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
H•••••• S••••• W••••• A••••••• L••
Latest filing Jul 31, 2026
First filing on the tape Jul 9, 2025 · 5 filings
SEC status approved since Jul 2, 2025
RAUM
$102M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
98%
$99.4M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$25.4M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$102M as of Jul 31, 2026
Jul 9, 2025$0 then
HNW client RAUM$86.0M as of Jul 31, 2026
Jul 9, 2025$0 then
State-registered IARs (5.B.3)1 as of Jul 31, 2026
Jul 9, 20251 then
Employees (5.A)2 as of Jul 31, 2026
Jul 9, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 31, 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
- RAUM per advisor
- $25.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $377,695derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$86.0M85%
- Individuals$13.4M13%
- Corporations and businesses$1.6M1.5%
- Pension and profit-sharing plans$460,7410.5%
- Charitable organizations$165,1820.2%
- Individual clients
- 45reported
- HNW clients
- 50reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 269reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• G••••••• F••••Certified Financial Planner | King, Nc | Jul 3, 2025 | 30 y | 2 |
| J••••• A••• S••••• | Winston-Salem, Nc | Mar 3, 2026 | 16 y | 0 |
| B••••• L••••• B••••• J•••••Certified Financial Planner | King, Nc | Apr 2, 2026 | 15 y | 1 |
| L•••••• L• F•••••• | King, Nc | Jun 23, 2026 | 23 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- L•••••• L• F•••••• from U•• F•••••••• S••••••• I•••Jun 23, 2026 · Wirehouse to independent RIA
- B••••• L••••• B••••• J••••• from E•• F•••••••• A•••••••Apr 2, 2026 · RIA to RIA
- D•••• G••••••• F•••• from U•• F•••••••• S••••••• I•••Jul 3, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from U•• F•••••••• S••••••• I•••Jul 14, 2025 · King, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• D••••• G••••••• · Managing Member And Chief Compliance Officercontrolsince 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| King, Nc | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 251 to 269Nov 19, 2025 to Feb 27, 2026
- HNW clients · 47 to 50Nov 19, 2025 to Feb 27, 2026
- Individual clients · 41 to 45Nov 19, 2025 to Feb 27, 2026
- Discretionary RAUM · $92.5M to $96.0MNov 19, 2025 to Feb 27, 2026
- HNW RAUM · $90.7M to $86.0MNov 19, 2025 to Feb 27, 2026
- Individual RAUM · $11.3M to $13.4MNov 19, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $11.8M to $5.6MNov 19, 2025 to Feb 27, 2026
- Pension RAUM · $576,105 to $460,741Nov 19, 2025 to Feb 27, 2026
- RAUM · $104M to $102MNov 19, 2025 to Feb 27, 2026
- Accounts · 0 to 251Jul 9, 2025 to Nov 19, 2025
- Advisory activities · 5 to 3Jul 9, 2025 to Nov 19, 2025
- Charity clients · 0 to 1Jul 9, 2025 to Nov 19, 2025
- Corporate clients · 0 to 1Jul 9, 2025 to Nov 19, 2025
- HNW clients · 0 to 47Jul 9, 2025 to Nov 19, 2025
- Individual clients · 0 to 41Jul 9, 2025 to Nov 19, 2025
- Pension plan clients · 0 to 1Jul 9, 2025 to Nov 19, 2025
- Financial planning clients · 0 to 51-100Jul 9, 2025 to Nov 19, 2025
- Other offices · 0 to 1Jul 9, 2025 to Nov 19, 2025
- Discretionary RAUM · $0 to $92.5MJul 9, 2025 to Nov 19, 2025
- HNW RAUM · $0 to $90.7MJul 9, 2025 to Nov 19, 2025
- Individual RAUM · $0 to $11.3MJul 9, 2025 to Nov 19, 2025
- Non-discretionary RAUM · $0 to $11.8MJul 9, 2025 to Nov 19, 2025
- Pension RAUM · $0 to $576,105Jul 9, 2025 to Nov 19, 2025
- RAUM · $0 to $104MJul 9, 2025 to Nov 19, 2025
Signals
1 dated events
- 2 advisors left U•• F•••••••• S••••••• I••• (King, NC) for H•••••• S••••• W••••• A••••••• L•• on the same dayJul 14, 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 email
- success@h•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 336-444-2680reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- hanoversquarewa.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 336-444-2680reportedpublic record, Form ADV, Jul 31, 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
- $25.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026