DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

P•••••• C••••••••• W••••• M••••••••• L••

CRD 312022

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:7423e735-7dfb-50d7-d136-f9c07bf85073

Data as of Jun 13, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 10
On other graphs: 0
Observed: Dec 11, 2020 to Jun 13, 2025
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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $131M••• Locked
Discretionary RAUM: $131M
Private client RAUM: $128Mderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
O••••• A••••• T•	MANAGING PRINCIPAL / CCO	E	yes	01/2021	Dec 11, 2020	May 17, 2021

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Weddington	Nc	United States	1	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
2024	Apr 17, 2025	$131M	$131M	7	7	4	n/a	n/a

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	2	-2	n/a	0	0	0	1	6

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$131M	n/a	n/a	n/a	n/a	7	n/a	1	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
B•••••••• A•••• M••••••••• L••	2	Jun 17, 2026	Jun 18, 2026	WEDDINGTON, NC	Team lift out	RIA to RIA	100.0%
E••••••• P•••••• W•••••	3	Apr 15, 2025	Jan 2, 2026

Relationships

Moved with (2)

→ B•••••••• A•••• M••••••••• L••Registered adviser2 advisors, team lift out, same day
Jun 17, 2026 to Jun 18, 2026factForm ADV
→ E••••••• P•••••• W•••••Registered adviser3 advisors, firm absorbed
Apr 15, 2025 to Jan 2, 2026factForm ADV

Registered with (6)

← A•••• T• O••••Advisorregistration: previous registration
Jan 19, 2021 to Jun 17, 2026factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jun 17, 2026
Team lift-out
••• Locked
Form ADVobserved 6 days ago
2 advisors
Occurred
Jun 17, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 17, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7423e735-7dfb-50d7-d136-f9c07bf85073
First observed: Dec 11, 2020
Last observed: Jun 13, 2025 15 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.