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.
SEC-registered adviser
Intentional
Legal name Intentional, LLC
Latest filing Jun 4, 2026
First filing on the tape Jan 18, 2022 · 20 filings
SEC status approved since Feb 18, 2022
RAUM
$176M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$169M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$58.6M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$176M as of Jun 4, 2026
Feb 10, 2023$107M then
HNW client RAUM$89.1M as of Jun 4, 2026
Feb 10, 2023$71.1M then
State-registered IARs (5.B.3)2 as of Jun 4, 2026
Feb 10, 20232 then
Employees (5.A)3 as of Jun 4, 2026
Feb 10, 20234 then
Private funds: no history
RAUM +19% over the last fiscal year+18% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 4, 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
- $58.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 132derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $445,127derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +139%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$89.1M51%
- Individuals$79.4M45%
- Pension and profit-sharing plans$7.3M4.2%
- Individual clients
- 353reported
- HNW clients
- 42reported
- Pension plan clients
- 5reported
- Charitable clients
- 0reported
- Accounts
- 395reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Dale Winters RiceCertified Financial Planner | Mount Airy, Md | Apr 5, 2022 | 30 y | 4 |
| Patrick Ryan Ferguson | New Market, Md | Jan 1, 2025 | 17 y | 2 |
| James E RobertsCertified Financial Planner | Fort Mill, Sc | Jan 1, 2026 | 18 y | 5 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- James E Roberts from Cic Wealth, LLCJan 1, 2026 · RIA to RIA
- Patrick Ryan Ferguson from Commonwealth Financial NetworkJan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- Dale Winters Rice from Commonwealth Financial NetworkApr 5, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E James Roberts · Chief Compliance Officercontrolsince 01/2022 · owns less than 5%
- Winters Dale Rice · Ownercontrolsince 04/2022 · owns 75% or more of Rice Financial LLC
- E James Roberts · Ownercontrolsince 04/2022 · owns 75% or more of The Roberts Companies, Inc
Entity owners
- Rice Financial LLC · Holding Companydirect · owns 50% to 75%
- The Roberts Companies, Inc · Holding Companydirect · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Fort Mill, Sc · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Jan 16, 2026individual and HNW clients (Item 5.D) moved from 165.0 to 395.0 (+139.0%) between the annual amendments of 2025-02-13 and 2026-01-16; the peer median change was +3.0% (3310 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,310) · 99% percentile
- HNW share shiftChange between filings · filing Jan 16, 2026HNW share of RAUM moved from 26.0% to 51.0% between the annual amendments of 2025-02-13 and 2026-01-16peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 165 to 395Sep 18, 2025 to Jan 16, 2026
- HNW clients · 9 to 42Sep 18, 2025 to Jan 16, 2026
- Individual clients · 156 to 353Sep 18, 2025 to Jan 16, 2026
- Financial planning clients · 51-100 to 251-500Sep 18, 2025 to Jan 16, 2026
- Discretionary RAUM · $144M to $176MSep 18, 2025 to Jan 16, 2026
- HNW RAUM · $39.2M to $89.1MSep 18, 2025 to Jan 16, 2026
- Individual RAUM · $102M to $79.4MSep 18, 2025 to Jan 16, 2026
- Non-discretionary RAUM · $4.4M to $0Sep 18, 2025 to Jan 16, 2026
- Pension RAUM · $6.7M to $7.3MSep 18, 2025 to Jan 16, 2026
- RAUM · $148M to $176MSep 18, 2025 to Jan 16, 2026
- Accounts · 430 to 165May 9, 2024 to Feb 13, 2025
- HNW clients · 35 to 9May 9, 2024 to Feb 13, 2025
- Individual clients · 326 to 156May 9, 2024 to Feb 13, 2025
- Pension plan clients · 6 to 5May 9, 2024 to Feb 13, 2025
- Financial planning clients · 51-100 to 51-100May 9, 2024 to Feb 13, 2025
- Discretionary RAUM · $121M to $144MMay 9, 2024 to Feb 13, 2025
- HNW RAUM · $64.5M to $39.2MMay 9, 2024 to Feb 13, 2025
- Individual RAUM · $60.2M to $102MMay 9, 2024 to Feb 13, 2025
- Non-discretionary RAUM · $4.0M to $4.4MMay 9, 2024 to Feb 13, 2025
- Pension RAUM · $0 to $6.7MMay 9, 2024 to Feb 13, 2025
- RAUM · $125M to $148MMay 9, 2024 to Feb 13, 2025
- Accounts · 149 to 430Sep 25, 2023 to Mar 1, 2024
- HNW clients · 32 to 35Sep 25, 2023 to Mar 1, 2024
- Individual clients · 110 to 326Sep 25, 2023 to Mar 1, 2024
- Pension plan clients · 0 to 6Sep 25, 2023 to Mar 1, 2024
- Discretionary RAUM · $105M to $121MSep 25, 2023 to Mar 1, 2024
- HNW RAUM · $71.1M to $64.5MSep 25, 2023 to Mar 1, 2024
- Individual RAUM · $36.4M to $60.2MSep 25, 2023 to Mar 1, 2024
- Non-discretionary RAUM · $2.8M to $4.0MSep 25, 2023 to Mar 1, 2024
- RAUM · $107M to $125MSep 25, 2023 to Mar 1, 2024
- Employees · 4 to 3May 26, 2023 to Sep 25, 2023
- Accounts · 354 to 149Jan 23, 2023 to Feb 10, 2023
- HNW clients · 31 to 32Jan 23, 2023 to Feb 10, 2023
- Individual clients · 120 to 110Jan 23, 2023 to Feb 10, 2023
- Financial planning clients · 0 to 51-100Jan 23, 2023 to Feb 10, 2023
- Discretionary RAUM · $104M to $105MJan 23, 2023 to Feb 10, 2023
- HNW RAUM · $69.2M to $71.1MJan 23, 2023 to Feb 10, 2023
- Individual RAUM · $35.2M to $36.4MJan 23, 2023 to Feb 10, 2023
- Non-discretionary RAUM · $0 to $2.8MJan 23, 2023 to Feb 10, 2023
- RAUM · $104M to $107MJan 23, 2023 to Feb 10, 2023
Signals
1 dated events
- Intentional filed its initial SEC registration (Form ADV)Jan 18, 2022 · 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
- activate@i10wealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 866-752-6410reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- i10wealth.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 1-866-752-6410reportedpublic record, Form ADV, Jun 4, 2026
- Team page
- i10wealth.com/our-teamreportedpublished 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
- $58.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026