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•• A•••••••• L••
Latest filing Jan 30, 2026
First filing on the tape Feb 9, 2023 · 12 filings
SEC status approved since Mar 10, 2023
RAUM
$158M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$157M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$52.7M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$158M as of Jan 30, 2026
Feb 12, 2024$121M then
HNW client RAUM$115M as of Jan 30, 2026
Feb 12, 2024$80.9M then
State-registered IARs (5.B.3)3 as of Jan 30, 2026
Feb 12, 20242 then
Employees (5.A)5 as of Jan 30, 2026
Feb 12, 20245 then
Private funds: no history
RAUM +14% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Jan 30, 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
- $52.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $328,219derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $40.6M, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$115M73%
- Individuals$42.1M27%
- Corporations and businesses$806,7870.5%
- Individual clients
- 130reported
- HNW clients
- 56reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 482reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $40.6M for 114 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••• M•••• S••••• | Raleigh, Nc | Apr 26, 2023 | 19 y | 4 |
| M•••••• S•••• A••••• | Raleigh, Nc | Aug 3, 2023 | 26 y | 3 |
| E•••• A•••• B•••••• | Raleigh, Nc | Jun 24, 2025 | 11 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
- M•••••• S•••• A••••• from T•••• A•••••••• L••Aug 3, 2023 · Other
- N••• M•••• S••••• from T•••• A•••••••• L••Apr 26, 2023 · 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
- A•••••• M••••••• S•••• · Managing Member / Ccocontrolsince 01/2023 · owns 50% to 75%
- O•••••• N•••• M•••• · Managing Membercontrolsince 01/2023 · 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 |
|---|---|---|---|---|---|
| Raleigh, Nc · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 2 to 3Oct 31, 2025 to Jan 30, 2026
- BD registered reps · 2 to 3Oct 31, 2025 to Jan 30, 2026
- HNW clients · 51 to 56Oct 31, 2025 to Jan 30, 2026
- Individual clients · 112 to 130Oct 31, 2025 to Jan 30, 2026
- Assets in custody · $36.7M to $40.6MOct 31, 2025 to Jan 30, 2026
- Insurance-licensed employees · 2 to 0Oct 31, 2025 to Jan 30, 2026
- State-registered IARs · 2 to 3Oct 31, 2025 to Jan 30, 2026
- Discretionary RAUM · $138M to $157MOct 31, 2025 to Jan 30, 2026
- HNW RAUM · $103M to $115MOct 31, 2025 to Jan 30, 2026
- Individual RAUM · $32.7M to $42.1MOct 31, 2025 to Jan 30, 2026
- Non-discretionary RAUM · $0 to $1.5MOct 31, 2025 to Jan 30, 2026
- Pension RAUM · 2270297.0 to unsetOct 31, 2025 to Jan 30, 2026
- RAUM · $138M to $158MOct 31, 2025 to Jan 30, 2026
- Financial planning clients · 1-10 to 1-10Feb 3, 2025 to Apr 7, 2025
- Accounts · 515 to 482Feb 12, 2024 to Feb 3, 2025
- HNW clients · 55 to 51Feb 12, 2024 to Feb 3, 2025
- Individual clients · 164 to 112Feb 12, 2024 to Feb 3, 2025
- Assets in custody · unset to 36703135.0Feb 12, 2024 to Feb 3, 2025
- Custody of client assets · false to trueFeb 12, 2024 to Feb 3, 2025
- Discretionary RAUM · $118M to $138MFeb 12, 2024 to Feb 3, 2025
- HNW RAUM · $80.9M to $103MFeb 12, 2024 to Feb 3, 2025
- Individual RAUM · $38.2M to $32.7MFeb 12, 2024 to Feb 3, 2025
- Non-discretionary RAUM · $2.5M to $0Feb 12, 2024 to Feb 3, 2025
- Pension RAUM · $1.2M to $2.3MFeb 12, 2024 to Feb 3, 2025
- RAUM · $121M to $138MFeb 12, 2024 to Feb 3, 2025
- Accounts · 185 to 515Sep 11, 2023 to Feb 12, 2024
- HNW clients · unset to 55.0Sep 11, 2023 to Feb 12, 2024
- Individual clients · unset to 164.0Sep 11, 2023 to Feb 12, 2024
- Employees · 4 to 5Sep 11, 2023 to Feb 12, 2024
- Insurance-licensed employees · 1 to 2Sep 11, 2023 to Feb 12, 2024
- Financial planning clients · 0 to 1-10Sep 11, 2023 to Feb 12, 2024
- Discretionary RAUM · $100M to $118MSep 11, 2023 to Feb 12, 2024
- HNW RAUM · unset to 80922541.0Sep 11, 2023 to Feb 12, 2024
- Individual RAUM · unset to 38223691.0Sep 11, 2023 to Feb 12, 2024
- Non-discretionary RAUM · $0 to $2.5MSep 11, 2023 to Feb 12, 2024
- Pension RAUM · unset to 1200000.0Sep 11, 2023 to Feb 12, 2024
- RAUM · $100M to $121MSep 11, 2023 to Feb 12, 2024
- Accounts · unset to 185.0Apr 24, 2023 to Jul 7, 2023
- Discretionary RAUM · unset to 100324023.0Apr 24, 2023 to Jul 7, 2023
- Non-discretionary RAUM · unset to 0.0Apr 24, 2023 to Jul 7, 2023
Signals
1 dated events
- A•• A•••••••• L•• filed its initial SEC registration (Form ADV)Feb 9, 2023 · 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 phone
- 919-758-8918reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 919-758-8911reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/aim-advisors-ncreportedpublic record, Form ADV, Sep 18, 2026
- Website
- aimnc1031.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 919-758-8911reportedpublic record, Form ADV, Jan 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
- $52.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026