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
H•••• • A••••••••• W••••• M••••••••• L••
Latest filing Feb 25, 2026
First filing on the tape Sep 28, 2022 · 11 filings
SEC status approved since Oct 28, 2022
RAUM
$120M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$120M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$59.8M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$120M as of Feb 25, 2026
Feb 23, 2023$102M then
HNW client RAUM$76.0M as of Feb 25, 2026
Feb 23, 2023$40.7M then
State-registered IARs (5.B.3)2 as of Feb 25, 2026
Feb 23, 20233 then
Employees (5.A)4 as of Feb 25, 2026
Feb 23, 20236 then
Private funds: no history
RAUM +23% over the last fiscal year+5.4% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 25, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $59.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 81derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $209,777derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $75.0M, 114 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$76.0M64%
- Individuals$43.6M36%
- Individual clients
- 125reported
- HNW clients
- 37reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 570reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $75.0M for 114 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• R•••••••Certified Financial Planner | Cary, Nc | Nov 16, 2022 | 14 y | 3 |
| C••••• T••••••• H••••Certified Financial Planner | Cary, Nc | Dec 16, 2022 | 27 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 headcount1 left over 36 months
Left, latest
- N••••• A•••• C••••• to F•••••• F••••••••Apr 18, 2024 · Other
Joined, latest
- C••••• T••••••• H•••• from W••••••••• P•••••••• L••Dec 16, 2022 · RIA to a newly registered adviser
- P••• R••••••• from W••••••••• P•••••••• L••Nov 16, 2022 · RIA to a newly registered adviser
- N••••• A•••• C••••• from W••••••••• P•••••••• L••Nov 16, 2022 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from W••••••••• P•••••••• L••Jan 4, 2023 · Cary, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• C•••••• T••••••• · Chief Executive Officer & Chief Compliance Officer & Membercontrolsince 08/2022 · 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 |
|---|---|---|---|---|---|
| Cary, Nc · principal | 2 | 0 | 0 | ||
| Southern Pines, Nc | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 548 to 570Oct 27, 2025 to Feb 25, 2026
- Charity clients · 0.0 to unsetOct 27, 2025 to Feb 25, 2026
- Corporate clients · 0.0 to unsetOct 27, 2025 to Feb 25, 2026
- HNW clients · 33 to 37Oct 27, 2025 to Feb 25, 2026
- Individual clients · 128 to 125Oct 27, 2025 to Feb 25, 2026
- Pension plan clients · 0.0 to unsetOct 27, 2025 to Feb 25, 2026
- Pooled vehicle clients · 0.0 to unsetOct 27, 2025 to Feb 25, 2026
- Assets in custody · $65.2M to $75.0MOct 27, 2025 to Feb 25, 2026
- Financial planning clients · 101-250 to 1-10Oct 27, 2025 to Feb 25, 2026
- Discretionary RAUM · $97.3M to $120MOct 27, 2025 to Feb 25, 2026
- HNW RAUM · $54.9M to $76.0MOct 27, 2025 to Feb 25, 2026
- Individual RAUM · $42.4M to $43.6MOct 27, 2025 to Feb 25, 2026
- Non-discretionary RAUM · $0 to $6,037Oct 27, 2025 to Feb 25, 2026
- Pension RAUM · 0.0 to unsetOct 27, 2025 to Feb 25, 2026
- Pooled vehicle RAUM · 0.0 to unsetOct 27, 2025 to Feb 25, 2026
- RAUM · $97.3M to $120MOct 27, 2025 to Feb 25, 2026
- Accounts · 881 to 548Nov 22, 2024 to Mar 11, 2025
- Advisory employees · 3 to 2Nov 22, 2024 to Mar 11, 2025
- Corporate clients · 2 to 0Nov 22, 2024 to Mar 11, 2025
- HNW clients · 43 to 33Nov 22, 2024 to Mar 11, 2025
- Individual clients · 238 to 128Nov 22, 2024 to Mar 11, 2025
- Assets in custody · $78.2M to $65.2MNov 22, 2024 to Mar 11, 2025
- Employees · 6 to 4Nov 22, 2024 to Mar 11, 2025
- Financial planning clients · 101-250 to 101-250Nov 22, 2024 to Mar 11, 2025
- Discretionary RAUM · $124M to $97.3MNov 22, 2024 to Mar 11, 2025
- HNW RAUM · $50.4M to $54.9MNov 22, 2024 to Mar 11, 2025
- Individual RAUM · $73.5M to $42.4MNov 22, 2024 to Mar 11, 2025
- RAUM · $124M to $97.3MNov 22, 2024 to Mar 11, 2025
- Advisory employees · 4 to 3Jul 29, 2024 to Nov 22, 2024
- State-registered IARs · 3 to 2Jul 29, 2024 to Nov 22, 2024
- Other offices · 1 to 0Jul 29, 2024 to Nov 22, 2024
- Accounts · 811 to 881Sep 13, 2023 to Mar 1, 2024
- Corporate clients · 0 to 2Sep 13, 2023 to Mar 1, 2024
- HNW clients · 44 to 43Sep 13, 2023 to Mar 1, 2024
- Individual clients · 234 to 238Sep 13, 2023 to Mar 1, 2024
- Assets in custody · $48.6M to $78.2MSep 13, 2023 to Mar 1, 2024
- Financial planning clients · 1-10 to 101-250Sep 13, 2023 to Mar 1, 2024
- Discretionary RAUM · $102M to $124MSep 13, 2023 to Mar 1, 2024
- HNW RAUM · $40.7M to $50.4MSep 13, 2023 to Mar 1, 2024
- Individual RAUM · $61.5M to $73.5MSep 13, 2023 to Mar 1, 2024
Signals
3 dated events
- N••••• A•••• C••••• left H•••• • A••••••••• W••••• M••••••••• L•• for F•••••• F•••••••• (registered 2024-02-06)Apr 18, 2024 · Advisor changed firm · fact
- 3 advisors left W••••••••• P•••••••• L•• (Cary, NC) for H•••• • A••••••••• W••••• M••••••••• L•• on the same dayJan 4, 2023 · Team lift-out · derived
- H•••• • A••••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 28, 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
- Firm profile
- linkedin.com/company/hicks-associatesreportedpublic record, Form ADV, Sep 18, 2026
- Website
- TheodoreHicks.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 919-851-5512reportedpublic record, Form ADV, Feb 25, 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
- $59.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026