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••••••• C••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Sep 11, 2019 · 13 filings
SEC status approved since Oct 11, 2019
RAUM
$341M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
85%
$290M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$341M as of Mar 18, 2026
Jan 29, 2020$270M then
HNW client RAUM$284M as of Mar 18, 2026
Jan 29, 2020$231M then
State-registered IARs (5.B.3)3 as of Mar 18, 2026
Jan 29, 20202 then
Employees (5.A)4 as of Mar 18, 2026
Jan 29, 20203 then
Private funds: no history
RAUM +3.2% over the last fiscal year+6.0% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +33%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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$284M86%
- Charitable organizations$39.2M12%
- Individuals$6.3M1.9%
- Individual clients
- 35reported
- HNW clients
- 74reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 219reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.11 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••••• T• R••••••• | Charlotte, Nc | Nov 27, 2019 | 10 y | 0 |
| J•••• N••••• R•••••••Personal Financial Specialist | Charlotte, Nc | Dec 4, 2019 | 37 y | 1 |
| R••••• J••• M••••••••• | Charlotte, Nc | Mar 16, 2026 | 12 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
- J•••• N••••• R••••••• from G••••••••• W••••• L••Dec 4, 2019 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••••• J••••• N••••• · Chief Compliance Officercontrolsince 09/2019 · owns 75% or more
- R•••••••• J•••••• T• · Partnersince 09/2019 · owns 5% to 10%
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 | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 205 to 219Mar 10, 2025 to Mar 18, 2026
- Advisory employees · 2 to 3Mar 10, 2025 to Mar 18, 2026
- Corporate clients · 1.0 to unsetMar 10, 2025 to Mar 18, 2026
- HNW clients · 45 to 74Mar 10, 2025 to Mar 18, 2026
- Individual clients · 37 to 35Mar 10, 2025 to Mar 18, 2026
- State-registered IARs · 2 to 3Mar 10, 2025 to Mar 18, 2026
- Discretionary RAUM · $327M to $338MMar 10, 2025 to Mar 18, 2026
- HNW RAUM · $274M to $284MMar 10, 2025 to Mar 18, 2026
- Individual RAUM · $8.1M to $6.3MMar 10, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $3.1M to $3.0MMar 10, 2025 to Mar 18, 2026
- RAUM · $330M to $341MMar 10, 2025 to Mar 18, 2026
- Accounts · 190 to 205May 12, 2024 to Mar 10, 2025
- HNW clients · 36 to 45May 12, 2024 to Mar 10, 2025
- Individual clients · 30 to 37May 12, 2024 to Mar 10, 2025
- Financial planning clients · 1-10 to 1-10May 12, 2024 to Mar 10, 2025
- Discretionary RAUM · $324M to $327MMay 12, 2024 to Mar 10, 2025
- HNW RAUM · $277M to $274MMay 12, 2024 to Mar 10, 2025
- Individual RAUM · $10.4M to $8.1MMay 12, 2024 to Mar 10, 2025
- Non-discretionary RAUM · $0 to $3.1MMay 12, 2024 to Mar 10, 2025
- RAUM · $324M to $330MMay 12, 2024 to Mar 10, 2025
- Accounts · 171 to 190Mar 9, 2023 to Mar 1, 2024
- HNW clients · 29 to 36Mar 9, 2023 to Mar 1, 2024
- Individual clients · 31 to 30Mar 9, 2023 to Mar 1, 2024
- Discretionary RAUM · $286M to $324MMar 9, 2023 to Mar 1, 2024
- HNW RAUM · $241M to $277MMar 9, 2023 to Mar 1, 2024
- Individual RAUM · $10.4M to $10.4MMar 9, 2023 to Mar 1, 2024
- RAUM · $286M to $324MMar 9, 2023 to Mar 1, 2024
- Accounts · 153 to 171Feb 10, 2022 to Mar 9, 2023
- HNW clients · 26 to 29Feb 10, 2022 to Mar 9, 2023
- Individual clients · 29 to 31Feb 10, 2022 to Mar 9, 2023
- Discretionary RAUM · $349M to $286MFeb 10, 2022 to Mar 9, 2023
- HNW RAUM · $230M to $241MFeb 10, 2022 to Mar 9, 2023
- Individual RAUM · $10.4M to $10.4MFeb 10, 2022 to Mar 9, 2023
- RAUM · $349M to $286MFeb 10, 2022 to Mar 9, 2023
- Accounts · 164 to 153Mar 1, 2021 to Feb 10, 2022
- Corporate clients · unset to 1.0Mar 1, 2021 to Feb 10, 2022
- HNW clients · 22 to 26Mar 1, 2021 to Feb 10, 2022
- Individual clients · 24 to 29Mar 1, 2021 to Feb 10, 2022
- Discretionary RAUM · $308M to $349MMar 1, 2021 to Feb 10, 2022
- HNW RAUM · $202M to $230MMar 1, 2021 to Feb 10, 2022
Signals
1 dated events
- R••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Sep 11, 2019 · 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
- Principal office phone
- 704-312-2318reportedpublic record, Form ADV, Mar 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
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026