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.
SEC-registered adviser
Sanctuary Financial Planning, LLC
Latest filing Sep 10, 2026
First filing on the tape Apr 30, 2026 · 3 filings
SEC status approved since May 27, 2026
RAUM
$102M
reported, Item 5.F
Discretionary
41%
of RAUM
Private clients
100%
$102M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$34.1M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$102M as of Jun 24, 2026
Apr 30, 2026$102M then
HNW client RAUM$99.6M as of Jun 24, 2026
Apr 30, 2026$99.6M then
State-registered IARs (5.B.3)3 as of Jun 24, 2026
Apr 30, 20263 then
Employees (5.A)3 as of Jun 24, 2026
Apr 30, 20263 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 10, 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
- RAUM per advisor
- $34.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 15derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 41%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
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $81.4M, 11 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$99.6M97%
- Individuals$2.6M2.5%
- Individual clients
- 8reported
- HNW clients
- 36reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 67reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $81.4M for 11 clientsreported
- Compensation
- fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| James Gregory CharlesCertified Financial Planner, Chartered Financial Analyst | Charlotte, Nc | Apr 10, 2023 | 33 y | 1 |
| Sarah Karp Charles | Charlotte, Nc | Jul 5, 2023 | 18 y | 3 |
| Alex Joseph Mathews | Waxhaw, Nc | May 19, 2025 | 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
- Sarah Karp Charles from Forvis Mazars Wealth Advisors, LLCJul 5, 2023 · RIA to RIA
- James Gregory Charles from Dimensional Fund Advisors LPApr 10, 2023 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Gregory James Charles · Founder, Managing Member, Ccocontrolsince 03/2023 · owns 50% to 75%
- Karp Sarah Charles · Founder & Managing Membercontrolsince 06/2023 · 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 |
|---|---|---|---|---|---|
| Charlotte, Nc | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 26-50 to 26-50Jun 24, 2026 to Sep 10, 2026
- HQ city · to unsetJun 24, 2026 to Sep 10, 2026
- HQ state · to unsetJun 24, 2026 to Sep 10, 2026
- Related adviser · false to unsetJun 24, 2026 to Sep 10, 2026
- Related bank · false to unsetJun 24, 2026 to Sep 10, 2026
- Related broker-dealer · false to unsetJun 24, 2026 to Sep 10, 2026
- Related insurance company · false to unsetJun 24, 2026 to Sep 10, 2026
- Succession · false to unsetJun 24, 2026 to Sep 10, 2026
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
- Firm profile
- linkedin.com/company/sanctuaryfinancialplanningreportedpublic record, Form ADV, Sep 18, 2026
- Website
- sanctuaryfp.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (704) 705-8773reportedpublic record, Form ADV, Sep 10, 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
- $34.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026