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
P•••• O• M••• W••••• M•••••••••
Legal name P•• I••••••••• S••••••••• L••
Latest filing Jul 28, 2026
First filing on the tape Oct 12, 2021 · 27 filings
SEC status approved since Nov 16, 2021
RAUM
$283M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$280M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$35.4M
derived; firm RAUM over IAPD count
Employees
18
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$283M as of Jul 28, 2026
Feb 25, 2022$142M then
HNW client RAUM$176M as of Jul 28, 2026
Feb 25, 2022$32.8M then
State-registered IARs (5.B.3)7 as of Jul 28, 2026
Feb 25, 20224 then
Employees (5.A)18 as of Jul 28, 2026
Feb 25, 20224 then
Private funds: no history
RAUM +32% over the last fiscal year+27% a year over threeIARs 6 to 7offices 1 to 2
Practice profile
derived from the filing of Jul 28, 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
- 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
- $35.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $323,085derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 2.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +40%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$176M62%
- Individuals$105M37%
- Pension and profit-sharing plans$3.1M1.1%
- Individual clients
- 174reported
- HNW clients
- 150reported
- Pension plan clients
- 5reported
- Charitable clients
- 0reported
- Accounts
- 877reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••••• C•••••• H•••••••Certified Financial Planner | Raleigh, Nc | Nov 29, 2021 | 12 y | 0 |
| M•••••••• M••••••• T••••Certified Financial Planner | Raleigh, Nc | Dec 21, 2021 | 14 y | 1 |
| R•••• N••••• S••••••Certified Financial Planner | Raleigh, Nc | Jan 1, 2022 | 25 y | 4 |
| L••••• M•••• S•••••• | Raleigh, Nc | Jan 31, 2022 | 10 y | 0 |
| T••••• K•• W••••••••Certified Financial Planner | Raleigh, Nc | Nov 22, 2022 | 11 y | 0 |
| J••••• B•••••• B••••••Certified Financial Planner | Raleigh, Nc | May 28, 2024 | 23 y | 1 |
| N••••••• J•• T••••••• | Chapel Hill, Nc | Jul 9, 2025 | 10 y | 2 |
| A••••• M••• C••••••• | Raleigh, Nc | Dec 23, 2025 | 13 y | 0 |
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
- N••••••• J•• T••••••• from S•••••••• W••••• I••••••••• G••••• L••Jul 9, 2025 · RIA to RIA
- J••••• B•••••• B•••••• from C•••••• L••May 28, 2024 · RIA to RIA
- R•••• N••••• S•••••• from R••••••• F•••••••• S•••••••••Jan 1, 2022 · RIA to a newly registered adviser
- M•••••••• M••••••• T•••• from R••••••• F•••••••• S•••••••••Dec 21, 2021 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R••••••• F•••••••• S•••••••••Jan 3, 2022 · Raleigh, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• R••••• N••••• · Managing Member & Chief Compliance Officercontrolsince 09/2021 · owns 75% or more
Related persons
Schedule D 7.A
- P•••• O• M••• W••••• M••••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Raleigh, Nc · principal | 8 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Apr 15, 2026HNW share of RAUM moved from 41.0% to 62.0% between the annual amendments of 2025-02-19 and 2026-04-15peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 783 to 877Oct 31, 2025 to Mar 9, 2026
- Advisory employees · 6 to 7Oct 31, 2025 to Mar 9, 2026
- HNW clients · 59 to 150Oct 31, 2025 to Mar 9, 2026
- Individual clients · 172 to 174Oct 31, 2025 to Mar 9, 2026
- Pension plan clients · 11 to 5Oct 31, 2025 to Mar 9, 2026
- Employees · 7 to 18Oct 31, 2025 to Mar 9, 2026
- State-registered IARs · 6 to 7Oct 31, 2025 to Mar 9, 2026
- Discretionary RAUM · $203M to $283MOct 31, 2025 to Mar 9, 2026
- HNW RAUM · $87.4M to $176MOct 31, 2025 to Mar 9, 2026
- Individual RAUM · $124M to $105MOct 31, 2025 to Mar 9, 2026
- Non-discretionary RAUM · $11.1M to $0Oct 31, 2025 to Mar 9, 2026
- Pension RAUM · $2.3M to $3.1MOct 31, 2025 to Mar 9, 2026
- RAUM · $214M to $283MOct 31, 2025 to Mar 9, 2026
- Other offices · 1 to 2May 28, 2025 to Aug 29, 2025
- Financial planning clients · 101-250 to 101-250Feb 19, 2025 to May 28, 2025
- Accounts · 560 to 783Sep 17, 2024 to Feb 19, 2025
- Advisory employees · 5 to 6Sep 17, 2024 to Feb 19, 2025
- HNW clients · 111 to 59Sep 17, 2024 to Feb 19, 2025
- Individual clients · 142 to 172Sep 17, 2024 to Feb 19, 2025
- Pension plan clients · 0 to 11Sep 17, 2024 to Feb 19, 2025
- State-registered IARs · 5 to 6Sep 17, 2024 to Feb 19, 2025
- Discretionary RAUM · $156M to $203MSep 17, 2024 to Feb 19, 2025
- HNW RAUM · $133M to $87.4MSep 17, 2024 to Feb 19, 2025
- Individual RAUM · $36.6M to $124MSep 17, 2024 to Feb 19, 2025
- Non-discretionary RAUM · $13.0M to $11.1MSep 17, 2024 to Feb 19, 2025
- Pension RAUM · $0 to $2.3MSep 17, 2024 to Feb 19, 2025
- RAUM · $169M to $214MSep 17, 2024 to Feb 19, 2025
- Accounts · 636 to 560Nov 13, 2023 to Mar 5, 2024
- Advisory activities · 2 to 3Nov 13, 2023 to Mar 5, 2024
- HNW clients · 40 to 111Nov 13, 2023 to Mar 5, 2024
- Individual clients · 596 to 142Nov 13, 2023 to Mar 5, 2024
- Discretionary RAUM · $128M to $156MNov 13, 2023 to Mar 5, 2024
- HNW RAUM · $44.2M to $133MNov 13, 2023 to Mar 5, 2024
- Individual RAUM · $93.1M to $36.6MNov 13, 2023 to Mar 5, 2024
- Non-discretionary RAUM · $9.3M to $13.0MNov 13, 2023 to Mar 5, 2024
- RAUM · $137M to $169MNov 13, 2023 to Mar 5, 2024
- Other offices · 0 to 1Apr 11, 2023 to Apr 24, 2023
- Accounts · 509 to 636Jan 24, 2023 to Mar 1, 2023
- HNW clients · 122 to 40Jan 24, 2023 to Mar 1, 2023
- Individual clients · 65 to 596Jan 24, 2023 to Mar 1, 2023
Signals
2 dated events
- 2 advisors left R••••••• F•••••••• S••••••••• (Raleigh, NC) for P•••• O• M••• W••••• M••••••••• on the same dayJan 3, 2022 · Team lift-out · derived
- P•• I••••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Oct 12, 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
- Business email
- info@pomwealth.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 919-787-8866reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 919-944-4177reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/1463247/adminreportedpublic record, Form ADV, Sep 18, 2026
- Website
- pomwealth.netreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 919-787-8866reportedpublic record, Form ADV, Jul 28, 2026
- Team page
- pomwealth.net/our-teamreportedpublished 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
- $35.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026