then

HNW client RAUM$261M as of Mar 9, 2026

Feb 17, 2021$95.5M then

State-registered IARs (5.B.3)2 as of Mar 9, 2026

Feb 17, 20212 then

Employees (5.A)2 as of Mar 9, 2026

Feb 17, 20212 then

Private funds: no history

RAUM +22% over the last fiscal year+30% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Mar 9, 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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $200MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 70derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $5.3MderivedHNW RAUM over HNW clients
Average account: $1.0MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +22%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +0.7%derived
Compensation: percentage of assets, hourlyreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, publicationsreportedItem 5.G
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$261M66%
Individuals$101M26%
Corporations and businesses$28.5M7.2%
Pension and profit-sharing plans$2.7M0.7%
Charitable organizations$47,6670.0%

Individual clients: 90reported
HNW clients: 49reported
Pension plan clients: 3reported
Charitable clients: 1reported
Accounts: 398reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, hourlyreported
Class basis: private_client_share=0.9 fund_share=0.0 institutional_share=0.01 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
S••••• J••••• B••••	Durham, Nc	May 9, 2016	10 y	0
D••••• M••••••• T•••	East Brunswick, Nj	Oct 12, 2018	19 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

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B••••• S•••••• J••••• · Managing Member & Chief Compliance Officercontrol
since 03/2016 · 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	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 370 to 398
Mar 5, 2025 to Mar 9, 2026
HNW clients · 50 to 49
Mar 5, 2025 to Mar 9, 2026
Individual clients · 88 to 90
Mar 5, 2025 to Mar 9, 2026
Discretionary RAUM · $329M to $400M
Mar 5, 2025 to Mar 9, 2026
HNW RAUM · $227M to $261M
Mar 5, 2025 to Mar 9, 2026
Individual RAUM · $70.1M to $101M
Mar 5, 2025 to Mar 9, 2026
Pension RAUM · $2.5M to $2.7M
Mar 5, 2025 to Mar 9, 2026
RAUM · $329M to $400M
Mar 5, 2025 to Mar 9, 2026
Accounts · 323 to 370
May 13, 2024 to Mar 5, 2025
Charity clients · 2 to 1
May 13, 2024 to Mar 5, 2025
Corporate clients · 6 to 4
May 13, 2024 to Mar 5, 2025
HNW clients · 51 to 50
May 13, 2024 to Mar 5, 2025
Pension plan clients · 2 to 3
May 13, 2024 to Mar 5, 2025
Financial planning clients · 1-10 to 1-10
May 13, 2024 to Mar 5, 2025
HQ city · unset to
May 13, 2024 to Mar 5, 2025
HQ state · unset to
May 13, 2024 to Mar 5, 2025
Discretionary RAUM · $253M to $329M
May 13, 2024 to Mar 5, 2025
HNW RAUM · $173M to $227M
May 13, 2024 to Mar 5, 2025
Individual RAUM · $56.6M to $70.1M
May 13, 2024 to Mar 5, 2025
Pension RAUM · $4.6M to $2.5M
May 13, 2024 to Mar 5, 2025
RAUM · $253M to $329M
May 13, 2024 to Mar 5, 2025
Accounts · 270 to 323
Feb 2, 2023 to Jan 30, 2024
Corporate clients · 5 to 6
Feb 2, 2023 to Jan 30, 2024
HNW clients · 49 to 51
Feb 2, 2023 to Jan 30, 2024
Individual clients · 73 to 88
Feb 2, 2023 to Jan 30, 2024
Discretionary RAUM · $183M to $253M
Feb 2, 2023 to Jan 30, 2024
HNW RAUM · $136M to $173M
Feb 2, 2023 to Jan 30, 2024
Individual RAUM · $34.2M to $56.6M
Feb 2, 2023 to Jan 30, 2024
Pension RAUM · $3.9M to $4.6M
Feb 2, 2023 to Jan 30, 2024
RAUM · $183M to $253M
Feb 2, 2023 to Jan 30, 2024
Accounts · 211 to 270
Feb 17, 2022 to Jan 27, 2023
HNW clients · 47 to 49
Feb 17, 2022 to Jan 27, 2023
Individual clients · 62 to 73
Feb 17, 2022 to Jan 27, 2023
Pension plan clients · 1 to 2
Feb 17, 2022 to Jan 27, 2023
HQ city · CHAPEL HILL to unset
Feb 17, 2022 to Jan 27, 2023
HQ state · NC to unset
Feb 17, 2022 to Jan 27, 2023
Discretionary RAUM · $177M to $183M
Feb 17, 2022 to Jan 27, 2023
HNW RAUM · $141M to $136M
Feb 17, 2022 to Jan 27, 2023
Individual RAUM · $26.1M to $34.2M
Feb 17, 2022 to Jan 27, 2023
Pension RAUM · $2.8M to $3.9M
Feb 17, 2022 to Jan 27, 2023

Signals

1 dated events

S•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
Aug 10, 2020 · 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: S••••••.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: (919) 251-9270reportedpublic record, Form ADV, Mar 9, 2026
Team page: s••••••.comreportedpublished 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: $200Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026