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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

C••••••••• C•••••• M••••••••• I•••

CRD 118205

RALEIGH, NC

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Search this name across graphsid dfx:ria:b73fcc9e-6ef0-4ef2-f2dc-c94ad1ad0656

Data as of Mar 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 27, 2012 to Mar 12, 2026
38 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=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $653MItem 5.F on the latest filing (2026-03-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $608M
Private client RAUM: $637MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor

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
D•••• G•••• W•••••	n/a	RALEIGH, NC	24	34	n/a	no
T••• W•••• S•••••	n/a	RALEIGH, NC	24	33

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
C••••• E•••• R••••••	CHIEF OPERATING OFFICER AND DIRECTOR OF COMPLIANCE	Na	yes	03/2018	Jul 26, 2023	Mar 21, 2024
S•••••• T•••• W••••	PRESIDENT,CHIEF COMPLIANCE OFFICER	E	yes	07/1994	Mar 27, 2012

Offices

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

City	State	Country	Employees	Also broker-dealer
Decatur	Ga	United States	4	no
Austin	TX	United States	4	no
Charlottesville	Va	United States	4	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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

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	0

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	$653M	$582M	12.1%	$428M	15.1%	8	8	0	0

Relationships

Registered with (4)

← D••••• C••••• S•••••Advisorregistration: current employment
Sep 9, 2010 to presentfactForm ADV
← C••• B•••••• C••••Advisorregistration: current employment
Nov 30, 2005 to presentfactForm ADV
← D•••• G•••• W•••••Advisorregistration: current employment
Dec 31, 2001 to presentfactForm ADV
← T••• W•••• S•••••

Dated events

Occurred
Jul 26, 2023
Control person joined
Rebecca Erin Capps (Chief Operating Officer And Director Of Compliance) appeared on Schedule A of C••••••••• C•••••• M••••••••• I•••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b73fcc9e-6ef0-4ef2-f2dc-c94ad1ad0656
First observed: Mar 27, 2012
Last observed: Mar 12, 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.

2025	Mar 12, 2026	$653M	$608M	8	4	0	n/a	n/a
2024	Mar 25, 2025	$582M	$540M	8	4	0	n/a	n/a
2023	Mar 21, 2024	$499M	$456M	8	4	3	n/a	n/a
2022	Mar 28, 2023	$428M	$387M	8	4	3	n/a	n/a
2021	Mar 22, 2022	$499M	$451M	9	4	3	n/a	n/a
2020	Mar 25, 2021	$439M	$397M	9	4	3	n/a	n/a
2019	Mar 30, 2020	$364M	$325M	9	4	3	n/a	n/a
2018	Mar 26, 2019	$298M	$260M	9	4	3	n/a	n/a
2017	Mar 23, 2018	$317M	$272M	8	4	3	n/a	n/a
2016	Feb 8, 2017	$270M	$231M	7	4	n/a	n/a	n/a
2015	Mar 16, 2016	$255M	$214M	7	4	n/a	n/a	n/a
2014	Mar 13, 2015	$243M	$203M	7	4	n/a	n/a	n/a
2013	Mar 25, 2014	$222M	$183M	7	4	n/a	n/a	n/a
2012	Mar 25, 2013	$163M	$125M	7	4	n/a	n/a	n/a
2011	Mar 27, 2012	$132M	$108M	n/a	n/a	n/a	n/a	n/a