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
I••• H••• A••••••• L••
Latest filing Sep 11, 2026
First filing on the tape Feb 16, 2026 · 4 filings
SEC status approved since Feb 19, 2026
RAUM
$107M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$107M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$107M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$107M as of Jun 18, 2026
Feb 16, 2026$104M then
HNW client RAUM$61.0M as of Jun 18, 2026
Feb 16, 2026$36.8M then
State-registered IARs (5.B.3)4 as of Jun 18, 2026
Feb 16, 20264 then
Employees (5.A)7 as of Jun 18, 2026
Feb 16, 20266 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 11, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $107MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 200derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $131,232derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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 assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $70.2M, 125 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
- 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)
- 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
- High-net-worth individuals$61.0M57%
- Individuals$46.0M43%
- Pension and profit-sharing plans$446,8050.4%
- Charitable organizations$31,5310.0%
- Individual clients
- 143reported
- HNW clients
- 57reported
- Pension plan clients
- 1reported
- Charitable clients
- 3reported
- Accounts
- 819reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $70.2M for 125 clientsreported
- Compensation
- % of AUMreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H•••• P••• H•••• | Greenville, Sc | Feb 28, 2022 | 12 y | 1 |
Advisor movement
3 left, 0 joined in 12 months
net -3 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 300% of current headcount3 left over 36 months
Left, latest
- C••••••••• S•••• W••••• to C••••••• A•••• M••••••••• L••Sep 8, 2026 · RIA to RIA
- J••••••• J•••• S•••••• to I•••••• A•••••••• L••Jun 18, 2026 · RIA to RIA
- J•••• E••••• Y•••••••• to S••••••• W••••• M••••••••• L••May 18, 2026 · RIA to RIA
Joined, latest
- J•••• E••••• Y•••••••• from S••••••••• W••••• M••••••••• L•••• C••Apr 20, 2025 · Other
- C••••••••• S•••• W••••• from F•••••••• G•••••• A•••• M••••••••• I•••Feb 28, 2022 · RIA to RIA
- H•••• P••• H•••• from F•••••••• G•••••• A•••• M••••••••• I•••Feb 28, 2022 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from F•••••••• G•••••• A•••• M••••••••• I•••Mar 2, 2022 · Greenville, Sc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• H••••• P••• · Managing Member & Chief Compliance Officercontrolsince 09/2021 · owns 10% to 25%
Entity owners
- I•• I••••••••• T•••• D•••• J••• · Memberdirect · 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 |
|---|---|---|---|---|---|
| Greenville, Sc · principal | 1 | 0 | 3 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Jun 18, 2026 to Sep 11, 2026
- Succession · false to unsetJun 18, 2026 to Sep 11, 2026
- Accounts · 200 to 819Feb 16, 2026 to Mar 24, 2026
- HNW clients · 22 to 57Feb 16, 2026 to Mar 24, 2026
- Individual clients · 174 to 143Feb 16, 2026 to Mar 24, 2026
- Assets in custody · $27.7M to $70.2MFeb 16, 2026 to Mar 24, 2026
- Employees · 6 to 7Feb 16, 2026 to Mar 24, 2026
- Financial planning clients · 101-250 to 0Feb 16, 2026 to Mar 24, 2026
- Discretionary RAUM · $104M to $107MFeb 16, 2026 to Mar 24, 2026
- HNW RAUM · $36.8M to $61.0MFeb 16, 2026 to Mar 24, 2026
- Individual RAUM · $66.5M to $46.0MFeb 16, 2026 to Mar 24, 2026
- Non-discretionary RAUM · $24,764 to $31,351Feb 16, 2026 to Mar 24, 2026
- Pension RAUM · $436,853 to $446,805Feb 16, 2026 to Mar 24, 2026
- RAUM · $104M to $107MFeb 16, 2026 to Mar 24, 2026
Signals
3 dated events
- C••••••••• S•••• W••••• left I••• H••• A••••••• L•• for C••••••• A•••• M••••••••• L•• (registered 2026-08-26)Sep 8, 2026 · Advisor changed firm · fact
- J•••• E••••• Y•••••••• left I••• H••• A••••••• L•• for S••••••• W••••• M••••••••• L•• (registered 2026-06-24)May 18, 2026 · Advisor changed firm · fact
- 2 advisors left F•••••••• G•••••• A•••• M••••••••• I••• (Greenville, SC) for I••• H••• A••••••• L•• on the same dayMar 2, 2022 · Team lift-out · derived
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 email
- info@wealthtrainingacademy.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 864-297-6125reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 864-297-6129reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- wealthtrainingacademy.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 864-297-6125reportedpublic record, Form ADV, Sep 11, 2026
- Contact form
- wealthtrainingacademy.com/contactreportedpublished by the firm, firm site, Sep 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
- $107Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026