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

C••••••• S•••••••• L••

Independent wealth managerCRD 324629SEC 801-132032websiteIAPD
Latest filing Jan 8, 2026
First filing on the tape Feb 18, 2025 · 3 filings
SEC status approved since Mar 14, 2025
RAUM
$119M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$119M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$119M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$119M as of Jan 8, 2026
Feb 18, 2025$112M then
HNW client RAUM$113M as of Jan 8, 2026
Feb 18, 2025$101M then
State-registered IARs (5.B.3)1 as of Jan 8, 2026
Feb 18, 20251 then
Employees (5.A)1 as of Jan 8, 2026
Feb 18, 20251 then
Private funds: no history
RAUM +6.5% over the last fiscal yearIARs 1 to 1offices 1 to 0
Practice profile
derived from the filing of Jan 8, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$119MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
63derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$654,339derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+6.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+8.6%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$113M95%
  • Individuals$6.0M5.0%
  • Charitable organizations$57,3950.0%
Individual clients
21reported
HNW clients
42reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
182reported
Financial planning clients
26-50reported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
W••••• F••••••• D•••••••Certified Financial PlannerMatthews, NcJan 19, 202324 y3
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • D•••••••• W•••••• F••••••• · Managing Member And Chief Compliance Officercontrol
      since 12/2022 · 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.
    What changed
    consecutive filings, newest first
    • Accounts · 181 to 182
      Sep 11, 2025 to Jan 8, 2026
    • Charity clients · 0 to 1
      Sep 11, 2025 to Jan 8, 2026
    • HNW clients · 34 to 42
      Sep 11, 2025 to Jan 8, 2026
    • Individual clients · 24 to 21
      Sep 11, 2025 to Jan 8, 2026
    • Pension plan clients · 1 to 0
      Sep 11, 2025 to Jan 8, 2026
    • Discretionary RAUM · $112M to $119M
      Sep 11, 2025 to Jan 8, 2026
    • HNW RAUM · $101M to $113M
      Sep 11, 2025 to Jan 8, 2026
    • Individual RAUM · $10.5M to $6.0M
      Sep 11, 2025 to Jan 8, 2026
    • RAUM · $112M to $119M
      Sep 11, 2025 to Jan 8, 2026
    • Other offices · 1 to 0
      Feb 18, 2025 to Sep 11, 2025
    Signals
    No event on the tape.
    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
    Website
    c•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
    Principal office phone
    980-269-9899reportedpublic record, Form ADV, Jan 8, 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
    $119Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026