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
G••••••• W••••• A•••••••• L••
Latest filing Jun 3, 2026
First filing on the tape Apr 10, 2023 · 8 filings
SEC status approved since May 11, 2023
RAUM
$185M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
93%
$172M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$46.1M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$185M as of Jun 3, 2026
Feb 4, 2024$111M then
HNW client RAUM$102M as of Jun 3, 2026
Feb 4, 2024$57.7M then
State-registered IARs (5.B.3)4 as of Jun 3, 2026
Feb 4, 20244 then
Employees (5.A)4 as of Jun 3, 2026
Feb 4, 20245 then
Private funds: no history
RAUM +32% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Jun 3, 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
- $46.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $169,931derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 6.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%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 individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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$102M55%
- Individuals$70.7M38%
- Pension and profit-sharing plans$10.0M5.4%
- Charitable organizations$2.3M1.2%
- Individual clients
- 124reported
- HNW clients
- 46reported
- Pension plan clients
- 7reported
- Charitable clients
- 3reported
- Accounts
- 1,086reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 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••• N••••••• F••Certified Financial Planner | Charlotte, Nc | Mar 14, 2018 | 19 y | 1 |
| N•••••• S•••••••• F••Certified Financial Planner, Chartered Financial Analyst | Charlotte, Nc | Jun 27, 2020 | 20 y | 0 |
| J••••••• L•••• H•••Certified Financial Planner | Charlotte, Nc | Oct 26, 2023 | 11 y | 2 |
| C••••••• G•••••••• | Charlotte, Nc | Jun 2, 2026 | 12 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount1 left over 36 months
Left, latest
- J•••••• B•••••• E••••••• to D••••• M•••• A•••••••• L••Mar 5, 2026 · Other
- A••••• R•••••• H••••• to S•••• F•••••••• P•••••••Jun 2, 2023 · Other
Joined, latest
- J••••••• L•••• H••• from P••• A••••• S••••••••• L••Oct 26, 2023 · Affiliated broker-dealer or bank to independent RIA
- A••••• R•••••• H••••• from S••••• W••••• M••••••••• L••Nov 6, 2019 · RIA to RIA
- J••• N••••••• F•• from C••• W••••• A•••••••Mar 14, 2018 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••• J•••• N••••••• · Founder, Ccocontrolsince 09/2017 · owns 75% or more
- F••• N••••••• S•••••••• · Cfo, Advisorcontrolsince 06/2020 · owns less than 5%
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 | 4 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 883 to 1,086Jan 30, 2025 to Jan 23, 2026
- HNW clients · 40 to 46Jan 30, 2025 to Jan 23, 2026
- Individual clients · 112 to 124Jan 30, 2025 to Jan 23, 2026
- Pension plan clients · 6 to 7Jan 30, 2025 to Jan 23, 2026
- Discretionary RAUM · $138M to $182MJan 30, 2025 to Jan 23, 2026
- HNW RAUM · $84.3M to $102MJan 30, 2025 to Jan 23, 2026
- Individual RAUM · $45.9M to $70.7MJan 30, 2025 to Jan 23, 2026
- Non-discretionary RAUM · $1.9M to $2.2MJan 30, 2025 to Jan 23, 2026
- Pension RAUM · $7.8M to $10.0MJan 30, 2025 to Jan 23, 2026
- RAUM · $140M to $185MJan 30, 2025 to Jan 23, 2026
- Accounts · 801 to 883Feb 13, 2024 to Jan 30, 2025
- Charity clients · 2 to 3Feb 13, 2024 to Jan 30, 2025
- HNW clients · 30 to 40Feb 13, 2024 to Jan 30, 2025
- Individual clients · 126 to 112Feb 13, 2024 to Jan 30, 2025
- Pension plan clients · 5 to 6Feb 13, 2024 to Jan 30, 2025
- Employees · 5 to 4Feb 13, 2024 to Jan 30, 2025
- Financial planning clients · 101-250 to 101-250Feb 13, 2024 to Jan 30, 2025
- Discretionary RAUM · $110M to $138MFeb 13, 2024 to Jan 30, 2025
- HNW RAUM · $57.7M to $84.3MFeb 13, 2024 to Jan 30, 2025
- Individual RAUM · $46.0M to $45.9MFeb 13, 2024 to Jan 30, 2025
- Non-discretionary RAUM · $1.2M to $1.9MFeb 13, 2024 to Jan 30, 2025
- Pension RAUM · $6.6M to $7.8MFeb 13, 2024 to Jan 30, 2025
- RAUM · $111M to $140MFeb 13, 2024 to Jan 30, 2025
- Accounts · 770 to 801May 31, 2023 to Feb 4, 2024
- Advisory employees · 3 to 4May 31, 2023 to Feb 4, 2024
- Charity clients · 1 to 2May 31, 2023 to Feb 4, 2024
- HNW clients · 23 to 30May 31, 2023 to Feb 4, 2024
- Individual clients · 118 to 126May 31, 2023 to Feb 4, 2024
- Employees · 3 to 5May 31, 2023 to Feb 4, 2024
- State-registered IARs · 3 to 4May 31, 2023 to Feb 4, 2024
- Discretionary RAUM · $99.1M to $110MMay 31, 2023 to Feb 4, 2024
- HNW RAUM · $40.4M to $57.7MMay 31, 2023 to Feb 4, 2024
- Individual RAUM · $53.3M to $46.0MMay 31, 2023 to Feb 4, 2024
- Non-discretionary RAUM · $981,675 to $1.2MMay 31, 2023 to Feb 4, 2024
- Pension RAUM · $5.7M to $6.6MMay 31, 2023 to Feb 4, 2024
- RAUM · $100M to $111MMay 31, 2023 to Feb 4, 2024
- Advisory employees · 4 to 3Apr 10, 2023 to May 31, 2023
- Employees · 4 to 3Apr 10, 2023 to May 31, 2023
- State-registered IARs · 4 to 3Apr 10, 2023 to May 31, 2023
Signals
3 dated events
- J•••••• B•••••• E••••••• left G••••••• W••••• A•••••••• L•• for D••••• M•••• A•••••••• L•• (registered 2026-04-01)Mar 5, 2026 · Advisor changed firm · fact
- A••••• R•••••• H••••• left G••••••• W••••• A•••••••• L•• for S•••• F•••••••• P••••••• (registered 2023-08-17)Jun 2, 2023 · Advisor changed firm · fact
- G••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 10, 2023 · 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
- info@greenwaywealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 704-981-1228reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/greenwaywealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 704-981-1228reportedpublic record, Form ADV, Jun 3, 2026
- Team page
- greenwaywealth.com/who-we-arereportedpublished 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
- $46.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026