DFX Intelligence
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S•••••• R••• A••••••• L••
Independent wealth manager, based in Asheville, North Carolina, reporting $154M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $154M
- Advisors
- 2
- Net advisor flow, 12 months
- +1 (1 in, 0 out)
- RAUM change, last fiscal year
- +19%
- Private clients
- 97% of RAUM, $150M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $130MRAUM now $154M
- Contact points 3
Every filed figure, and the identifiersCRD 311295 · SEC 801-124819 · 8 filingsShowHide
CRD 311295SEC 801-124819First filing on the tape Mar 30, 2022, latest Mar 16, 2026SEC status approved since May 2, 2022IAPD
RAUM
$154M
reported, Item 5.F
Discretionary
77%
of RAUM
Private clients
97%
$150M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$76.9M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$154M as of Mar 16, 2026
Apr 3, 2023$116M then
HNW client RAUM$149M as of Mar 16, 2026
Apr 3, 2023$112M then
State-registered IARs (5.B.3)2 as of Mar 16, 2026
Apr 3, 20232 then
Employees (5.A)2 as of Mar 16, 2026
Apr 3, 20232 then
Private funds: no history
RAUM +19% over the last fiscal year+9.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 16, 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
- $76.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 13derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.5MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 77%derivedof RAUM
- Institutional
- 2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +25%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$149M97%
- Charitable organizations$4.0M2.6%
- Individuals$1.3M0.8%
- Individual clients
- 2reported
- HNW clients
- 23reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 93reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••• P••••••• B••••••• | A••••••••, Nc | Feb 16, 2021 | 14 y | 0 |
| J•••• B••••••• | A••••••••, Nc | Feb 2, 2026 | 10 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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•••• B••••••• from A•••••••• C•••••• M••••••••• L••Feb 2, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• S•••• P••••••• · Chief Financial Officer, Trusteecontrolsince 09/2020 · owns 25% to 50%
- G••••• J••••• C••••• · Chief Executive Officer, Chief Compliance Officer, Trusteecontrolsince 09/2020 · owns 25% to 50%
Entity owners
- J•••• C••••• G•••• G••• T•••• D•• 2•••••••• · Ownerdirect · owns 10% to 25%
- S••• P••••••• B••••••• G••• T•••• D•• 2•••••••• · Ownerdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| A••••••••, Nc · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 81 to 93Mar 28, 2025 to Feb 4, 2026
- Charity clients · unset to 1.0Mar 28, 2025 to Feb 4, 2026
- HNW clients · 10 to 23Mar 28, 2025 to Feb 4, 2026
- Individual clients · 10 to 2Mar 28, 2025 to Feb 4, 2026
- Assets in custody · 2014155.0 to unsetMar 28, 2025 to Feb 4, 2026
- Custody of client assets · true to falseMar 28, 2025 to Feb 4, 2026
- HQ city · to A••••••••Mar 28, 2025 to Feb 4, 2026
- HQ state · to NCMar 28, 2025 to Feb 4, 2026
- Discretionary RAUM · $96.1M to $118MMar 28, 2025 to Feb 4, 2026
- HNW RAUM · $118M to $149MMar 28, 2025 to Feb 4, 2026
- Individual RAUM · $11.3M to $1.3MMar 28, 2025 to Feb 4, 2026
- Non-discretionary RAUM · $33.5M to $36.0MMar 28, 2025 to Feb 4, 2026
- RAUM · $130M to $154MMar 28, 2025 to Feb 4, 2026
- Accounts · 65 to 81Oct 23, 2024 to Mar 28, 2025
- Individual clients · 7 to 10Oct 23, 2024 to Mar 28, 2025
- Assets in custody · $1.5M to $2.0MOct 23, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Oct 23, 2024 to Mar 28, 2025
- HQ city · unset to Oct 23, 2024 to Mar 28, 2025
- HQ state · unset to Oct 23, 2024 to Mar 28, 2025
- Discretionary RAUM · $130M to $96.1MOct 23, 2024 to Mar 28, 2025
- HNW RAUM · $152M to $118MOct 23, 2024 to Mar 28, 2025
- Individual RAUM · $8.8M to $11.3MOct 23, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $31.1M to $33.5MOct 23, 2024 to Mar 28, 2025
- RAUM · $161M to $130MOct 23, 2024 to Mar 28, 2025
- Accounts · 54 to 65Apr 3, 2023 to Apr 1, 2024
- Individual clients · 5 to 7Apr 3, 2023 to Apr 1, 2024
- Assets in custody · unset to 1460270.0Apr 3, 2023 to Apr 1, 2024
- Custody of client assets · false to trueApr 3, 2023 to Apr 1, 2024
- Discretionary RAUM · $93.4M to $130MApr 3, 2023 to Apr 1, 2024
- HNW RAUM · $112M to $152MApr 3, 2023 to Apr 1, 2024
- Individual RAUM · $4.2M to $8.8MApr 3, 2023 to Apr 1, 2024
- Non-discretionary RAUM · $22.7M to $31.1MApr 3, 2023 to Apr 1, 2024
- RAUM · $116M to $161MApr 3, 2023 to Apr 1, 2024
- Accounts · 52 to 54Nov 14, 2022 to Apr 3, 2023
- HNW clients · 11 to 10Nov 14, 2022 to Apr 3, 2023
- Individual clients · unset to 5.0Nov 14, 2022 to Apr 3, 2023
- Discretionary RAUM · $91.9M to $93.4MNov 14, 2022 to Apr 3, 2023
- HNW RAUM · $113M to $112MNov 14, 2022 to Apr 3, 2023
- Individual RAUM · $1.3M to $4.2MNov 14, 2022 to Apr 3, 2023
- Non-discretionary RAUM · $22.1M to $22.7MNov 14, 2022 to Apr 3, 2023
Signals
6 dated events
- ••• LockedMar 16, 2026 · Control person joined · fact
- ••• LockedMar 16, 2026 · ria principal change · derived
- ••• LockedMar 16, 2026 · ria majority owner change · fact
- ••• LockedMar 16, 2026 · ria ownership band change · fact
- ••• LockedMar 16, 2026 · Control person left · inference
- ••• LockedMar 30, 2022 · 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
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 16, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 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
- $76.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026