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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Former SEC-registered adviser
N••••• A•••••••• L••
Latest filing Feb 1, 2024
First filing on the tape Nov 1, 2021 · 6 filings
RAUM
$159M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$159M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$159M as of Feb 1, 2024
Jan 24, 2022$0 then
HNW client RAUM$159M as of Feb 1, 2024
Jan 24, 2022$0 then
State-registered IARs (5.B.3)1 as of Feb 1, 2024
Jan 24, 20221 then
Employees (5.A)1 as of Feb 1, 2024
Jan 24, 20221 then
Private funds: no history
RAUM -6.4% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 1, 2024; every figure names its basis
- RAUM per advisor
- $159MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 13derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $12.3MderivedHNW RAUM over HNW clients
- Average account
- $4.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.1%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- 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
- 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$159M100%
- Individual clients
- 0reported
- HNW clients
- 13reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 36reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- B•••••• J• B••••• to B•••••• P•••••• W•••••Oct 11, 2024 · RIA to RIA
Joined, latest
- B•••••• J• B••••• from M••••• F••••• O•••••Dec 20, 2021 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• B••••••• J• · Chief Compliance Officer, Membercontrolsince 09/2021 · 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 |
|---|---|---|---|---|---|
| Pittsboro, Nc | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 38 to 36May 25, 2023 to Feb 1, 2024
- HNW clients · 14 to 13May 25, 2023 to Feb 1, 2024
- Discretionary RAUM · $170M to $159MMay 25, 2023 to Feb 1, 2024
- HNW RAUM · $170M to $159MMay 25, 2023 to Feb 1, 2024
- RAUM · $170M to $159MMay 25, 2023 to Feb 1, 2024
- Accounts · 8 to 38Mar 11, 2022 to Jan 30, 2023
- HNW clients · 5 to 14Mar 11, 2022 to Jan 30, 2023
- Discretionary RAUM · $114M to $170MMar 11, 2022 to Jan 30, 2023
- HNW RAUM · $114M to $170MMar 11, 2022 to Jan 30, 2023
- RAUM · $114M to $170MMar 11, 2022 to Jan 30, 2023
- Accounts · 0 to 8Jan 24, 2022 to Mar 11, 2022
- HNW clients · 0 to 5Jan 24, 2022 to Mar 11, 2022
- Assets in custody · 0.0 to unsetJan 24, 2022 to Mar 11, 2022
- Discretionary RAUM · $0 to $114MJan 24, 2022 to Mar 11, 2022
- HNW RAUM · $0 to $114MJan 24, 2022 to Mar 11, 2022
- RAUM · $0 to $114MJan 24, 2022 to Mar 11, 2022
Signals
2 dated events
- B•••••• J• B••••• left N••••• A•••••••• L•• for B•••••• P•••••• W••••• (registered 2024-10-10)Oct 11, 2024 · Advisor changed firm · fact
- N••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Nov 1, 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026