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

T••••• F••••••••• L•••••

Independent wealth managerHickory, North CarolinaCRD 304729SEC 801-135029websiteIAPD
Latest filing Feb 18, 2026
First filing on the tape Dec 4, 2025 · 2 filings
SEC status approved since Jan 2, 2026
RAUM
$106M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$101M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$53.2M
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
2 filings and snapshots on the tape
RAUM$106M as of Feb 18, 2026
Dec 4, 2025$103M then
HNW client RAUM$72.0M as of Feb 18, 2026
Dec 4, 2025$70.2M then
State-registered IARs (5.B.3)2 as of Feb 18, 2026
Dec 4, 20252 then
Employees (5.A)3 as of Feb 18, 2026
Dec 4, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 18, 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
$53.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
59derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$215,921derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
4.8%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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$72.0M68%
  • Individuals$29.3M28%
  • Pension and profit-sharing plans$4.9M4.6%
  • Charitable organizations$178,1950.2%
Individual clients
72reported
HNW clients
45reported
Pension plan clients
8reported
Charitable clients
n/areported
Accounts
493reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.95 fund_share=0.0 institutional_share=0.05 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
R••••• D••••• S••••Certified Financial Planner, Chartered Financial ConsultantHickory, NcAug 20, 201910 y2
B••••••• M••••••• M•••••Certified Financial PlannerHickory, NcSep 8, 202413 y11
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
    • S••••• K••••• S•••• · Director Of Operations, Cco, Membercontrol
      since 01/2025 · owns 50% to 75%
    • S••••• R•••••• D••••• · President, Membercontrol
      since 04/2018 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Hickory, Nc · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 498 to 493
      Dec 4, 2025 to Feb 18, 2026
    • Individual clients · 69 to 72
      Dec 4, 2025 to Feb 18, 2026
    • Financial planning clients · 1-10 to 51-100
      Dec 4, 2025 to Feb 18, 2026
    • Discretionary RAUM · $103M to $106M
      Dec 4, 2025 to Feb 18, 2026
    • HNW RAUM · $70.2M to $72.0M
      Dec 4, 2025 to Feb 18, 2026
    • Individual RAUM · $28.6M to $29.3M
      Dec 4, 2025 to Feb 18, 2026
    • Pension RAUM · $4.6M to $4.9M
      Dec 4, 2025 to Feb 18, 2026
    • RAUM · $103M to $106M
      Dec 4, 2025 to Feb 18, 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
    Firm profile
    linkedin.com/company/thayer-financial-llcreportedpublic record, Form ADV, Sep 18, 2026
    Website
    thayerfinancial.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    (828) 569-2785reportedpublic record, Form ADV, Feb 18, 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
    $53.2Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026