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•••••• I••••••••• P•••••••• L••
Latest filing Mar 11, 2026
First filing on the tape May 29, 2018 · 15 filings
SEC status approved since Jun 28, 2018
RAUM
$268M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$233M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$89.4M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$268M as of Mar 11, 2026
Jan 31, 2019$123M then
HNW client RAUM$135M as of Mar 11, 2026
Jan 31, 2019$50.6M then
State-registered IARs (5.B.3)3 as of Mar 11, 2026
Jan 31, 20192 then
Employees (5.A)6 as of Mar 11, 2026
Jan 31, 20192 then
Private funds: no history
RAUM +14% over the last fiscal year+17% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 11, 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
- $89.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 228derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $243,665derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $1.6M, 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$135M50%
- Individuals$98.4M37%
- Charitable organizations$33.8M13%
- Pension and profit-sharing plans$547,9750.2%
- Corporations and businesses$506,8180.2%
- Individual clients
- 575reported
- HNW clients
- 109reported
- Pension plan clients
- n/areported
- Charitable clients
- 9reported
- Accounts
- 1,101reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.6M for 6 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• P•••••• H••••••••• | Pinehurst, Nc | Oct 10, 2018 | 29 y | 1 |
| R••••• J•• W••••• | Pinehurst, Nc | Oct 19, 2018 | 17 y | 2 |
| L•••• N••••• W••••• | Pinehurst, Nc | Mar 16, 2023 | 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
- R••••• J•• W••••• from W••••••••• P•••••••• L••Oct 19, 2018 · RIA to a newly registered adviser
- J••• P•••••• H••••••••• from W•••• F•••• A•••••••Oct 10, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••• R•••••• J•• · Member And Ccocontrolsince 05/2018 · owns 75% or more
Related persons
Schedule D 7.A
- J••• H•••••••••n
- R••••• W•••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pinehurst, Nc · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Rockingham, NC3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 11, 2026custody of client assets (Item 9.A): no on the filing of 2025-02-25, yes on the filing of 2026-03-11peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 997 to 1,101Feb 25, 2025 to Mar 11, 2026
- HNW clients · 78 to 109Feb 25, 2025 to Mar 11, 2026
- Individual clients · 537 to 575Feb 25, 2025 to Mar 11, 2026
- Assets in custody · $917,067 to $1.6MFeb 25, 2025 to Mar 11, 2026
- Custody of client assets · false to trueFeb 25, 2025 to Mar 11, 2026
- Discretionary RAUM · $235M to $268MFeb 25, 2025 to Mar 11, 2026
- HNW RAUM · $109M to $135MFeb 25, 2025 to Mar 11, 2026
- Individual RAUM · $95.5M to $98.4MFeb 25, 2025 to Mar 11, 2026
- Pension RAUM · $655,426 to $547,975Feb 25, 2025 to Mar 11, 2026
- RAUM · $235M to $268MFeb 25, 2025 to Mar 11, 2026
- Accounts · 921 to 997Apr 22, 2024 to Feb 25, 2025
- HNW clients · 61 to 78Apr 22, 2024 to Feb 25, 2025
- Individual clients · 540 to 537Apr 22, 2024 to Feb 25, 2025
- Assets in custody · $969,346 to $917,067Apr 22, 2024 to Feb 25, 2025
- Financial planning clients · 1-10 to 1-10Apr 22, 2024 to Feb 25, 2025
- Discretionary RAUM · $190M to $235MApr 22, 2024 to Feb 25, 2025
- HNW RAUM · $74.8M to $109MApr 22, 2024 to Feb 25, 2025
- Individual RAUM · $88.2M to $95.5MApr 22, 2024 to Feb 25, 2025
- Pension RAUM · $456,064 to $655,426Apr 22, 2024 to Feb 25, 2025
- RAUM · $190M to $235MApr 22, 2024 to Feb 25, 2025
- Accounts · 898 to 921Mar 14, 2023 to Feb 28, 2024
- Charity clients · 11 to 9Mar 14, 2023 to Feb 28, 2024
- Corporate clients · 2 to 3Mar 14, 2023 to Feb 28, 2024
- HNW clients · 53 to 61Mar 14, 2023 to Feb 28, 2024
- Individual clients · 507 to 540Mar 14, 2023 to Feb 28, 2024
- Assets in custody · $1.1M to $969,346Mar 14, 2023 to Feb 28, 2024
- Custody of client assets · true to falseMar 14, 2023 to Feb 28, 2024
- Discretionary RAUM · $168M to $190MMar 14, 2023 to Feb 28, 2024
- HNW RAUM · $66.6M to $74.8MMar 14, 2023 to Feb 28, 2024
- Individual RAUM · $79.8M to $88.2MMar 14, 2023 to Feb 28, 2024
- Pension RAUM · $471,488 to $456,064Mar 14, 2023 to Feb 28, 2024
- RAUM · $168M to $190MMar 14, 2023 to Feb 28, 2024
- Accounts · 839 to 898Mar 10, 2022 to Mar 14, 2023
- Advisory employees · 2 to 3Mar 10, 2022 to Mar 14, 2023
- Charity clients · 7 to 11Mar 10, 2022 to Mar 14, 2023
- Corporate clients · 5 to 2Mar 10, 2022 to Mar 14, 2023
- HNW clients · 85 to 53Mar 10, 2022 to Mar 14, 2023
- Individual clients · 461 to 507Mar 10, 2022 to Mar 14, 2023
- Assets in custody · $1.1M to $1.1MMar 10, 2022 to Mar 14, 2023
- Employees · 2 to 6Mar 10, 2022 to Mar 14, 2023
Signals
1 dated events
- R•••••• I••••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)May 29, 2018 · 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
- 910-363-1010reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- wealthfa.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 910-363-1010reportedpublic record, Form ADV, Mar 11, 2026
- Contact form
- wealthfinancialadvocates.com/contactreportedpublished by the firm, firm site, Sep 15, 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
- $89.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026