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
A•••••••••
Legal name A•••• I••
Latest filing Mar 30, 2026
First filing on the tape Sep 8, 2023 · 7 filings
SEC status approved since Dec 15, 2023
RAUM
$127M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$127M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$42.3M
derived; firm RAUM over IAPD count
Employees
12
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$127M as of Mar 30, 2026
Mar 7, 2024$58.2M then
HNW client RAUM: $35.0M
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Mar 7, 20241 then
Employees (5.A)12 as of Mar 30, 2026
Mar 7, 20248 then
Private funds: no history
RAUM +147% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $42.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 142derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $62,504derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +147%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- 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
- Individuals$91.8M72%
- High-net-worth individuals$35.0M28%
- Individual clients
- 403reported
- HNW clients
- 23reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,029reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••••• P•••••• T••••• | Charleston, Sc | Dec 15, 2023 | 11 y | 1 |
| M•••••• M• W••••••••• | Charleston, Sc | Jan 3, 2025 | 14 y | 3 |
| T•••• L•••• W••••••••• | Charlotte, Nc | Jul 29, 2025 | 11 y | 2 |
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
- T•••• L•••• W••••••••• from N••••• A•••• M••••••••• L••Jul 29, 2025 · RIA to RIA
- M•••••• M• W••••••••• from F•••• C••••••• I••••••• S•••••••• I•••Jan 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- K••••• P•••••• T••••• from R•••••• J•••• • A••••••••• I•••Dec 15, 2023 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• H••••• · Managing Member, Chief Compliance Officercontrolsince 05/2022 · owns 50% to 75%
- E•••• J•••• R••••••• · Membersince 05/2022 · owns 5% to 10%
- M••••••• C••••• J• · Membersince 05/2022 · owns 10% to 25%
- S••••••• S•••••• D••• · Membersince 05/2022 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Charleston, Sc · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 30, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
- account count surgeChange between filings · filing Mar 30, 2026accounts (Item 5.F.2.f) moved from 594.0 to 2,029.0 (+242.0%) between the annual amendments of 2025-03-23 and 2026-03-30; the peer median change was +5.0% (3687 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 100% percentile
- RAUM up 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $51,307,184 to $126,820,765 (+147.0%) between the annual amendments of 2025-03-23 and 2026-03-30; the peer median change was +15.0% (4550 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 594 to 2,029Jun 20, 2025 to Mar 30, 2026
- HNW clients · unset to 23.0Jun 20, 2025 to Mar 30, 2026
- Individual clients · 594 to 403Jun 20, 2025 to Mar 30, 2026
- Employees · 14 to 12Jun 20, 2025 to Mar 30, 2026
- HNW RAUM · unset to 35022419.0Jun 20, 2025 to Mar 30, 2026
- Individual RAUM · $51.3M to $91.8MJun 20, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $51.3M to $127MJun 20, 2025 to Mar 30, 2026
- RAUM · $51.3M to $127MJun 20, 2025 to Mar 30, 2026
- Advisory employees · 2 to 3Mar 23, 2025 to Jun 20, 2025
- Employees · 12 to 14Mar 23, 2025 to Jun 20, 2025
- Financial planning clients · More than 500 to More than 500Mar 23, 2025 to Jun 20, 2025
- State-registered IARs · 2 to 3Mar 23, 2025 to Jun 20, 2025
- Legal name · ADVR, LLC to ADVR, INCMar 23, 2025 to Jun 20, 2025
- Organization form · Limited Liability Company to CorporationMar 23, 2025 to Jun 20, 2025
- Accounts · 353 to 594Jul 19, 2024 to Mar 23, 2025
- Advisory employees · 1 to 2Jul 19, 2024 to Mar 23, 2025
- Individual clients · 353 to 594Jul 19, 2024 to Mar 23, 2025
- Employees · 8 to 12Jul 19, 2024 to Mar 23, 2025
- Financial planning clients · 251-500 to More than 500Jul 19, 2024 to Mar 23, 2025
- State-registered IARs · 1 to 2Jul 19, 2024 to Mar 23, 2025
- Individual RAUM · $27.8M to $51.3MJul 19, 2024 to Mar 23, 2025
- Non-discretionary RAUM · $27.8M to $51.3MJul 19, 2024 to Mar 23, 2025
- RAUM · $27.8M to $51.3MJul 19, 2024 to Mar 23, 2025
- Accounts · 453 to 353Mar 7, 2024 to Jul 19, 2024
- Individual clients · 258 to 353Mar 7, 2024 to Jul 19, 2024
- Individual RAUM · $58.2M to $27.8MMar 7, 2024 to Jul 19, 2024
- Non-discretionary RAUM · $58.2M to $27.8MMar 7, 2024 to Jul 19, 2024
- RAUM · $58.2M to $27.8MMar 7, 2024 to Jul 19, 2024
- Accounts · 213 to 453Nov 10, 2023 to Mar 7, 2024
- Advisory employees · 2 to 1Nov 10, 2023 to Mar 7, 2024
- Individual clients · 213 to 258Nov 10, 2023 to Mar 7, 2024
- Financial planning clients · 11-25 to 251-500Nov 10, 2023 to Mar 7, 2024
- State-registered IARs · 2 to 1Nov 10, 2023 to Mar 7, 2024
- Individual RAUM · $42.8M to $58.2MNov 10, 2023 to Mar 7, 2024
- Non-discretionary RAUM · $42.8M to $58.2MNov 10, 2023 to Mar 7, 2024
- RAUM · $42.8M to $58.2MNov 10, 2023 to Mar 7, 2024
Signals
1 dated events
- Advisor.Com filed its initial SEC registration (Form ADV)Sep 8, 2023 · ria f•••• adv filing · 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
- Firm profile
- linkedin.com/company/advisor-comreportedpublic record, Form ADV, Sep 18, 2026
- Website
- awm.coreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 843-284-6261reportedpublic record, Form ADV, Mar 30, 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
- $42.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026