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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S••• H••••• F••••• C••••••• L••
Wealth manager with institutional or fund businessChapel Hill, North CarolinaCRD 317547SEC 801-122963IAPD
Latest filing Mar 24, 2026
First filing on the tape Dec 1, 2021 · 9 filings
SEC status approved since Jan 3, 2022
RAUM
$614M
reported, Item 5.F
Discretionary
57%
of RAUM
Private clients
37%
$227M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$614M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$614M as of Mar 24, 2026
Mar 24, 2023$385M then
HNW client RAUM$227M as of Mar 24, 2026
Mar 24, 2023$234M then
State-registered IARs (5.B.3)1 as of Mar 24, 2026
Mar 24, 20230 then
Employees (5.A)3 as of Mar 24, 2026
Mar 24, 20233 then
Private funds: no history
RAUM +12% over the last fiscal year+17% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $614MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $22.7MderivedHNW RAUM over HNW clients
- Average account
- $2.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 57%derivedof RAUM
- Institutional
- 63%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween 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
- portfolio management for individuals, portfolio management for businesses and institutions, 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
- Charitable organizations$386M63%
- High-net-worth individuals$227M37%
- Individual clients
- n/areported
- HNW clients
- 10reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 235reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.37 fund_share=0.0 institutional_share=0.63 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 |
|---|---|---|---|---|
| S••••• E••• S••••••Chartered Financial Analyst | Chapel Hill, Nc | Apr 25, 2025 | 19 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• P•••• T• · Chief Compliance Officer And Chief Investment Officercontrolsince 11/2021 · owns less than 5%
- S••••••• S••••• · Presidentcontrolsince 01/2022 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 24, 2026institutional share of RAUM of 63% against a peer median of 2% (1482 comparable advisers, 99.0th percentile, 20.7 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 239 to 235Oct 24, 2025 to Mar 24, 2026
- Charity clients · 1 to 2Oct 24, 2025 to Mar 24, 2026
- HNW clients · 11 to 10Oct 24, 2025 to Mar 24, 2026
- State-registered IARs · 0 to 1Oct 24, 2025 to Mar 24, 2026
- Discretionary RAUM · $312M to $353MOct 24, 2025 to Mar 24, 2026
- HNW RAUM · $250M to $227MOct 24, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $234M to $261MOct 24, 2025 to Mar 24, 2026
- RAUM · $546M to $614MOct 24, 2025 to Mar 24, 2026
- Advisory employees · 4 to 3May 19, 2025 to Oct 24, 2025
- Employees · 4 to 3May 19, 2025 to Oct 24, 2025
- Financial planning clients · 0 to 0May 19, 2025 to Oct 24, 2025
- Accounts · 222 to 239Mar 28, 2024 to Mar 21, 2025
- Advisory employees · 3 to 4Mar 28, 2024 to Mar 21, 2025
- HNW clients · 9 to 11Mar 28, 2024 to Mar 21, 2025
- Employees · 3 to 4Mar 28, 2024 to Mar 21, 2025
- Financial planning clients · unset to 0Mar 28, 2024 to Mar 21, 2025
- Discretionary RAUM · $301M to $312MMar 28, 2024 to Mar 21, 2025
- HNW RAUM · $226M to $250MMar 28, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $208M to $234MMar 28, 2024 to Mar 21, 2025
- RAUM · $509M to $546MMar 28, 2024 to Mar 21, 2025
- Accounts · 217 to 222Mar 24, 2023 to Mar 28, 2024
- Discretionary RAUM · $206M to $301MMar 24, 2023 to Mar 28, 2024
- HNW RAUM · $234M to $226MMar 24, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $179M to $208MMar 24, 2023 to Mar 28, 2024
- RAUM · $385M to $509MMar 24, 2023 to Mar 28, 2024
- Accounts · 207 to 217Jan 28, 2022 to Mar 24, 2023
- Discretionary RAUM · $242M to $206MJan 28, 2022 to Mar 24, 2023
- HNW RAUM · $271M to $234MJan 28, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $163M to $179MJan 28, 2022 to Mar 24, 2023
- RAUM · $404M to $385MJan 28, 2022 to Mar 24, 2023
Signals
2 dated events
- S••• H••••• F••••• C••••••• L•• reported RAUM $509.2M, up 32% from $384.8M (2023-03-24 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- S••• H••••• F••••• C••••••• L•• filed its initial SEC registration (Form ADV)Dec 1, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••• H••••• F••••• C••••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Principal office phone
- 919-537-7110reportedpublic record, Form ADV, Mar 24, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $614Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026