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
P•••••• F•••••••• A••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Apr 27, 2023 · 8 filings
SEC status approved since May 26, 2023
RAUM
$176M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$173M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$88.2M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$176M as of Mar 25, 2026
Mar 21, 2024$112M then
HNW client RAUM$140M as of Mar 25, 2026
Mar 21, 2024$71.5M then
State-registered IARs (5.B.3)2 as of Mar 25, 2026
Mar 21, 20241 then
Employees (5.A)5 as of Mar 25, 2026
Mar 21, 20244 then
Private funds: no history
RAUM +27% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 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
- $88.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $334,084derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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$140M81%
- Individuals$33.6M19%
- Individual clients
- 96reported
- HNW clients
- 61reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 528reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 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 |
|---|---|---|---|---|
| T•••••• N••••••• M••• | Columbia, Md | Sep 18, 2023 | 32 y | 1 |
| J•••• B••••Certified Financial Planner | Columbia, Md | Nov 19, 2025 | 17 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- J•••• B•••• from C••••• W•••••Nov 19, 2025 · RIA to RIA
- T•••••• N••••••• M••• from C••••••••• F•••••••• A•••••••Sep 18, 2023 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••• T••••••• N••••••• · Chief Executive Officer, Chief Investment Officer & Chief Compliance Officercontrolsince 06/2023 · 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 |
|---|---|---|---|---|---|
| Columbia, Md · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 499 to 528Mar 14, 2025 to Mar 25, 2026
- HNW clients · 55 to 61Mar 14, 2025 to Mar 25, 2026
- Individual clients · 93 to 96Mar 14, 2025 to Mar 25, 2026
- Employees · 4 to 5Mar 14, 2025 to Mar 25, 2026
- Discretionary RAUM · $139M to $176MMar 14, 2025 to Mar 25, 2026
- HNW RAUM · $106M to $140MMar 14, 2025 to Mar 25, 2026
- Individual RAUM · $31.8M to $33.6MMar 14, 2025 to Mar 25, 2026
- RAUM · $139M to $176MMar 14, 2025 to Mar 25, 2026
- Accounts · 426 to 499Mar 21, 2024 to Mar 14, 2025
- Advisory employees · 1 to 2Mar 21, 2024 to Mar 14, 2025
- HNW clients · 38 to 55Mar 21, 2024 to Mar 14, 2025
- Individual clients · 98 to 93Mar 21, 2024 to Mar 14, 2025
- Financial planning clients · 0 to 0Mar 21, 2024 to Mar 14, 2025
- State-registered IARs · 1 to 2Mar 21, 2024 to Mar 14, 2025
- Discretionary RAUM · $112M to $139MMar 21, 2024 to Mar 14, 2025
- HNW RAUM · $71.5M to $106MMar 21, 2024 to Mar 14, 2025
- Individual RAUM · $39.2M to $31.8MMar 21, 2024 to Mar 14, 2025
- RAUM · $112M to $139MMar 21, 2024 to Mar 14, 2025
- Accounts · 395 to 426Sep 20, 2023 to Mar 21, 2024
- HNW clients · 53 to 38Sep 20, 2023 to Mar 21, 2024
- Individual clients · 76 to 98Sep 20, 2023 to Mar 21, 2024
- Discretionary RAUM · $101M to $112MSep 20, 2023 to Mar 21, 2024
- HNW RAUM · $73.0M to $71.5MSep 20, 2023 to Mar 21, 2024
- Individual RAUM · $27.3M to $39.2MSep 20, 2023 to Mar 21, 2024
- RAUM · $101M to $112MSep 20, 2023 to Mar 21, 2024
- Accounts · 0 to 395Jun 22, 2023 to Sep 20, 2023
- HNW clients · unset to 53.0Jun 22, 2023 to Sep 20, 2023
- Individual clients · unset to 76.0Jun 22, 2023 to Sep 20, 2023
- Employees · 1 to 4Jun 22, 2023 to Sep 20, 2023
- HQ city · unset to COLUMBIAJun 22, 2023 to Sep 20, 2023
- HQ state · unset to MDJun 22, 2023 to Sep 20, 2023
- State-registered IARs · 0 to 1Jun 22, 2023 to Sep 20, 2023
- Discretionary RAUM · $0 to $101MJun 22, 2023 to Sep 20, 2023
- HNW RAUM · unset to 73002639.0Jun 22, 2023 to Sep 20, 2023
- Individual RAUM · unset to 27292804.0Jun 22, 2023 to Sep 20, 2023
- RAUM · $0 to $101MJun 22, 2023 to Sep 20, 2023
- Financial planning clients · unset to 0Apr 27, 2023 to May 1, 2023
Signals
5 dated events
- Nicholas Timothy M••• (Chief Executive Officer, Chief Investment Officer & Chief Compliance Officer) appeared on Schedule A of P•••••• F•••••••• A••••••• L••Jun 21, 2023 · Control person joined · fact
- R••• C•••••••• M••• (Chief Executive Officer, Chief Investment Officer, And Chief Compliance Officer) no longer on Schedule A of P•••••• F•••••••• A••••••• L•• (listed 2023-05-01, absent 2023-06-21)Jun 21, 2023 · Control person left · inference
- C•••••••• M••• (Chief Compliance Officer) no longer on Schedule A of P•••••• F•••••••• A••••••• L•• (listed 2023-04-27, absent 2023-05-01)May 1, 2023 · Control person left · inference
- R••• C•••••••• M••• (Chief Executive Officer, Chief Investment Officer, And Chief Compliance Officer) appeared on Schedule A of P•••••• F•••••••• A••••••• L••May 1, 2023 · Control person joined · fact
- P•••••• F•••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Apr 27, 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
- 301-804-0250reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/pointerfinancialadvisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- pointeradvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 301-804-0250reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- pointeradvisors.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $88.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026