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
R•••••••• W••••• A•••••••• L•••
Latest filing Jul 14, 2026
First filing on the tape Apr 11, 2024 · 7 filings
SEC status approved since May 14, 2024
RAUM
$189M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$188M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$47.3M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$189M as of Jul 14, 2026
Feb 3, 2025$118M then
HNW client RAUM$148M as of Jul 14, 2026
Feb 3, 2025$85.8M then
State-registered IARs (5.B.3)4 as of Jul 14, 2026
Feb 3, 20253 then
Employees (5.A)7 as of Jul 14, 2026
Feb 3, 20254 then
Private funds: no history
RAUM +33% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Jul 14, 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
- RAUM per advisor
- $47.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $266,615derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 0.7derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +33%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $112M, 154 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
- is an insurance broker or agent (6.A.6)
- 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)
- 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$148M78%
- Individuals$39.8M21%
- Charitable organizations$979,9040.5%
- Individual clients
- 128reported
- HNW clients
- 71reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 709reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $112M for 154 clientsreported
- Compensation
- % of AUM, fixed, 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• E•• S•••Certified Financial Planner, Chartered Financial Consultant | Franklin, Tn | Aug 9, 2016 | 27 y | 4 |
| M•••••• F• P••••••Personal Financial Specialist | Raleigh, Nc | Sep 2, 2016 | 36 y | 2 |
| M•••••• J•••• Z••••Certified Financial Planner | Raleigh, Nc | Oct 16, 2022 | 11 y | 0 |
| T••••• M• H••••••• | Raleigh, Nc | Mar 17, 2025 | 11 y | 2 |
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
- M•••••• R••••• M•••• to M•••• W••••• M•••••••••Aug 10, 2021 · RIA to a state-registered adviser
Joined, latest
- T••••• M• H••••••• from N••••••••• M••••• I••••••••• S•••••••••Mar 17, 2025 · Other
- M•••••• F• P•••••• from E••••••• W••••• P•••••••Sep 2, 2016 · Other
- J••••• E•• S••• from E••••••• W••••• P•••••••Aug 9, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from E••••••• W••••• P•••••••Sep 1, 2016 · Franklin, Tn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••• J•••••• E•• · Managing Member/Chief Compliance Officercontrolsince 07/2016 · owns 75% or more
- P••••••• M••••••• F• · Membersince 07/2016 · 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 |
|---|---|---|---|---|---|
| Raleigh, Nc · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 646 to 709Mar 31, 2025 to Mar 23, 2026
- HNW clients · 58 to 71Mar 31, 2025 to Mar 23, 2026
- Individual clients · 118 to 128Mar 31, 2025 to Mar 23, 2026
- Assets in custody · $99.0M to $112MMar 31, 2025 to Mar 23, 2026
- Employees · 5 to 7Mar 31, 2025 to Mar 23, 2026
- Discretionary RAUM · $142M to $189MMar 31, 2025 to Mar 23, 2026
- HNW RAUM · $105M to $148MMar 31, 2025 to Mar 23, 2026
- Individual RAUM · $36.0M to $39.8MMar 31, 2025 to Mar 23, 2026
- RAUM · $142M to $189MMar 31, 2025 to Mar 23, 2026
- Accounts · 171 to 646Feb 3, 2025 to Mar 31, 2025
- Advisory employees · 3 to 4Feb 3, 2025 to Mar 31, 2025
- HNW clients · 55 to 58Feb 3, 2025 to Mar 31, 2025
- Individual clients · 115 to 118Feb 3, 2025 to Mar 31, 2025
- Assets in custody · unset to 98954474.0Feb 3, 2025 to Mar 31, 2025
- Custody of client assets · false to trueFeb 3, 2025 to Mar 31, 2025
- Employees · 4 to 5Feb 3, 2025 to Mar 31, 2025
- Financial planning clients · 0 to 0Feb 3, 2025 to Mar 31, 2025
- State-registered IARs · 3 to 4Feb 3, 2025 to Mar 31, 2025
- Other offices · 1 to 5Feb 3, 2025 to Mar 31, 2025
- Discretionary RAUM · $118M to $142MFeb 3, 2025 to Mar 31, 2025
- HNW RAUM · $85.8M to $105MFeb 3, 2025 to Mar 31, 2025
- Individual RAUM · $31.2M to $36.0MFeb 3, 2025 to Mar 31, 2025
- RAUM · $118M to $142MFeb 3, 2025 to Mar 31, 2025
- Other offices · 0 to 1Apr 11, 2024 to Aug 6, 2024
Signals
1 dated events
- R•••••••• W••••• A•••••••• L••• filed its initial SEC registration (Form ADV)Apr 11, 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 phone
- 919-782-0494reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- ridgelinewealthadvisors.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 919-782-0494reportedpublic record, Form ADV, Jul 14, 2026
- Contact form
- ridgelinewealthadvisors.com/connectreportedpublished by the firm, firm site, Sep 17, 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
- $47.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026