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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

WILLINGDON WEALTH MANAGEMENT LLC

CRD 129613

HUNTERSVILLE, 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:b8dee6ef-7c93-ad27-9479-7b3ca3f383f3

Data as of Jun 1, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 4
On other graphs: 1
Observed: Feb 28, 2012 to Jun 1, 2020
35 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

Willingdon Wealth Management LLC

Investment consultant · shared crd

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: $865MItem 5.F on the latest filing (2020-06-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $858M
Private client RAUM: $789MderivedItem 5.D individuals plus high net worth individuals
Private client share: 91%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12
Advisory employees: 12
Offices: 4Schedule D 1.F, beyond the principal office
Accounts: 2,484
Individual clients: 756
High net worth clients: 233
Custody, client assets: $226M
SEC number: 801-63624
CRD: 129613
Filings on the tape: 35
First filed: Feb 28, 2012
Latest filed: Jun 1, 2020
Organised: Corporation, North Carolina

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
KAYES, LEWIS, MICHAEL	PRESIDENT AND SHAREHOLDER	D	yes	11/2015	Feb 28, 2012	Jun 1, 2020
KAYES, LEWIS, MICHAEL	PRESIDENT, MANAGER	Na	yes	11/2003	Feb 28, 2012	Jun 1, 2020
KAYES, MARY LYNN	CHIEF COMPLIANCE OFFICER, MANAGER	Na	yes	02/2017	Feb 27, 2017	Jun 1, 2020
WILLINGDON HOLDINGS, INC.	Member	E	yes	11/2015	Apr 25, 2016	Jun 1, 2020

Offices

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

City	State	Country	Employees	Also broker-dealer
SAN DIEGO	CA	United States	1	no
Stamford	Ct	United States	1	no
Youngstown	Oh	United States	1	no
n/a	n/a	n/a	1	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
2019	Mar 3, 2020	$865M	$858M	13	13	4	n/a	n/a
2018	Feb 25, 2019	$686M	$681M	16	13	5	n/a	n/a
2017	Mar 29, 2018	$562M	$557M	15	6	4	n/a	n/a
2016	Feb 27, 2017	$400M	$395M	11	8	n/a	n/a	n/a
2015	Mar 29, 2016	$195M	$191M	12	9	n/a	n/a	n/a
2014	Mar 2, 2015	$268M	$262M	9	5	n/a	n/a	n/a
2013	Mar 28, 2014	$239M	$227M	11	8	n/a	n/a	n/a
2012	Mar 22, 2013	$179M	$165M	8	6	n/a	n/a	n/a
2011	Feb 28, 2012	$139M	$135M	n/a	n/a	n/a	n/a	n/a

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
2019	$865M	$686M	26.1%	$400M	29.3%	12	16	4	5

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
EXENCIAL WEALTH ADVISORS	11	Jul 10, 2020	Jun 9, 2020	HUNTERSVILLE, NC	Firm absorbed	RIA to RIA	100.0%
PROVIDENCE CAPITAL ADVISORS, LLC	2	Feb 5, 2015	Feb 2, 2015	HUNTERSVILLE, NC	Team lift out	Other	50.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
PORTFOLIO CAPITAL MANAGEMENT INC	2	Feb 3, 2016	Feb 10, 2016	CHARLOTTE, NC	Team lift out	Other	100.0%

Relationships

Controls (3)

← KAYES, LEWIS, MICHAELOwnerPRESIDENT AND SHAREHOLDER, ownership code D, individual
Feb 28, 2012 to presentfactForm ADV
← KAYES, MARY LYNNOwnerCHIEF COMPLIANCE OFFICER, MANAGER, ownership code NA, individual
Feb 27, 2017 to presentfactForm ADV
← WILLINGDON HOLDINGS, INC.OwnerMEMBER, ownership code E, domestic entity
Apr 25, 2016 to presentfactForm ADV

Registered with (14)

← JAMES ANDREW BAILEYAdvisorregistration: previous registration
Feb 10, 2016 to Jul 10, 2020factForm ADV
← Lewis Michael KayesAdvisorregistration: previous registration
Dec 18, 2003 to Jul 10, 2020factForm ADV
← CRAIG MATTHEW WEZENSKIAdvisorregistration: previous registration
Mar 29, 2016 to Jul 10, 2020factForm ADV
← CHRISTOPHER JASON BROWNAdvisorregistration: previous registration
Dec 16, 2015 to Jul 10, 2020factForm ADV
← JEFFREY BRIAN HIBBELERAdvisorregistration: previous registration
May 15, 2018 to Jul 10, 2020factForm ADV
← PETE TRONTISAdvisorregistration: previous registration
Oct 3, 2018 to Jul 10, 2020factForm ADV
← KAYE HAVERSTOCK TAHILIANIAdvisorregistration: previous registration
Mar 7, 2017 to Jul 10, 2020factForm ADV
← KAREN LYNN BOSCHERTAdvisorregistration: previous registration
May 7, 2018 to Jul 10, 2020factForm ADV
← PETER JAMES HUNTAdvisorregistration: previous registration
Mar 16, 2009 to Jul 10, 2020factForm ADV
← David Clayton PoudrierAdvisorregistration: previous registration
Apr 30, 2019 to Jul 10, 2020factForm ADV
← Sean KayesAdvisorregistration: previous registration
May 4, 2018 to Jul 10, 2020factForm ADV
← Matthew Joseph HaddadAdvisorregistration: previous registration
Jun 4, 2018 to May 27, 2020factForm ADV
← BRIAN SUMMERS JONESAdvisorregistration: previous registration
Apr 17, 2009 to Feb 5, 2015factForm ADV
← THOMAS MICHAEL SEARSONAdvisorregistration: previous registration
Feb 15, 2005 to Feb 5, 2015factForm ADV

Moved with (3)

→ EXENCIAL WEALTH ADVISORSRegistered adviser11 advisors, firm absorbed, same day
Jul 10, 2020 to Jun 9, 2020factForm ADV
← PORTFOLIO CAPITAL MANAGEMENT INCRegistered adviser2 advisors, team lift out, same day
Feb 3, 2016 to Feb 10, 2016factForm ADV
→ PROVIDENCE CAPITAL ADVISORS, LLCRegistered adviser2 advisors, team lift out, same day
Feb 5, 2015 to Feb 2, 2015factForm ADV

Dated events

Occurred
Mar 3, 2020
Regulatory AUM changed
Willingdon Wealth Management Llc reported RAUM $865.1M, up 34% from $643.4M (2020-01-22 to 2020-03-03)
Form ADVobserved 4 days ago
$222M
Occurred
Mar 3, 2020
Control person left
Ellis Theodore Ake (Vice President, Manager) no longer on Schedule A of Willingdon Wealth Management Llc (listed 2020-01-22, absent 2020-03-03)
Form ADVobserved 4 days ago
Occurred
Mar 29, 2018
Regulatory AUM changed
Willingdon Wealth Management Llc reported RAUM $562.0M, up 40% from $400.2M (2017-11-03 to 2018-03-29)
Form ADVobserved 4 days ago
$162M
Occurred
Dec 23, 2015
Succession filed (Item 4)
Willingdon Wealth Management Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b8dee6ef-7c93-ad27-9479-7b3ca3f383f3
First observed: Feb 28, 2012
Last observed: Jun 1, 2020 76 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.

WILLINGDON WEALTH MANAGEMENT LLC

CRD 129613

HUNTERSVILLE, 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:b8dee6ef-7c93-ad27-9479-7b3ca3f383f3

Data as of Jun 1, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:59 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KAYES, LEWIS, MICHAEL

PRESIDENT AND SHAREHOLDER

yes

11/2015

Feb 28, 2012

Jun 1, 2020

KAYES, LEWIS, MICHAEL

PRESIDENT, MANAGER

yes

11/2003

Feb 28, 2012

Jun 1, 2020

KAYES, MARY LYNN

CHIEF COMPLIANCE OFFICER, MANAGER

yes

02/2017

Feb 27, 2017

Jun 1, 2020

WILLINGDON HOLDINGS, INC.

Member

yes

11/2015

Apr 25, 2016

Jun 1, 2020

City

State

Country

Employees

Also broker-dealer

SAN DIEGO

United States

Stamford

United States

Youngstown

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 3, 2020

$865M

$858M

n/a

2018

Feb 25, 2019

$686M

$681M

n/a

2017

Mar 29, 2018

$562M

$557M

n/a

2016

Feb 27, 2017

$400M

$395M

n/a

2015

Mar 29, 2016

$195M

$191M

n/a

2014

Mar 2, 2015

$268M

$262M

n/a

2013

Mar 28, 2014

$239M

$227M

n/a

2012

Mar 22, 2013

$179M

$165M

n/a

2011

Feb 28, 2012

$139M

$135M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$865M

$686M

26.1%

$400M

29.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

EXENCIAL WEALTH ADVISORS

Jul 10, 2020

Jun 9, 2020

HUNTERSVILLE, NC

Firm absorbed

RIA to RIA

100.0%

PROVIDENCE CAPITAL ADVISORS, LLC

Feb 5, 2015

Feb 2, 2015

HUNTERSVILLE, NC

Team lift out

Other

50.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

PORTFOLIO CAPITAL MANAGEMENT INC

Feb 3, 2016

Feb 10, 2016

CHARLOTTE, NC

Team lift out

Other

100.0%