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

I••••••••• P•••••••• I•••

Independent wealth managerCornelius, North CarolinaCRD 336307SEC 801-133844websiteIAPD
Latest filing Aug 7, 2026
First filing on the tape Jul 16, 2025 · 4 filings
SEC status approved since Nov 25, 2025
RAUM
$101M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$101M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$33.8M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$101M as of Aug 7, 2026
Jul 16, 2025$0 then
HNW client RAUM$71.6M as of Aug 7, 2026
Mar 31, 2026$71.6M then
State-registered IARs (5.B.3)3 as of Aug 7, 2026
Jul 16, 20252 then
Employees (5.A)6 as of Aug 7, 2026
Jul 16, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 7, 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
$33.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
75derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$236,328derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 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
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$101M, 224 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
  • is an insurance broker or agent (6.A.6)
  • 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$71.6M71%
  • Individuals$29.8M29%
Individual clients
188reported
HNW clients
36reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
429reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$101M for 224 clientsreported
Compensation
% of AUM, hourlyreported
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
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
A••••• J•••• G•••••Cornelius, NcJul 10, 202512 y2
S•••• P•••••• L••Cornelius, NcAug 6, 202518 y5
N••••••• J••• L••••••Certified Financial PlannerCornelius, NcJan 6, 202610 y2
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
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L••• S••••• P•••••• · Managing Member/Ccocontrol
        since 04/2025 · 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
      OfficeAdvisorsJoinedLeftTeams outForming
      Cornelius, Nc · principal310
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 412 to 429
        Nov 19, 2025 to Mar 31, 2026
      • Advisory employees · 2 to 3
        Nov 19, 2025 to Mar 31, 2026
      • HNW clients · unset to 36.0
        Nov 19, 2025 to Mar 31, 2026
      • Individual clients · 412 to 188
        Nov 19, 2025 to Mar 31, 2026
      • Assets in custody · unset to 101384621.0
        Nov 19, 2025 to Mar 31, 2026
      • Custody of client assets · false to true
        Nov 19, 2025 to Mar 31, 2026
      • Employees · 2 to 6
        Nov 19, 2025 to Mar 31, 2026
      • Financial planning clients · 0 to 51-100
        Nov 19, 2025 to Mar 31, 2026
      • State-registered IARs · 2 to 3
        Nov 19, 2025 to Mar 31, 2026
      • Discretionary RAUM · $100M to $101M
        Nov 19, 2025 to Mar 31, 2026
      • HNW RAUM · unset to 71576431.0
        Nov 19, 2025 to Mar 31, 2026
      • Individual RAUM · $100M to $29.8M
        Nov 19, 2025 to Mar 31, 2026
      • RAUM · $100M to $101M
        Nov 19, 2025 to Mar 31, 2026
      • Accounts · 0 to 412
        Jul 16, 2025 to Nov 19, 2025
      • Individual clients · unset to 412.0
        Jul 16, 2025 to Nov 19, 2025
      • Financial planning clients · 0 to 0
        Jul 16, 2025 to Nov 19, 2025
      • Discretionary RAUM · $0 to $100M
        Jul 16, 2025 to Nov 19, 2025
      • Individual RAUM · unset to 100245398.0
        Jul 16, 2025 to Nov 19, 2025
      • RAUM · $0 to $100M
        Jul 16, 2025 to Nov 19, 2025
      Signals
      1 dated events
      • 2 advisors left A•••••••• C•••••• M••••••••• (Cornelius, NC) for I••••••••• P•••••••• I••• on the same day
        Aug 5, 2025 · Team lift-out · derived
      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
      704-610-2134reportedpublished by the firm, firm site, Sep 16, 2026
      Business phone
      704-947-8444reportedpublished by the firm, firm site, Sep 16, 2026
      Website
      m•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
      Principal office phone
      (704) 947-8444reportedpublic record, Form ADV, Aug 7, 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
      $33.8Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026