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CRD 117949
CHARLOTTE, NC
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| ANNE JONES MCPHAIL | Certified Financial Planner | CHARLOTTE, NC | 21 | 25 | n/a | no |
| CHRISTOPHER TODD PATTON | n/a | CHARLOTTE, NC | 19 | 37 | 2 | no |
| JOHN WHITFIELD WILKS | Certified Financial Planner | CHARLOTTE, NC | 16 | 19 | n/a | no |
| LINDA LATHAN WALDEN | Certified Financial Planner | CHARLOTTE, NC | 16 | 22 | n/a | no |
| BRIAN ALTON RUDISILL | Chartered Financial Analyst | CHARLOTTE, NC | 15 | 20 | 1 | no |
| JAMES RUSSELL HARLOW | Chartered Financial Analyst | CHARLOTTE, NC | 14 | 22 | 2 | no |
| JOHN MICHAEL MENSER | Certified Financial Planner | CHARLOTTE, NC | 7 | 20 | 1 | no |
| CHARLES ALEXANDER DANN | Certified Financial Planner | CHARLOTTE, NC | 5 | 13 | 4 | no |
| ERIC Richard LOCKERMAN | n/a | CHARLOTTE, NC | 5 | 10 | 1 | no |
| Nicholas Robert Lloyd | Chartered Financial Analyst | CHARLOTTE, NC | 4 | 12 | 1 | no |
| John Victor Ryan | Certified Financial Planner | CHARLOTTE, NC | 4 | 11 | 1 | no |
| JAMES STATES LEE BAYNARD | Chartered Financial Analyst | CHARLOTTE, NC | 3 | 11 | n/a | no |
| ANDREW EDWARD FISHER | n/a | CHARLOTTE, NC | 2 | 21 | 4 | no |
| Sophie Hanny Young | Certified Financial Planner | CHARLOTTE, NC | 1 | 13 | n/a | no |
| Laura Lattimore Kido | Certified Financial Planner | CHARLOTTE, NC | 1 | 20 | 1 | no |
| Cameron Dean Amos | Certified Financial Planner | CHARLOTTE, NC | 0 | 10 | n/a | no |
| JESSICA PROCTOR RICKERT | n/a | CHARLOTTE, NC | 0 | 13 | 1 | no |
| Parker Mayo | Certified Financial Planner | CHARLOTTE, NC | 0 | 15 | 3 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BAYNARD, WILLIAM, GIRROIR | CO-FOUNDER, RELATIONSHIP MANAGER, AND CHEIF EXECUTIVE OFFICER | A | yes | 12/1999 | Aug 24, 2026 | Aug 24, 2026 |
| MCPHAIL, ANNE, JONES | MANAGING DIRECTOR AND RELATIONSHIP MANAGER | A | yes | 01/2012 | Aug 24, 2026 | Aug 24, 2026 |
| THE BAYMEN GROUP, LLC | MEMBER/DIRECT OWNER | C | yes | 12/1999 | Aug 24, 2026 | Aug 24, 2026 |
| WILKS, JOHN, WHITFIELD | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, AND RELATIONSHIP MANAGER | B | yes | 01/2012 | Aug 24, 2026 | Aug 24, 2026 |
| BAYNARD (JR), WILLIAM GIRROIR | Member | C | yes | 05/1995 | Aug 1, 2017 | Dec 5, 2024 |
| OLMSTEAD, DON, ELLSWORTH | MANAGING MEMBER/MANAGING DIRECTOR | C | yes | 12/1999 | Apr 2, 2012 | Dec 5, 2024 |
| NORRIS, MARGARET, JOAN | CHIEF OPERATING OFFICER | Na | no | 01/2022 | Aug 24, 2026 | Aug 24, 2026 |
| PATTON, CHRISTOPHER, TODD | DIRECTOR AND RELATIONSHIP MANAGER | Na | no | 01/2019 | Aug 24, 2026 | Aug 24, 2026 |
| WALDEN, LINDA, LATHAN | DIRECTOR AND RELATIONSHIP MANAGER | Na | no | 03/2015 | Aug 24, 2026 | Aug 24, 2026 |
| REYNA, BRANDO, LEWIS | CHIEF INVESTMENT OFFICER | Na | no | 01/2023 | Feb 21, 2023 | Dec 5, 2024 |
| ROPER, JANE, ELIZABETH | Member | C | no | 02/1999 | Mar 27, 2014 | Dec 5, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 11, 2026 | $1.9B | $1.9B | 23 | 18 | 0 | n/a | n/a |
| 2024 | Mar 21, 2025 | $1.7B | $1.7B | 23 | 17 | 0 | n/a | n/a |
| 2023 | Mar 26, 2024 | $1.5B | $1.5B | 22 | 18 | 0 | n/a | n/a |
| 2022 | Feb 21, 2023 | $1.3B | $1.3B | 22 | 17 | 0 | n/a | n/a |
| 2021 | Mar 1, 2022 | $1.4B | $1.4B | 20 | 15 | 0 | n/a | n/a |
| 2020 | Mar 12, 2021 | $1.2B | $1.2B | 20 | 14 | 0 | n/a | n/a |
| 2019 | Mar 5, 2020 | $1.2B | $1.2B | 17 | 15 | 0 | n/a | n/a |
| 2018 | Mar 11, 2019 | $979M | $977M | 15 | 13 | 1 | n/a | n/a |
| 2017 | Mar 30, 2018 | $1.1B | $1.1B | 14 | 13 | 1 | n/a | n/a |
| 2016 | Mar 30, 2017 | $875M | $856M | 10 | 9 | n/a | n/a | n/a |
| 2015 | Mar 2, 2016 | $805M | $787M | 11 | 10 | n/a | n/a | n/a |
| 2014 | Mar 23, 2015 | $804M | $798M | 11 | 10 | n/a | n/a | n/a |
| 2013 | Mar 27, 2014 | $695M | $687M | 11 | 7 | n/a | n/a | n/a |
| 2012 | Mar 15, 2013 | $524M | $521M | 9 | 6 | n/a | n/a | n/a |
| 2011 | Apr 2, 2012 | $466M | $461M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 2 | 1 | 1 | 5.6% | 2 | 1 | 0 | 4 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.9B | $1.7B | 11.2% | $1.3B | 13.2% | 23 | 23 | 0 | 0 |