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M••••••••• I••••••••• A•• R••••••••• A•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 1b 10b

M••••••••• I••••••••• A•• R••••••••• A•••••••• L••

CRD 117868

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Search this name across graphsid dfx:ria:380e8555-9560-4441-ff62-1b895eb548db

Data as of Jun 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 11
On other graphs: 1
Observed: Apr 11, 2012 to Jun 8, 2026
31 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

M••••••••• I••••••••• a•• R••••••••• A•••••••• L••

Investment consultant · shared crd

Facts

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

Firm class: institutional managerderivedprivate_client_share=0.02 fund_share=0.0 institutional_share=0.98 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.4BItem 5.F on the latest filing (2026-06-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.3B
Private client RAUM: $29.6MderivedItem 5.D individuals plus high net worth individuals
Private client share: 2%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••• M•••••• H••••••	n/a	WINSTON SALEM, NC	9	34	2	no
R•••• G••• C•••••	Certified Financial Planner	WINSTON SALEM, NC	9	24

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• R••••• G•••	CHIEF COMPLIANCE OFFICER	Na	yes	01/2000	Apr 11, 2012	Sep 18, 2024
C•••••• L••	Owner	C	yes	08/2024	Aug 27, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

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

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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	2

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.4B	$1.4B	0.8%	$1.6B	-4.5%	6	8	4	5

Relationships

Registered with (10)

← C•••• S•••••• D••••Advisorregistration: current employment
Sep 20, 2024 to presentfactForm ADV
← M•••••• A••• E•••••Advisorregistration: current employment
Sep 5, 2017 to presentfactForm ADV
← J•••• M•••••• H••••••Advisorregistration: previous registration
May 20, 2009 to Dec 31, 2016factForm ADV
← R•••• G••• C•••••

Dated events

Occurred
Jun 17, 2025
Advisor changed firm
Douglas Anthony Rongo left M••••••••• I••••••••• A•• R••••••••• A•••••••• L•• for Cambridge Investment Research Advisors, Inc. (registered 2025-06-16)
Form ADVobserved 7 days ago
Occurred
Aug 27, 2024
Control person joined
Morris Yvonne Rizk (Owner And Managing Member) appeared on Schedule A of M••••••••• I••••••••• A•• R••••••••• A•••••••• L••
Form ADVobserved 7 days ago
Occurred
Aug 27, 2024
Control person joined
Clay John Dixon (Owner) appeared on Schedule A of M••••••••• I••••••••• A•• R••••••••• A•••••••• L••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:380e8555-9560-4441-ff62-1b895eb548db
First observed: Apr 11, 2012
Last observed: Jun 8, 2026 3 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.

2025	Mar 30, 2026	$1.4B	$1.3B	6	5	4	n/a	n/a
2024	Mar 26, 2025	$1.4B	$1.3B	8	8	5	n/a	n/a
2023	Mar 21, 2024	$1.7B	$51.6M	6	4	4	n/a	n/a
2022	Mar 29, 2023	$1.6B	$988M	10	7	4	n/a	n/a
2021	Mar 24, 2022	$1.8B	$1.2B	11	7	2	n/a	n/a
2020	Mar 24, 2021	$1.4B	$874M	10	6	2	n/a	n/a
2019	Mar 30, 2020	$1.0B	$635M	10	6	2	n/a	n/a
2018	Mar 14, 2019	$624M	$453M	8	5	1	n/a	n/a
2017	Mar 31, 2018	$738M	$531M	11	5	1	n/a	n/a
2016	Mar 30, 2017	$578M	$386M	10	4	n/a	n/a	n/a
2015	Mar 31, 2016	$570M	$447M	10	6	n/a	n/a	n/a
2014	Mar 31, 2015	$372M	$206M	10	6	n/a	n/a	n/a
2013	Mar 31, 2014	$245M	$27.2M	10	6	n/a	n/a	n/a
2012	Apr 1, 2013	$360M	$26.3M	10	6	n/a	n/a	n/a