DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC

CRD 323171

CARY, 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:3c442f0e-5bf4-e7cd-f35a-557bd4160626

Data as of Feb 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Sep 28, 2022 to Feb 25, 2026
11 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $120MItem 5.F on the latest filing (2026-02-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $120M
Private client RAUM: $120MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $59.8Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 570
Individual clients: 125
High net worth clients: 37
Custody, client assets: $75.0M
SEC number: 801-126797
CRD: 323171
Filings on the tape: 11
First filed: Sep 28, 2022
Latest filed: Feb 25, 2026
Organised: Limited Liability Company, NC

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
Paul Richards	Certified Financial Planner	CARY, NC	3	14	3	no
CARMAN THEODORE HICKS	Certified Financial Planner	CARY, NC	3	27	2	no

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
HICKS, CARMAN, THEODORE	CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER & MEMBER	E	yes	08/2022	Sep 28, 2022	Nov 22, 2024

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
2025	Feb 25, 2026	$120M	$120M	4	2	0	n/a	n/a
2024	Mar 11, 2025	$97.3M	$97.3M	4	2	0	n/a	n/a
2023	Mar 1, 2024	$124M	$124M	6	4	1	n/a	n/a
2022	Feb 23, 2023	$102M	$102M	6	4	1	n/a	n/a

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	0	1

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	$120M	$97.3M	22.9%	$102M	5.4%	4	4	0	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
WEALTHSHIELD PARTNERS, LLC	3	Jan 4, 2023	Dec 16, 2022	CARY, NC	Team lift out	RIA to new firm	14.3%

Relationships

Registered with (3)

← CARMAN THEODORE HICKSAdvisorregistration: current employment
Dec 16, 2022 to presentfactForm ADV
← Paul RichardsAdvisorregistration: current employment
Nov 16, 2022 to presentfactForm ADV
← Nathan Aaron CherryAdvisorregistration: previous registration
Nov 16, 2022 to Apr 18, 2024factForm ADV

Controls (1)

← HICKS, CARMAN, THEODOREOwnerCHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER & MEMBER, ownership code E, individual
Sep 28, 2022 to Nov 22, 2024factForm ADV

Moved with (1)

← WEALTHSHIELD PARTNERS, LLCRegistered adviser3 advisors, team lift out, same day
Jan 4, 2023 to Dec 16, 2022factForm ADV

Dated events

Occurred
Apr 18, 2024
Advisor changed firm
Nathan Aaron Cherry left Hicks & Associates Wealth Management, Llc for Fidelis Financial (registered 2024-02-06)
Form ADVobserved 4 days ago
Occurred
Jan 4, 2023
Team lift-out
3 advisors left Wealthshield Partners, LLC (Cary, NC) for Hicks & Associates Wealth Management, LLC on the same day
Form ADVobserved 3 days ago
3 advisors
Occurred
Sep 28, 2022
First Form ADV filing
Hicks & Associates Wealth Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3c442f0e-5bf4-e7cd-f35a-557bd4160626
First observed: Sep 28, 2022
Last observed: Feb 25, 2026 6 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.

HICKS & ASSOCIATES WEALTH MANAGEMENT, LLC

CRD 323171

CARY, 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:3c442f0e-5bf4-e7cd-f35a-557bd4160626

Data as of Feb 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:05 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

Paul Richards

Certified Financial Planner

CARY, NC

CARMAN THEODORE HICKS

Certified Financial Planner

CARY, NC

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HICKS, CARMAN, THEODORE

CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER & MEMBER

yes

08/2022

Sep 28, 2022

Nov 22, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 25, 2026

$120M

n/a

2024

Mar 11, 2025

$97.3M

n/a

2023

Mar 1, 2024

$124M

n/a

2022

Feb 23, 2023

$102M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$120M

$97.3M

22.9%

$102M

5.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WEALTHSHIELD PARTNERS, LLC

Jan 4, 2023

Dec 16, 2022

CARY, NC

Team lift out

RIA to new firm

14.3%