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•••••••• I••••••••• I•••
Latest filing Feb 4, 2026
First filing on the tape Mar 1, 2022 · 8 filings
SEC status approved since Apr 4, 2022
RAUM
$277M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
16%
$44.8M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$139M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$277M as of Feb 4, 2026
Mar 1, 2022$109M then
HNW client RAUM$32.4M as of Feb 4, 2026
Mar 1, 2022$18.2M then
State-registered IARs (5.B.3)2 as of Feb 4, 2026
Mar 1, 20223 then
Employees (5.A)2 as of Feb 4, 2026
Mar 1, 20223 then
Private funds: no history
RAUM +22% over the last fiscal year+18% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $139MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 84%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.5%derived
- Compensation
- percentage of assets, hourly, commissionsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$233M84%
- High-net-worth individuals$32.4M12%
- Individuals$12.4M4.5%
- Individual clients
- 46reported
- HNW clients
- 23reported
- Pension plan clients
- 22reported
- Charitable clients
- n/areported
- Accounts
- 138reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, commissionsreported
- Class basis
- private_client_share=0.16 fund_share=0.0 institutional_share=0.84 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F••••••• W•••••• F•••••Chartered Financial Consultant | Charlotte, Nc | Dec 16, 2002 | 27 y | 0 |
| R•••••• W•••••• A•••• | Charlotte, Nc | Nov 5, 2003 | 27 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- H•••• W••• G••••• to Q••••••••• P••••••• L••Jan 8, 2013 · Other
- J••••• P•••••• L••••••• to Q••••••••• P••••••• L••Jan 8, 2013 · Other
- R•••••• P•••••• R••••• to Q••••••••• P••••••• L••Jan 8, 2013 · Other
Joined, latest
- R•••••• W•••••• A•••• from C••• A••••••• S•••••••Nov 5, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• R•••••• W•••••• J• · Chief Operating Officer, Aml Officer, Technology Officercontrolsince 02/2016 · owns 50% to 75%
- F•••••• F••••••• W•••••• · Ceo, Cco, Cfo, Finopcontrolsince 02/2016 · 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 |
|---|---|---|---|---|---|
| Charlotte, Nc · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Feb 4, 2026discretionary share of RAUM of 0% against a peer median of 100% (212 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: other advisers, $100M to $500M (212) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 134 to 138Feb 5, 2025 to Feb 4, 2026
- HNW clients · 20 to 23Feb 5, 2025 to Feb 4, 2026
- Individual clients · 48 to 46Feb 5, 2025 to Feb 4, 2026
- Pension plan clients · 20 to 22Feb 5, 2025 to Feb 4, 2026
- HNW RAUM · $26.8M to $32.4MFeb 5, 2025 to Feb 4, 2026
- Individual RAUM · $13.0M to $12.4MFeb 5, 2025 to Feb 4, 2026
- Non-discretionary RAUM · $227M to $277MFeb 5, 2025 to Feb 4, 2026
- Pension RAUM · $188M to $233MFeb 5, 2025 to Feb 4, 2026
- RAUM · $227M to $277MFeb 5, 2025 to Feb 4, 2026
- Accounts · 133 to 134Jan 19, 2024 to Feb 5, 2025
- HNW clients · 17 to 20Jan 19, 2024 to Feb 5, 2025
- Individual clients · 55 to 48Jan 19, 2024 to Feb 5, 2025
- Pension plan clients · 19 to 20Jan 19, 2024 to Feb 5, 2025
- Financial planning clients · unset to Jan 19, 2024 to Feb 5, 2025
- HNW RAUM · $20.6M to $26.8MJan 19, 2024 to Feb 5, 2025
- Individual RAUM · $15.3M to $13.0MJan 19, 2024 to Feb 5, 2025
- Non-discretionary RAUM · $201M to $227MJan 19, 2024 to Feb 5, 2025
- Pension RAUM · $165M to $188MJan 19, 2024 to Feb 5, 2025
- RAUM · $201M to $227MJan 19, 2024 to Feb 5, 2025
- Accounts · 126 to 133Apr 30, 2023 to Jan 19, 2024
- Advisory employees · 3 to 2Apr 30, 2023 to Jan 19, 2024
- BD registered reps · 3 to 2Apr 30, 2023 to Jan 19, 2024
- HNW clients · 20 to 17Apr 30, 2023 to Jan 19, 2024
- Individual clients · 49 to 55Apr 30, 2023 to Jan 19, 2024
- Pension plan clients · 18 to 19Apr 30, 2023 to Jan 19, 2024
- Employees · 3 to 2Apr 30, 2023 to Jan 19, 2024
- State-registered IARs · 3 to 2Apr 30, 2023 to Jan 19, 2024
- Discretionary RAUM · $171M to $0Apr 30, 2023 to Jan 19, 2024
- HNW RAUM · $19.8M to $20.6MApr 30, 2023 to Jan 19, 2024
- Individual RAUM · $10.7M to $15.3MApr 30, 2023 to Jan 19, 2024
- Non-discretionary RAUM · $0 to $201MApr 30, 2023 to Jan 19, 2024
- Pension RAUM · $140M to $165MApr 30, 2023 to Jan 19, 2024
- RAUM · $171M to $201MApr 30, 2023 to Jan 19, 2024
- Accounts · 114 to 126Apr 11, 2022 to Apr 30, 2023
- HNW clients · 18 to 20Apr 11, 2022 to Apr 30, 2023
- Individual clients · 96 to 49Apr 11, 2022 to Apr 30, 2023
- Pension plan clients · unset to 18.0Apr 11, 2022 to Apr 30, 2023
- Discretionary RAUM · $0 to $171MApr 11, 2022 to Apr 30, 2023
- HNW RAUM · $19.2M to $19.8MApr 11, 2022 to Apr 30, 2023
- Individual RAUM · $98.8M to $10.7MApr 11, 2022 to Apr 30, 2023
Signals
1 dated events
- M•••••••• I••••••••• I••• filed its initial SEC registration (Form ADV)Mar 1, 2022 · First SEC registration · 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
- M••••••••INVESTMENTSINC.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 704-716-2749reportedpublic record, Form ADV, Feb 4, 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
- Other adviserderiveda 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