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.

Former SEC-registered adviser

Synergy Investment Group, LLC

Former SEC-registered adviserKannapolis, North CarolinaCRD 46035SEC 801-68315IAPD

Latest filing Sep 10, 2012

First filing on the tape Dec 2, 2011 · 10 filings

RAUM

$20.8M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$10.4M

derived; firm RAUM over IAPD count

Employees

n/a

n/a advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

reported on Schedule D

History

10 filings and snapshots on the tape

RAUM$20.8M as of Sep 10, 2012

Dec 2, 2011$27.3M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Sep 10, 2012

Dec 2, 20110 then

Employees (5.A): no history

Private funds: no history

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Sep 10, 2012; every figure names its basis

RAUM per advisor: $10.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: $131,900derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: 0.3derived8 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 fees, commissionsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 158reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourly, commissionsreported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Kenneth Allen EirksonChartered Financial Consultant	Warrendale, Pa	Apr 26, 2012	34 y	1
Jeffrey Brett Vaughn	Kannapolis, Nc	Aug 16, 2012	32 y	3

Advisor movement

1 left, 0 joined in 12 months

net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months

Left, latest

Toni Marie Vaughan to Spark Asset Management Group
Dec 31, 2025 · Other
Rodney Martin Hager to Advice And Planning Services
Nov 14, 2019 · Other
Michael Andrew Sellers to Aspire Private Capital
Feb 4, 2019 · Other
Janet Colleen Galloway to Stonex Advisors Inc.
Aug 30, 2018 · Other
Jillianne Wilkinson to Bts Asset Management, Inc.
Nov 21, 2017 · Other
Phillip Thomas Whitley to H. Beck, Inc.
May 4, 2017 · Other
Alec L Nielsen to Arete Wealth Advisors, LLC
Jun 10, 2015 · Other
Leiland David Overson to Overson Advisory Group
Dec 31, 2012 · Other
Rachel Hill Ashman to Pnc Wealth Management
Nov 28, 2012 · Other
Joshua Ben Voisine to Pnc Wealth Management
Jun 28, 2012 · Other
Phillip Thomas Whitley to Sterne Agee Asset Management, Inc.
Mar 7, 2012 · Other
Daniel Spiegel to Sterne Agee Asset Management, Inc.
Mar 7, 2012 · Other
Gaurav Chand Lall to Sterne Agee Asset Management, Inc.
Mar 7, 2012 · Other
Toni Marie Vaughan to Sterne Agee Asset Management, Inc.
Mar 7, 2012 · Other
James Allen Burt to Sterne Agee Asset Management, Inc.
Mar 7, 2012 · Other

Joined, latest

Janet Colleen Galloway from Merrill Lynch, Pierce, Fenner & Smith Incorporated
Jul 16, 2018 · Other
Michael Andrew Sellers from Vanguard Advisers, Inc.
Sep 4, 2017 · Other
Rodney Martin Hager from Sterne Agee Asset Management, Inc.
Oct 21, 2015 · Other
Alec L Nielsen from Dewaay Capital Management
May 23, 2014 · Other
Leiland David Overson from Sterne Agee Asset Management, Inc.
May 8, 2012 · Other
Phillip Thomas Whitley from Sterne Agee Asset Management, Inc.
Apr 26, 2012 · Other
Toni Marie Vaughan from Sterne Agee Asset Management, Inc.
Apr 26, 2012 · Other
Joshua Ben Voisine from Suntrust Investment Services, Inc.
Mar 22, 2011 · Other
Jason Nicholas Abeles from Uvest Financial Services Group, Inc.
Feb 18, 2011 · Other
Rachel Hill Ashman from Wells Fargo Advisors
Feb 7, 2011 · Other
Matthew Haas Foster from Lanark Financial, Inc.
Dec 21, 2010 · Other
Jared Scott Friedman from Msi Financial Services, Inc.
Jun 23, 2010 · Other
Ryan Marshall Dantinne from Fifth Third Securities, Inc.
Mar 11, 2010 · Other
Jeffrey Brett Vaughn from Fifth Third Securities, Inc.
Feb 18, 2010 · Other
Jason Bradley Redditt from Advisoralliance, LLC
Feb 5, 2010 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Joseph Patrick Hayes · Chief Compliance Officercontrol
since 03/2012 · owns less than 5%
Jeffrey Dean Jones · Part Ownercontrol
since 07/1998 · owns less than 5%
Dean Jeffrey Jones · Majority Ownercontrol
since 08/2011 · owns 50% to 75% of Synergy Holding Group

Entity owners

Synergy Holding Group · Member
direct · owns 75% or more

Related persons

Schedule D 7.A

Jbs Liberty Securities, LLC
broker-dealerreal estaten

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Kannapolis, Nc · principal	2	0	0
Denver, Co	0	0	1

Offices

Schedule D 1.F, the 25 largest

Charlotte, NC
Cheyenne, WY
Cincinnati, OH
Denver, CO
King Of Prussia, PA
Mesa, AZ
,

What changed

consecutive filings, newest first

Accounts · 182 to 158
Jul 18, 2012 to Sep 10, 2012
Discretionary RAUM · $11.5M to $20.8M
Jul 18, 2012 to Sep 10, 2012
RAUM · $11.5M to $20.8M
Jul 18, 2012 to Sep 10, 2012
Accounts · 206 to 182
Mar 29, 2012 to Jun 27, 2012
Advisory activities · 5 to 3
Mar 29, 2012 to Jun 27, 2012
HQ city · CHARLOTTE to KANNAPOLIS
Mar 29, 2012 to Jun 27, 2012
Discretionary RAUM · $24.4M to $11.5M
Mar 29, 2012 to Jun 27, 2012
RAUM · $24.4M to $11.5M
Mar 29, 2012 to Jun 27, 2012
Accounts · 200 to 206
Dec 2, 2011 to Mar 29, 2012
Insurance-licensed employees · unset to 0.0
Dec 2, 2011 to Mar 29, 2012
Discretionary RAUM · $27.3M to $24.4M
Dec 2, 2011 to Mar 29, 2012
RAUM · $27.3M to $24.4M
Dec 2, 2011 to Mar 29, 2012

Signals

1 dated events

Toni Marie Vaughan left Synergy Investment Group, Llc for Spark Asset Management Group (registered 2017-06-19)
Dec 31, 2025 · Advisor changed firm · 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

Website: arribainvests.comreportedpublic record, Form ADV, Sep 17, 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: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: $10.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026