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•• L••••• P•••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Mar 8, 2023 · 8 filings
SEC status approved since Apr 7, 2023
RAUM
$671M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
66%
$443M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$335M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$671M as of Mar 5, 2026
Mar 26, 2024$546M then
HNW client RAUM$442M as of Mar 5, 2026
Mar 26, 2024$339M then
State-registered IARs (5.B.3)1 as of Mar 5, 2026
Mar 26, 20241 then
Employees (5.A)3 as of Mar 5, 2026
Mar 26, 20244 then
Private funds: no history
RAUM +9.0% over the last fiscal yearIARs 1 to 1offices 0 to 1
Practice profile
derived from the filing of Mar 5, 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $335MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 12derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $24.5MderivedHNW RAUM over HNW clients
- Average account
- $11.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$442M66%
- Corporations and businesses$181M27%
- Charitable organizations$47.7M7.1%
- Individuals$1.0M0.2%
- Individual clients
- 6reported
- HNW clients
- 18reported
- Pension plan clients
- n/areported
- Charitable clients
- 4reported
- Accounts
- 60reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.66 fund_share=0.0 institutional_share=0.07 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 |
|---|---|---|---|---|
| A••••• B• S••••••Chartered Financial Analyst | Hickory, Nc | Apr 7, 2023 | 33 y | 1 |
| N••• K• H••••• | Hickory, Nc | Jun 17, 2026 | 12 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
- A••••• B• S•••••• from E•••••• H••••• • C•Apr 7, 2023 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• A•••••• B• · Owner, Manager, Managing Member, Chief Investment Officer, & Chief Compliance Officercontrolsince 04/2023 · 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 |
|---|---|---|---|---|---|
| Hickory, Nc · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Mar 5, 2026RAUM per account of $11,179,892 against a peer median of $610,947 (1443 comparable advisers, 100.0th percentile, 7.1 robust deviations)peers: independent wealth managers, $500M to $1B (1,443) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 58 to 60Mar 17, 2025 to Mar 5, 2026
- Individual clients · 5 to 6Mar 17, 2025 to Mar 5, 2026
- Other offices · 0 to 1Mar 17, 2025 to Mar 5, 2026
- Discretionary RAUM · $616M to $671MMar 17, 2025 to Mar 5, 2026
- HNW RAUM · $392M to $442MMar 17, 2025 to Mar 5, 2026
- Individual RAUM · $258,513 to $1.0MMar 17, 2025 to Mar 5, 2026
- RAUM · $616M to $671MMar 17, 2025 to Mar 5, 2026
- Accounts · 45 to 58Mar 26, 2024 to Mar 17, 2025
- Charity clients · 3 to 4Mar 26, 2024 to Mar 17, 2025
- Corporate clients · 7 to 8Mar 26, 2024 to Mar 17, 2025
- HNW clients · 17 to 18Mar 26, 2024 to Mar 17, 2025
- Employees · 4 to 3Mar 26, 2024 to Mar 17, 2025
- Financial planning clients · 0 to 0Mar 26, 2024 to Mar 17, 2025
- Discretionary RAUM · $546M to $616MMar 26, 2024 to Mar 17, 2025
- HNW RAUM · $339M to $392MMar 26, 2024 to Mar 17, 2025
- Individual RAUM · $288,950 to $258,513Mar 26, 2024 to Mar 17, 2025
- RAUM · $546M to $616MMar 26, 2024 to Mar 17, 2025
- Accounts · 27 to 45Jul 26, 2023 to Mar 26, 2024
- Corporate clients · 5 to 7Jul 26, 2023 to Mar 26, 2024
- HNW clients · 13 to 17Jul 26, 2023 to Mar 26, 2024
- Individual clients · 6 to 5Jul 26, 2023 to Mar 26, 2024
- Discretionary RAUM · $520M to $546MJul 26, 2023 to Mar 26, 2024
- HNW RAUM · $324M to $339MJul 26, 2023 to Mar 26, 2024
- Individual RAUM · $1.0M to $288,950Jul 26, 2023 to Mar 26, 2024
- RAUM · $520M to $546MJul 26, 2023 to Mar 26, 2024
- Accounts · 0 to 27Apr 7, 2023 to Jul 25, 2023
- Charity clients · unset to 3.0Apr 7, 2023 to Jul 25, 2023
- Corporate clients · unset to 5.0Apr 7, 2023 to Jul 25, 2023
- HNW clients · unset to 13.0Apr 7, 2023 to Jul 25, 2023
- Individual clients · unset to 6.0Apr 7, 2023 to Jul 25, 2023
- Discretionary RAUM · $0 to $520MApr 7, 2023 to Jul 25, 2023
- HNW RAUM · unset to 324240266.0Apr 7, 2023 to Jul 25, 2023
- Individual RAUM · unset to 1034438.0Apr 7, 2023 to Jul 25, 2023
- RAUM · $0 to $520MApr 7, 2023 to Jul 25, 2023
Signals
1 dated events
- A•• L••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Mar 8, 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
- 828-325-0655reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- ABSL•••••PARTNERS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 828-325-0655reportedpublic record, Form ADV, Mar 5, 2026
- Contact form
- a•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $335Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026