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

P••••••• W••••• M•••••••••

Independent wealth managerCornelius, North CarolinaCRD 297449SEC 801-134799websiteIAPD
Legal name P••••••• W••••• M••••••••• L••
Latest filing Feb 9, 2026
First filing on the tape Nov 25, 2025 · 3 filings
SEC status approved since Nov 25, 2025
RAUM
$115M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
100%
$115M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$57.7M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$115M as of Feb 9, 2026
Nov 25, 2025$112M then
HNW client RAUM$89.9M as of Feb 9, 2026
Nov 25, 2025$85.4M then
State-registered IARs (5.B.3)2 as of Feb 9, 2026
Nov 25, 20251 then
Employees (5.A)3 as of Feb 9, 2026
Nov 25, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 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
$57.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
39derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.9MderivedHNW RAUM over HNW clients
Average account
$281,989derivedRAUM over accounts (5.F.2.f)
Discretionary
91%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
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
Custody
$17.6M, 16 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)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$89.9M78%
  • Individuals$25.4M22%
  • Charitable organizations$54,8800.0%
Individual clients
46reported
HNW clients
31reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
409reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$17.6M for 16 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
NameBranchHere sinceIn industryPrior firms
D••••• J••••• T•••••Certified Financial PlannerCornelius, NcJul 11, 201812 y2
C••••••••• T••••• L••Certified Financial PlannerCornelius, NcFeb 5, 202611 y0
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • T•••••• D•••••• J••••• · Managing Member And Chief Compliance Officercontrol
      since 06/2018 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Cornelius, Nc · principal210
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · 1 to 2
      Jan 27, 2026 to Feb 9, 2026
    • Insurance-licensed employees · 0 to 1
      Jan 27, 2026 to Feb 9, 2026
    • State-registered IARs · 1 to 2
      Jan 27, 2026 to Feb 9, 2026
    • Accounts · 391 to 409
      Nov 25, 2025 to Jan 27, 2026
    • HNW clients · 29 to 31
      Nov 25, 2025 to Jan 27, 2026
    • Individual clients · 43 to 46
      Nov 25, 2025 to Jan 27, 2026
    • Assets in custody · unset to 17593139.0
      Nov 25, 2025 to Jan 27, 2026
    • Custody of client assets · false to true
      Nov 25, 2025 to Jan 27, 2026
    • Employees · 2 to 3
      Nov 25, 2025 to Jan 27, 2026
    • Discretionary RAUM · $101M to $105M
      Nov 25, 2025 to Jan 27, 2026
    • HNW RAUM · $85.4M to $89.9M
      Nov 25, 2025 to Jan 27, 2026
    • Individual RAUM · $26.9M to $25.4M
      Nov 25, 2025 to Jan 27, 2026
    • Non-discretionary RAUM · $10.9M to $10.7M
      Nov 25, 2025 to Jan 27, 2026
    • RAUM · $112M to $115M
      Nov 25, 2025 to Jan 27, 2026
    Signals
    No event on the tape.
    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
    704-457-0060reportedpublished by the firm, firm site, Sep 16, 2026
    Firm profile
    linkedin.com/company/passport-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
    Website
    p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    (704) 457-0060reportedpublic record, Form ADV, Feb 9, 2026
    Team page
    p•••••••••.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
    $57.7Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026