DFX Intelligence

W••••••• C•••••• M••••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

W••••••• C•••••• M••••••••• I••

CRD 106865

ROCKY MOUNT, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:16962591-2154-9ec6-0930-3bfe79f66752

Data as of Feb 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Nov 17, 2011 to Feb 24, 2026
32 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.88 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $598M••• Locked
Discretionary RAUM: $566M
Private client RAUM: $525Mderived••• Locked
Private client share: 88%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $120Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S••• M•••••• G•••••••	Certified Financial Planner	CARY, NC \| ROCKY MOUNT, NC	15	32	3	no
R•••••• L•• S••••••	n/a	ROCKY MOUNT, NC	15	28

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••••• R••••••• L••	CHIEF COMPLIANCE OFFICER/CHAIRMAN/PRESIDENT	E	yes	12/2009	Nov 17, 2011	Nov 8, 2024
B••••••• W•••••• B•••••	Secretary	Na	no	07/1989	Nov 17, 2011	Nov 8, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Cary	Nc	United States	2	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$598M	$506M	18.3%	$346M	20.0%	9	10	2	2

Relationships

Registered with (6)

← M•••••• K••••••Advisorregistration: current employment
Feb 1, 2024 to presentfactForm ADV
← M•••••••• S•••• T••••••• S••••••Advisorregistration: current employment
Oct 17, 2023 to presentfactForm ADV
← D•••••• W•••••• S•••Advisorregistration: current employment
Dec 23, 2020 to presentfactForm ADV
← R•••••• L•• S••••••

Dated events

Occurred
Sep 30, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:16962591-2154-9ec6-0930-3bfe79f66752
First observed: Nov 17, 2011
Last observed: Feb 24, 2026 7 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.