DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

S•••• I••••••••• C••••••••• I••

CRD 104855

WINSTON S••••, NC

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Search this name across graphsid dfx:ria:8b828a62-81a7-da15-ed08-c52951788e58

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 6
On other graphs: 0
Observed: Mar 28, 2012 to Mar 25, 2026
19 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=0.9 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $4.2B••• Locked
Discretionary RAUM: $4.1B
Private client RAUM: $3.8Bderived••• Locked
Private client share: 90%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 13
RAUM per advisor: $322Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
W•••••• R••••• W•••••	n/a	WINSTON-S••••, NC	32	44	n/a	no
J•••••• C••••• H•••••	n/a	WINSTON-S••••, NC	29	30

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• D•••• M•••••	BOARD CHAIRMAN	B	yes	01/2020	Mar 25, 2026	Mar 25, 2026
J••••• K••••••• S••••	VICE PRESIDENT	B	yes	07/2010	Mar 25, 2026	Mar 25, 2026

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Durham	Nc	United States	2	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
1	1	0	7.7%	0	1	0	1	1

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	$4.2B	$3.8B	8.9%	$3.0B	11.8%	18	18	1	1

Relationships

Registered with (14)

← A••••• D•••••• K•••••Advisorregistration: current employment
Jan 20, 2026 to presentfactForm ADV
← G••••• G••••••• K•••••Advisorregistration: current employment
Jan 20, 2025 to presentfactForm ADV
← M•••••• S•••••• S••••••Advisorregistration: current employment
Nov 18, 2022 to presentfactForm ADV
← J••••• K••• M••••••••

Dated events

Occurred
Jul 22, 2026
Advisor changed firm
Cooper A Taylor left S•••• I••••••••• C••••••••• I•• for Sounding Line Wealth Management, Llc (registered 2026-07-23)
Form ADVobserved 7 days ago
Occurred
Mar 27, 2024
Control person left
Irvin Mark Thompson (Vice President) no longer on Schedule A of S•••• I••••••••• C••••••••• I•• (listed 2023-03-31, absent 2024-03-27)
Form ADVobserved 7 days ago
Occurred
Mar 30, 2022
Regulatory AUM changed
S•••• I••••••••• C••••••••• I•• reported RAUM $3.5B, up 75% from $2.0B (2021-03-26 to 2022-03-30)
Form ADVobserved 7 days ago
$1.5B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8b828a62-81a7-da15-ed08-c52951788e58
First observed: Mar 28, 2012
Last observed: Mar 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.