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
D••••••• F•••••••• G•••• L••
Latest filing Jun 11, 2026
First filing on the tape Nov 2, 2020 · 14 filings
SEC status approved since Dec 9, 2020
RAUM
$299M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$299M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$99.6M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$299M as of Jun 11, 2026
Mar 15, 2021$131M then
HNW client RAUM$138M as of Jun 11, 2026
Mar 15, 2021$80.0M then
State-registered IARs (5.B.3)3 as of Jun 11, 2026
Mar 15, 20210 then
Employees (5.A)6 as of Jun 11, 2026
Mar 15, 20216 then
Private funds: no history
RAUM n/a over the last fiscal year+14% a year over three
Practice profile
derived from the filing of Jun 11, 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
- RAUM per advisor
- $99.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 114derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $335,497derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 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 individualsreportedItem 5.G
- Custody
- $414,117, 3 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$161M54%
- High-net-worth individuals$138M46%
- Corporations and businesses$24,3560.0%
- Individual clients
- 300reported
- HNW clients
- 41reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 891reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $414,117 for 3 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• L•••• M•••••Certified Financial Planner | Wilmington, Nc | Jan 8, 2021 | 37 y | 2 |
| M•••••• D••••• G•••••Certified Financial Planner | Wilmington, Nc | Feb 1, 2021 | 30 y | 2 |
| J•••••• K•••••• K••••••••• | Wilmington, Nc | Nov 24, 2021 | 28 y | 4 |
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•••••• K•••••• K••••••••• from H••••••• I••••••••• C••••••• L••Nov 24, 2021 · Other
- M•••••• D••••• G••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Feb 1, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- R••• L•••• M••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jan 8, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Dec 31, 2020 · Wilmington, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• G••• W•••••• · Chief Compliance Officercontrolsince 08/2020 · owns less than 5%
- M•••••• J•••••••• A• · Co-Ownercontrolsince 08/2020 · owns 50% to 75% of T•• M••••• G••••• I•••
- M•••••• R•••• L•••• · Co-Ownercontrolsince 08/2020 · owns 50% to 75% of T•• M••••• G••••• I•••
Entity owners
- T•• M••••• G••••• I••• · Privately Owned Companydirect · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Wilmington, Nc · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Dacula, GA1 employees
What changed
consecutive filings, newest first
- Accounts · 882 to 891May 9, 2025 to Mar 4, 2026
- Advisory employees · 2 to 3May 9, 2025 to Mar 4, 2026
- Corporate clients · unset to 1.0May 9, 2025 to Mar 4, 2026
- HNW clients · 34 to 41May 9, 2025 to Mar 4, 2026
- Individual clients · 295 to 300May 9, 2025 to Mar 4, 2026
- Assets in custody · $519,788 to $414,117May 9, 2025 to Mar 4, 2026
- Employees · 5 to 6May 9, 2025 to Mar 4, 2026
- State-registered IARs · 2 to 3May 9, 2025 to Mar 4, 2026
- Discretionary RAUM · $255M to $295MMay 9, 2025 to Mar 4, 2026
- HNW RAUM · $120M to $138MMay 9, 2025 to Mar 4, 2026
- Individual RAUM · $138M to $161MMay 9, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $3.3M to $3.7MMay 9, 2025 to Mar 4, 2026
- RAUM · $259M to $299MMay 9, 2025 to Mar 4, 2026
- Business name · T•••••••• W••••• P••••••• L•• to D••••••• F•••••••• G•••• L••May 1, 2025 to May 9, 2025
- Financial planning clients · 251-500 to 251-500May 1, 2025 to May 9, 2025
- Accounts · 811 to 882Dec 2, 2024 to May 1, 2025
- HNW clients · 71 to 34Dec 2, 2024 to May 1, 2025
- Individual clients · 251 to 295Dec 2, 2024 to May 1, 2025
- Assets in custody · $2.0M to $519,788Dec 2, 2024 to May 1, 2025
- Employees · 6 to 5Dec 2, 2024 to May 1, 2025
- Legal name · T•••••••• W••••• P••••••• L•• to D••••••• F•••••••• G•••• L••Dec 2, 2024 to May 1, 2025
- Discretionary RAUM · $225M to $255MDec 2, 2024 to May 1, 2025
- HNW RAUM · $154M to $120MDec 2, 2024 to May 1, 2025
- Individual RAUM · $73.4M to $138MDec 2, 2024 to May 1, 2025
- Non-discretionary RAUM · $3.1M to $3.3MDec 2, 2024 to May 1, 2025
- RAUM · $228M to $259MDec 2, 2024 to May 1, 2025
- Accounts · 808 to 811Mar 22, 2023 to Mar 27, 2024
- Advisory activities · 4 to 2Mar 22, 2023 to Mar 27, 2024
- HNW clients · 19 to 71Mar 22, 2023 to Mar 27, 2024
- Individual clients · 292 to 251Mar 22, 2023 to Mar 27, 2024
- Assets in custody · unset to 1982920.0Mar 22, 2023 to Mar 27, 2024
- Custody of client assets · false to trueMar 22, 2023 to Mar 27, 2024
- Discretionary RAUM · $198M to $225MMar 22, 2023 to Mar 27, 2024
- HNW RAUM · $56.5M to $154MMar 22, 2023 to Mar 27, 2024
- Individual RAUM · $144M to $73.4MMar 22, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $2.5M to $3.1MMar 22, 2023 to Mar 27, 2024
- RAUM · $201M to $228MMar 22, 2023 to Mar 27, 2024
- Accounts · 331 to 808Aug 1, 2022 to Mar 22, 2023
- Advisory employees · 4 to 2Aug 1, 2022 to Mar 22, 2023
- HNW clients · 88 to 19Aug 1, 2022 to Mar 22, 2023
Signals
2 dated events
- D••••••• F•••••••• G•••• L•• reported RAUM $232.9M, up 77% from $131.5M (2022-01-24 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- T•••••••• W••••• P••••••• L•• filed its initial SEC registration (Form ADV)Nov 2, 2020 · 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
- 910-395-1991reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/dovetailfinreportedpublic record, Form ADV, Sep 18, 2026
- Website
- d•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 910-395-1991reportedpublic record, Form ADV, Jun 11, 2026
- Team page
- d•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $99.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026