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
M••••••••• F•••••••• M••••••••• I•••
Latest filing Jul 6, 2026
First filing on the tape Nov 12, 2025 · 4 filings
SEC status approved since Jan 30, 2026
RAUM
$418M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$411M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$139M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$418M as of Jul 6, 2026
Nov 12, 2025$0 then
HNW client RAUM$268M as of Jul 6, 2026
May 11, 2026$268M then
State-registered IARs (5.B.3)3 as of Jul 6, 2026
Nov 12, 20252 then
Employees (5.A)6 as of Jul 6, 2026
Nov 12, 20255 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 6, 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
- $139MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 233derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $282,623derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 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
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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$268M64%
- Individuals$143M34%
- Pension and profit-sharing plans$5.0M1.2%
- Insurance companies$1.5M0.4%
- Charitable organizations$500,0000.1%
- Individual clients
- 550reported
- HNW clients
- 150reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 1,479reported
- 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=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• G••••• P••• | Shelby, Nc | Mar 31, 2026 | 43 y | 2 |
| P•••••• L••••••• M••••• | Shelby, Nc | Mar 31, 2026 | 34 y | 3 |
| J•••••• R••• W••••• | Shelby, Nc | Jul 2, 2026 | 10 y | 0 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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•••••• L••••••• M••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Mar 31, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
- R••••• G••••• P••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Mar 31, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Apr 2, 2026 · Cornelius, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• P••••••• L••••••• · Vice President, Financial Planner, And Chief Compliance Officercontrolsince 08/2025 · owns 50% to 75%
- P•••• R•••••• G••••• · President And Financial Plannercontrolsince 08/2025 · 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 |
|---|---|---|---|---|---|
| Shelby, Nc · principal | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Jul 6, 2026private clients per advisor of 233.3 against a peer median of 57.3 (3076 comparable advisers, 98.0th percentile, 5.0 robust deviations)peers: independent wealth managers, $100M to $500M (3,076) · 98% percentile
What changed
consecutive filings, newest first
- Advisory employees · 2 to 3May 11, 2026 to Jul 6, 2026
- State-registered IARs · 2 to 3May 11, 2026 to Jul 6, 2026
- Accounts · 0 to 1,479Mar 31, 2026 to May 11, 2026
- HNW clients · unset to 150.0Mar 31, 2026 to May 11, 2026
- Individual clients · unset to 550.0Mar 31, 2026 to May 11, 2026
- Pension plan clients · unset to 5.0Mar 31, 2026 to May 11, 2026
- Discretionary RAUM · $0 to $418MMar 31, 2026 to May 11, 2026
- HNW RAUM · unset to 268000000.0Mar 31, 2026 to May 11, 2026
- Individual RAUM · unset to 143000000.0Mar 31, 2026 to May 11, 2026
- Pension RAUM · unset to 5000000.0Mar 31, 2026 to May 11, 2026
- RAUM · $0 to $418MMar 31, 2026 to May 11, 2026
- Employees · 5 to 6Nov 12, 2025 to Mar 31, 2026
Signals
1 dated events
- 2 advisors left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (Cornelius, NC) for M••••••••• F•••••••• M••••••••• I••• on the same dayApr 2, 2026 · 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
- 704-481-0101reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 704-484-9999reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- mauney-pitt.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (704) 481-0101reportedpublic record, Form ADV, Jul 6, 2026
- Contact form
- mauney-pitt.com/contactreportedpublished by the firm, firm site, Sep 15, 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
- $139Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026