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
A••••• A••••••• L••
Latest filing Aug 14, 2026
First filing on the tape Sep 25, 2017 · 46 filings
SEC status approved since Oct 25, 2017
RAUM
$613M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$613M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$306M
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
46 filings and snapshots on the tape
RAUM$613M as of Aug 14, 2026
Jan 25, 2018$101M then
HNW client RAUM$580M as of Aug 14, 2026
Jan 25, 2018$75.7M then
State-registered IARs (5.B.3)2 as of Aug 14, 2026
Jan 25, 20182 then
Employees (5.A)3 as of Aug 14, 2026
Jan 25, 20182 then
Private funds: no history
RAUM +27% over the last fiscal year+21% a year over threeIARs 2 to 2offices 0 to 1
Practice profile
derived from the filing of Aug 14, 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
- $306MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 102derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $838,472derivedRAUM 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
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.1%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $226M, 103 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$580M95%
- Individuals$32.7M5.3%
- Individual clients
- 75reported
- HNW clients
- 129reported
- Pension plan clients
- 14reported
- Charitable clients
- 0reported
- Accounts
- 731reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $226M for 103 clientsreported
- Compensation
- % of AUM, fixedreported
- 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 |
|---|---|---|---|---|
| D•••• B•••• M••••• | Charlotte, Nc | Nov 30, 2017 | 20 y | 2 |
| M••••• U••• B•••••••• | Pelican Rapids, Mn | Dec 8, 2017 | 11 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
- D•••• B•••• M••••• from M• H••••••• S••••••••• I•••Nov 30, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• D••••• B•••• · Managing Member/Cco/Principalcontrolsince 07/2017 · 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
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 681 to 731Jan 7, 2026 to Feb 27, 2026
- HNW clients · 124 to 129Jan 7, 2026 to Feb 27, 2026
- Individual clients · 72 to 75Jan 7, 2026 to Feb 27, 2026
- Assets in custody · $185M to $226MJan 7, 2026 to Feb 27, 2026
- Discretionary RAUM · $481M to $613MJan 7, 2026 to Feb 27, 2026
- HNW RAUM · $452M to $580MJan 7, 2026 to Feb 27, 2026
- Individual RAUM · $28.9M to $32.7MJan 7, 2026 to Feb 27, 2026
- RAUM · $481M to $613MJan 7, 2026 to Feb 27, 2026
- Other offices · 0 to 1Sep 11, 2025 to Jan 7, 2026
- Financial planning clients · 0 to 0Feb 19, 2025 to Sep 11, 2025
- Individual RAUM · $36.2M to $28.9MJan 23, 2024 to Feb 19, 2025
- RAUM · $401M to $481MJan 23, 2024 to Feb 19, 2025
- Accounts · 671 to 681Jan 23, 2024 to Feb 19, 2025
- HNW clients · 123 to 124Jan 23, 2024 to Feb 19, 2025
- Individual clients · 75 to 72Jan 23, 2024 to Feb 19, 2025
- Assets in custody · $154M to $185MJan 23, 2024 to Feb 19, 2025
- Discretionary RAUM · $401M to $481MJan 23, 2024 to Feb 19, 2025
- HNW RAUM · $365M to $452MJan 23, 2024 to Feb 19, 2025
- Accounts · 626 to 671Jul 5, 2023 to Jan 23, 2024
- HNW clients · 111 to 123Jul 5, 2023 to Jan 23, 2024
- Assets in custody · $99.7M to $154MJul 5, 2023 to Jan 23, 2024
- Discretionary RAUM · $322M to $401MJul 5, 2023 to Jan 23, 2024
- HNW RAUM · $300M to $365MJul 5, 2023 to Jan 23, 2024
- Individual RAUM · $23.0M to $36.2MJul 5, 2023 to Jan 23, 2024
- Non-discretionary RAUM · $20.0M to $0Jul 5, 2023 to Jan 23, 2024
- Pension RAUM · $19.2M to $0Jul 5, 2023 to Jan 23, 2024
- RAUM · $342M to $401MJul 5, 2023 to Jan 23, 2024
- Discretionary RAUM · $342M to $322MFeb 22, 2023 to Feb 23, 2023
- Non-discretionary RAUM · $807,039 to $20.0MFeb 22, 2023 to Feb 23, 2023
- Accounts · 550 to 626Dec 13, 2022 to Feb 22, 2023
- Advisory activities · 4 to 5Dec 13, 2022 to Feb 22, 2023
- HNW clients · 106 to 111Dec 13, 2022 to Feb 22, 2023
- Individual clients · 73 to 75Dec 13, 2022 to Feb 22, 2023
- Pension plan clients · 11 to 14Dec 13, 2022 to Feb 22, 2023
- Assets in custody · $104M to $99.7MDec 13, 2022 to Feb 22, 2023
- Discretionary RAUM · $343M to $342MDec 13, 2022 to Feb 22, 2023
- HNW RAUM · $295M to $300MDec 13, 2022 to Feb 22, 2023
- Individual RAUM · $21.9M to $23.0MDec 13, 2022 to Feb 22, 2023
- Non-discretionary RAUM · $714,821 to $807,039Dec 13, 2022 to Feb 22, 2023
- Pension RAUM · $27.2M to $19.2MDec 13, 2022 to Feb 22, 2023
Signals
3 dated events
- A••••• A••••••• L•• reported RAUM $612.9M, up 27% from $480.9M (2026-01-07 to 2026-02-27)Feb 27, 2026 · RAUM change · derived
- M•• W••••• A••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Nov 28, 2017 · Succession (Item 4) · fact
- M•• W••••• A••••••• L•• filed its initial SEC registration (Form ADV)Sep 25, 2017 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/A•••••ADVISORSreportedpublic record, Form ADV, Sep 19, 2026
- Website
- A•••••ADVISORS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 704 533-9880reportedpublic record, Form ADV, Aug 14, 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
- $306Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026