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•••••• W••••• S••••••••• L••
Legal name P•••••• W••••• M••••••••• L••
Latest filing Feb 13, 2026
First filing on the tape Aug 26, 2025 · 3 filings
SEC status approved since Sep 30, 2025
RAUM
$457M
reported, Item 5.F
Discretionary
68%
of RAUM
Private clients
99%
$453M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$457M as of Feb 13, 2026
Aug 26, 2025$0 then
HNW client RAUM$365M as of Feb 13, 2026
Jan 28, 2026$365M then
State-registered IARs (5.B.3)4 as of Feb 13, 2026
Aug 26, 20256 then
Employees (5.A)7 as of Feb 13, 2026
Aug 26, 20257 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 13, 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
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 121derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $215,678derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 68%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$365M80%
- Individuals$88.2M19%
- Pension and profit-sharing plans$3.5M0.8%
- Charitable organizations$849,5050.2%
- Individual clients
- 297reported
- HNW clients
- 186reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,121reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 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 |
|---|---|---|---|---|
| K••••• D•••••••• P•••••• | Raleigh, Nc | Oct 27, 2025 | 15 y | 1 |
| A••• W••••• B•••Certified Financial Planner | Raleigh, Nc | Oct 27, 2025 | 16 y | 3 |
| M•••••• M••••• S•••••Certified Financial Planner | Raleigh, Nc | Oct 27, 2025 | 11 y | 2 |
| P••••• S•• R•••••Certified Financial Planner | Raleigh, Nc | Oct 27, 2025 | 32 y | 3 |
Advisor movement
0 left, 4 joined in 12 months
net +4 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
- P••••• S•• R••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 27, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- K••••• D•••••••• P•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 27, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• M••••• S••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 27, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- A••• W••••• B••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 27, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 2, 2025 · Raleigh, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• P•••••• S•• · Foundercontrolsince 08/2025 · owns 75% or more
- B•••• A•••• W••••• · Chief Compliance Officersince 08/2025 · owns less than 5%
- P••••••• K•••••• D•••••••• · Partnersince 08/2025 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Raleigh, Nc · principal | 4 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 2,121Aug 26, 2025 to Jan 28, 2026
- Advisory activities · 2 to 4Aug 26, 2025 to Jan 28, 2026
- Corporate clients · unset to 0.0Aug 26, 2025 to Jan 28, 2026
- HNW clients · unset to 186.0Aug 26, 2025 to Jan 28, 2026
- Individual clients · unset to 297.0Aug 26, 2025 to Jan 28, 2026
- Pooled vehicle clients · unset to 0.0Aug 26, 2025 to Jan 28, 2026
- Commission compensation · true to falseAug 26, 2025 to Jan 28, 2026
- Financial planning clients · 0 to 251-500Aug 26, 2025 to Jan 28, 2026
- State-registered IARs · 6 to 4Aug 26, 2025 to Jan 28, 2026
- Discretionary RAUM · $0 to $311MAug 26, 2025 to Jan 28, 2026
- HNW RAUM · unset to 364858597.0Aug 26, 2025 to Jan 28, 2026
- Individual RAUM · unset to 88231806.0Aug 26, 2025 to Jan 28, 2026
- Non-discretionary RAUM · $0 to $146MAug 26, 2025 to Jan 28, 2026
- Pension RAUM · unset to 3513358.0Aug 26, 2025 to Jan 28, 2026
- RAUM · $0 to $457MAug 26, 2025 to Jan 28, 2026
- Wrap assets (manager) · 0.0 to unsetAug 26, 2025 to Jan 28, 2026
- Wrap assets (sponsor) · 0.0 to unsetAug 26, 2025 to Jan 28, 2026
Signals
1 dated events
- 4 advisors left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (Raleigh, NC) for P•••••• W••••• S••••••••• L•• on the same dayOct 2, 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
- 919-847-7333reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 919-847-7600reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- pursuitwealthstrategies.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 919-847-7600reportedpublic record, Form ADV, Feb 13, 2026
- Team page
- pursuitwealthstrategies.com/our-teamreportedpublished 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
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026