DFX Intelligence

T•• R•••• W••••• P•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

T•• R•••• W••••• P•••••••• L••

CRD 328530

L••••BURG, NC

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Search this name across graphs

Data as of Aug 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 4
On other graphs: 0
Observed: Nov 8, 2023 to Aug 26, 2026
8 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=0.92 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $401M••• Locked
Discretionary RAUM: $260M
Private client RAUM: $370Mderived••• Locked
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $80.2Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••• P••••• L••••••	n/a	L••••BURG, NC	2	42	2	no
A••••• Y•••••••• C••••••• L••••••	n/a	L••••BURG, NC	2	19

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••••• A•••••• Y•••••••• C•••••••	CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER	C	yes	10/2023	Nov 8, 2023	Apr 25, 2024
L••••••• J•••• ••••••• P•••••	CHIEF MARKETING OFFICER	C	yes	04/2024	Nov 8, 2023	Apr 25, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
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
2025	Feb 2, 2026

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	4	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	$401M	$370M	8.3%	n/a	n/a	9	9	1	1

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	3	Dec 31, 2023	Feb 16, 2024	L••••BURG, NC	Team lift out	Ibd to new firm	0.1%

Relationships

Registered with (5)

← R••• A••••• W••••••Advisorregistration: current employment
May 31, 2024 to presentfactForm ADV
← L•••• A••••• W••••••Advisorregistration: current employment
Apr 9, 2024 to presentfactForm ADV
← J•••• •••••• P••••• L••••••Advisorregistration: current employment
Feb 16, 2024 to presentfactForm ADV
← J•••• P••••• L••••••

Dated events

Order

Occurred
25 Apr 2024
Control person joined
••• Locked
Form ADV
Occurred
25 Apr 2024
Regulatory AUM changed
••• Locked
Form ADV
$108M
Occurred
31 Dec 2023
Team lift-out
••• Locked
Form ADV
3 advisors
Occurred
8 Nov 2023
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 8, 2023
Last observed: Aug 26, 2026 28 days 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.