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
N•••••• P•••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Nov 26, 2025 · 3 filings
SEC status approved since Nov 25, 2025
RAUM
$177M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$175M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$88.6M
derived; firm RAUM over IAPD count
Employees
11
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$177M as of Mar 23, 2026
Nov 26, 2025$0 then
HNW client RAUM: $152M
State-registered IARs (5.B.3)2 as of Mar 23, 2026
Nov 26, 20251 then
Employees (5.A)11 as of Mar 23, 2026
Nov 26, 20259 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 23, 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
- $88.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $400,118derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 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, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $46.1M, 70 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$152M86%
- Individuals$22.7M13%
- Pension and profit-sharing plans$2.4M1.4%
- Individual clients
- 73reported
- HNW clients
- 57reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 443reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $46.1M for 70 clientsreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••• N••••• W•••••••Certified Financial Planner | Fairhope, Al | Jan 12, 2026 | 12 y | 2 |
| D••••• R• L•••••••Certified Financial Planner | San Antonio, Tx | Jan 14, 2026 | 27 y | 5 |
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
- D••••• R• L••••••• from S•••• O•• W••••• M••••••••• L••Jan 14, 2026 · RIA to a newly registered adviser
- A•••••• N••••• W••••••• from S•••• O•• W••••• M••••••••• L••Jan 12, 2026 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S•••• O•• W••••• M••••••••• L••Jan 26, 2026 · San Antonio, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• C••••••• T••••• · Managing Membercontrolsince 10/2025 · owns less than 5%
- K•••• J•••••••• D••• · Partner And Chief Compliance Officercontrolsince 10/2025 · owns less than 5%
- P••••• B••••••• D••••• · Managing Membercontrolsince 10/2025 · owns less than 5%
Entity owners
- N•••••• P••••••• H•••••••• L•• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Fairhope, Al · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 23, 2026custody of client assets (Item 9.A): no on the filing of 2026-01-08, yes on the filing of 2026-03-23peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 0 to 443Jan 8, 2026 to Mar 23, 2026
- Advisory employees · 1 to 2Jan 8, 2026 to Mar 23, 2026
- HNW clients · unset to 57.0Jan 8, 2026 to Mar 23, 2026
- Individual clients · unset to 73.0Jan 8, 2026 to Mar 23, 2026
- Assets in custody · unset to 46094349.0Jan 8, 2026 to Mar 23, 2026
- Custody of client assets · false to trueJan 8, 2026 to Mar 23, 2026
- Employees · 9 to 11Jan 8, 2026 to Mar 23, 2026
- State-registered IARs · 1 to 2Jan 8, 2026 to Mar 23, 2026
- Other offices · 0 to 2Jan 8, 2026 to Mar 23, 2026
- Discretionary RAUM · $0 to $177MJan 8, 2026 to Mar 23, 2026
- HNW RAUM · unset to 152145530.0Jan 8, 2026 to Mar 23, 2026
- Individual RAUM · unset to 22687153.0Jan 8, 2026 to Mar 23, 2026
- Pension RAUM · unset to 2419521.0Jan 8, 2026 to Mar 23, 2026
- RAUM · $0 to $177MJan 8, 2026 to Mar 23, 2026
Signals
2 dated events
- 2 advisors left S•••• O•• W••••• M••••••••• L•• (San Antonio, TX) for N•••••• P•••••••• L•• a day apartJan 26, 2026 · Team lift-out · derived
- Brandon Downey Pilot, registered through B•••••••• C•••••• M••••••••• L•• (New York, NY), is a direct owner of N•••••• P•••••••• L••, an adviser first registered 2025-11-26Nov 26, 2025 · Owner of a newly registered adviser · 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
- 210-702-3647reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 251-725-9977reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/naviant-partners/posts/?feedView=allreportedpublic record, Form ADV, Sep 18, 2026
- Website
- n•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (251) 725-9977reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- n•••••••••.comreportedpublished 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
- $88.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026