DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

PRIVATE WEALTH MANAGEMENT OF NORTH CAROLINA LLC

CRD 149889

HENDERSON, 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:8e5ef72f-4580-7564-b37c-873055b96594

Data as of Mar 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jan 17, 2012 to Mar 17, 2026
31 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=0.1 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $163MItem 5.F on the latest filing (2026-03-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $163M
Private client RAUM: $146MderivedItem 5.D individuals plus high net worth individuals
Private client share: 90%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $54.3Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 3
Advisory employees: 3
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 742
Individual clients: 232
High net worth clients: 35
Custody, client assets: $53.0M
SEC number: 801-108507
CRD: 149889
Filings on the tape: 31
First filed: Jan 17, 2012
Latest filed: Mar 17, 2026
Organised: Limited Liability Company, DE

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
TONEY OTIS FALKNER	n/a	Raleigh, NC \| HENDERSON, NC	16	29	3	no
RICHARD ALTLAND SPEERS	Chartered Financial Consultant	Raleigh, NC \| HENDERSON, NC	16	27	3	no
MATTHEW BRIEN WOODLIEF	n/a	HENDERSON, NC \| Raleigh, NC	14	15	n/a	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
FALKNER, TONEY, OTIS	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	E	yes	10/2009	Jan 17, 2012	Oct 30, 2024

Offices

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

City	State	Country	Employees	Also broker-dealer
Raleigh	Nc	United States	3	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; showing 11 of 12

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 17, 2026	$163M	$163M	3	3	1	n/a	n/a
2024	Mar 17, 2025	$147M	$147M	3	3	1	n/a	n/a
2023	Feb 26, 2024	$165M	$165M	4	4	1	n/a	n/a
2022	Feb 9, 2023	$146M	$146M	4	4	1	n/a	n/a
2021	Feb 23, 2022	$153M	$152M	4	4	1	n/a	n/a
2020	Jan 14, 2021	$117M	$117M	4	4	1	n/a	n/a
2019	Feb 6, 2020	$118M	$117M	4	4	1	n/a	n/a
2018	Feb 7, 2019	$103M	$102M	4	4	1	n/a	n/a
2017	Jan 25, 2018	$108M	$101M	5	5	1	n/a	n/a
2016	Mar 17, 2017	$141M	$97.4M	5	5	n/a	n/a	n/a
2011	Jan 17, 2012	$73.5M	$73.5M	n/a	n/a	n/a	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	$163M	$147M	11.0%	$146M	3.8%	3	3	1	1

Relationships

Registered with (4)

← MATTHEW BRIEN WOODLIEFAdvisorregistration: current employment
Mar 2, 2012 to presentfactForm ADV
← RICHARD ALTLAND SPEERSAdvisorregistration: current employment
Feb 17, 2010 to presentfactForm ADV
← TONEY OTIS FALKNERAdvisorregistration: current employment
Oct 12, 2009 to presentfactForm ADV
← MATTHEW ALTLAND CHOPLINAdvisorregistration: previous registration
Apr 25, 2013 to Feb 4, 2025factForm ADV

Controls (1)

← FALKNER, TONEY, OTISOwnerMANAGING MEMBER AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Jan 17, 2012 to Oct 30, 2024factForm ADV

Dated events

Occurred
Feb 4, 2025
Advisor changed firm
Matthew Altland Choplin left Private Wealth Management Of North Carolina Llc for Innovest Strategies Llc (registered 2025-03-18)
Form ADVobserved 6 days ago
Occurred
Oct 4, 2016
First Form ADV filing
Private Wealth Management Of North Carolina Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8e5ef72f-4580-7564-b37c-873055b96594
First observed: Jan 17, 2012
Last observed: Mar 17, 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.

PRIVATE WEALTH MANAGEMENT OF NORTH CAROLINA LLC

CRD 149889

HENDERSON, 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:8e5ef72f-4580-7564-b37c-873055b96594

Data as of Mar 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:20 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

TONEY OTIS FALKNER

n/a

Raleigh, NC | HENDERSON, NC

RICHARD ALTLAND SPEERS

Chartered Financial Consultant

Raleigh, NC | HENDERSON, NC

MATTHEW BRIEN WOODLIEF

n/a

HENDERSON, NC | Raleigh, NC

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FALKNER, TONEY, OTIS

MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER

yes

10/2009

Jan 17, 2012

Oct 30, 2024

City

State

Country

Employees

Also broker-dealer

Raleigh

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 17, 2026

$163M

n/a

2024

Mar 17, 2025

$147M

n/a

2023

Feb 26, 2024

$165M

n/a

2022

Feb 9, 2023

$146M

n/a

2021

Feb 23, 2022

$153M

$152M

n/a

2020

Jan 14, 2021

$117M

n/a

2019

Feb 6, 2020

$118M

$117M

n/a

2018

Feb 7, 2019

$103M

$102M

n/a

2017

Jan 25, 2018

$108M

$101M

n/a

2016

Mar 17, 2017

$141M

$97.4M

n/a

2011

Jan 17, 2012

$73.5M

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

$163M

$147M

11.0%

$146M

3.8%