DFX Intelligence
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A••••• A•••• M•••••••••
Independent wealth manager, reporting $242M of regulatory assets across 1 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
- $242M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +19%
- Private clients
- 77% of RAUM, $186M
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 $204MRAUM now $242M
- Contact points 2
Every filed figure, and the identifiersCRD 315505 · SEC 801-121805 · 19 filingsShowHide
CRD 315505SEC 801-121805First filing on the tape Jun 18, 2021, latest Feb 20, 2026SEC status approved since Jul 19, 2021IAPD
RAUM
$242M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
77%
$186M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$242M
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
19 filings and snapshots on the tape
RAUM$242M as of Feb 20, 2026
Feb 4, 2022$114M then
HNW client RAUM$182M as of Feb 20, 2026
Feb 4, 2022$106M then
State-registered IARs (5.B.3)0 as of Feb 20, 2026
Feb 4, 20220 then
Employees (5.A)6 as of Feb 20, 2026
Feb 4, 20222 then
Private funds: no history
RAUM +19% over the last fiscal year+18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 20, 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
- $242MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.7MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- fixed feesreportedItem 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$182M75%
- Charitable organizations$28.1M12%
- Corporations and businesses$27.9M12%
- Individuals$4.3M1.8%
- Individual clients
- 8reported
- HNW clients
- 27reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 180reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.12 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 |
|---|---|---|---|---|
| J••••• A••••• F••••••Certified Financial Planner | Beaufort, Nc | Aug 24, 2021 | 35 y | 1 |
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••••• A••••• F•••••• from W•••• F•••• A•••••••Aug 24, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• J•••••• A••••• · Ceocontrolsince 08/2021 · owns 75% or more
- B•••••• I•• M••••••• L•••• · Ccosince 09/2021 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 159 to 180Mar 10, 2025 to Feb 20, 2026
- Advisory employees · 2 to 3Mar 10, 2025 to Feb 20, 2026
- Corporate clients · 12 to 17Mar 10, 2025 to Feb 20, 2026
- HNW clients · 21 to 27Mar 10, 2025 to Feb 20, 2026
- Individual clients · 9 to 8Mar 10, 2025 to Feb 20, 2026
- Employees · 5 to 6Mar 10, 2025 to Feb 20, 2026
- Discretionary RAUM · $187M to $226MMar 10, 2025 to Feb 20, 2026
- HNW RAUM · $154M to $182MMar 10, 2025 to Feb 20, 2026
- Individual RAUM · $3.6M to $4.3MMar 10, 2025 to Feb 20, 2026
- Non-discretionary RAUM · $16.7M to $15.7MMar 10, 2025 to Feb 20, 2026
- RAUM · $204M to $242MMar 10, 2025 to Feb 20, 2026
- Financial planning clients · unset to Feb 12, 2025 to Mar 10, 2025
- Accounts · 142 to 159Jul 2, 2024 to Feb 12, 2025
- Corporate clients · unset to 12.0Jul 2, 2024 to Feb 12, 2025
- HNW clients · 20 to 21Jul 2, 2024 to Feb 12, 2025
- Individual clients · 8 to 9Jul 2, 2024 to Feb 12, 2025
- HQ city · unset to Jul 2, 2024 to Feb 12, 2025
- HQ state · unset to Jul 2, 2024 to Feb 12, 2025
- Discretionary RAUM · $155M to $187MJul 2, 2024 to Feb 12, 2025
- HNW RAUM · $127M to $154MJul 2, 2024 to Feb 12, 2025
- Individual RAUM · $2.3M to $3.6MJul 2, 2024 to Feb 12, 2025
- Non-discretionary RAUM · $14.5M to $16.7MJul 2, 2024 to Feb 12, 2025
- RAUM · $169M to $204MJul 2, 2024 to Feb 12, 2025
- Accounts · 96 to 142Mar 15, 2023 to Feb 13, 2024
- Corporate clients · 5.0 to unsetMar 15, 2023 to Feb 13, 2024
- HNW clients · 10 to 20Mar 15, 2023 to Feb 13, 2024
- Individual clients · unset to 8.0Mar 15, 2023 to Feb 13, 2024
- Other offices · 0 to 1Mar 15, 2023 to Feb 13, 2024
- Discretionary RAUM · $129M to $155MMar 15, 2023 to Feb 13, 2024
- HNW RAUM · $112M to $127MMar 15, 2023 to Feb 13, 2024
- Individual RAUM · $1.1M to $2.3MMar 15, 2023 to Feb 13, 2024
- Non-discretionary RAUM · $16.7M to $14.5MMar 15, 2023 to Feb 13, 2024
- RAUM · $146M to $169MMar 15, 2023 to Feb 13, 2024
- Succession · true to falseFeb 24, 2023 to Mar 15, 2023
- Accounts · 53 to 96Sep 12, 2022 to Feb 24, 2023
- Advisory employees · 1 to 2Sep 12, 2022 to Feb 24, 2023
- Charity clients · 0.0 to unsetSep 12, 2022 to Feb 24, 2023
- Corporate clients · 1 to 5Sep 12, 2022 to Feb 24, 2023
- HNW clients · 16 to 10Sep 12, 2022 to Feb 24, 2023
- Individual clients · 3.0 to unsetSep 12, 2022 to Feb 24, 2023
Signals
5 dated events
- ••• LockedFeb 24, 2023 · Succession (Item 4) · fact
- ••• LockedAug 23, 2021 · Control person joined · fact
- ••• LockedJul 23, 2021 · Control person joined · fact
- ••• LockedJul 23, 2021 · Control person left · inference
- ••• LockedJun 18, 2021 · 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
- Website
- ••• Lockedreportedpublic record, Form ADV, Feb 20, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Feb 20, 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
- $242Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026