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
H••••• I••••••••• A•••••••
Legal name H••••• I••••••••• A•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jan 23, 2026 · 2 filings
SEC status approved since Jan 16, 2026
RAUM
$110M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$94.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$110M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$110M as of Mar 27, 2026
Jan 23, 2026$110M then
HNW client RAUM$90.4M as of Mar 27, 2026
Jan 23, 2026$97.7M then
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Jan 23, 20261 then
Employees (5.A)1 as of Mar 27, 2026
Jan 23, 20261 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $110MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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 assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$90.4M82%
- Pension and profit-sharing plans$11.3M10%
- Individuals$4.1M3.7%
- Charitable organizations$4.0M3.6%
- Corporations and businesses$366,6310.3%
- Individual clients
- 13reported
- HNW clients
- 28reported
- Pension plan clients
- 3reported
- Charitable clients
- 5reported
- Accounts
- 96reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• M••••••• H••••• | Greensboro, Nc | Feb 20, 2019 | 21 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 27, 2026hourly charges (Item 5.E.2): yes on the filing of 2026-01-23, no on the filing of 2026-03-27peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 102 to 96Jan 23, 2026 to Mar 27, 2026
- Corporate clients · 0 to 1Jan 23, 2026 to Mar 27, 2026
- HNW clients · 32 to 28Jan 23, 2026 to Mar 27, 2026
- Individual clients · 8 to 13Jan 23, 2026 to Mar 27, 2026
- Pension plan clients · 0 to 3Jan 23, 2026 to Mar 27, 2026
- Assets in custody · $50.9M to $2.8MJan 23, 2026 to Mar 27, 2026
- Insurance-licensed employees · 1 to 0Jan 23, 2026 to Mar 27, 2026
- Financial planning clients · 0 to 1-10Jan 23, 2026 to Mar 27, 2026
- Discretionary RAUM · $110M to $110MJan 23, 2026 to Mar 27, 2026
- HNW RAUM · $97.7M to $90.4MJan 23, 2026 to Mar 27, 2026
- Individual RAUM · $3.2M to $4.1MJan 23, 2026 to Mar 27, 2026
- Pension RAUM · $4.7M to $11.3MJan 23, 2026 to Mar 27, 2026
- RAUM · $110M to $110MJan 23, 2026 to Mar 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
- 704-517-5312reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 877-421-7164reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- h•••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 704-517-5312reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- h•••••.comreportedpublished 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
- $110Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026