DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
P••••••••• W••• • W••••• I•••
Latest filing Mar 10, 2026
First filing on the tape Mar 28, 2012 · 30 filings
SEC status approved since May 10, 1978
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$930M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$205M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.0B as of Mar 10, 2026
Mar 28, 2012$222M then
HNW client RAUM$824M as of Mar 10, 2026
Mar 28, 2018$270M then
State-registered IARs (5.B.3)5 as of Mar 10, 2026
Mar 28, 20120 then
Employees (5.A)6 as of Mar 10, 2026
Mar 22, 20134 then
Private funds: no history
RAUM +20% over the last fiscal year+16% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $205MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 112derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $462M, 268 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$824M81%
- Individuals$106M10%
- Charitable organizations$54.4M5.3%
- Corporations and businesses$25.3M2.5%
- Pension and profit-sharing plans$13.3M1.3%
- Individual clients
- 275reported
- HNW clients
- 287reported
- Pension plan clients
- 3reported
- Charitable clients
- 9reported
- Accounts
- 1,016reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $462M for 268 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.07 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• K•••• B••••••••• | Lynchburg, Va | Nov 8, 2007 | 27 y | 3 |
| G••••• B••••• W••• | Lynchburg, Va | Jan 4, 2013 | 32 y | 2 |
| C•••••• B•••• W••••Chartered Financial Analyst | Lynchburg, Va | Jan 4, 2013 | 28 y | 1 |
| C•••••• S••••••• N••••• | Lynchburg, Va | Feb 12, 2014 | 20 y | 1 |
| K••••••• S•••••• G••••• | Lynchburg, Va | Jan 10, 2024 | 40 y | 3 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- K••••••• S•••••• G••••• from T••••• A••••••• S•••••••• I•••Jan 10, 2024 · Affiliated broker-dealer or bank to independent RIA
- C•••••• S••••••• N••••• from W••• • W•••• I••••••••• A•••••••• L•••••Feb 12, 2014 · Other
- G••••• B••••• W••• from W••• • W•••• I••••••••• A•••••••• L•••••Jan 4, 2013 · Other
- C•••••• B•••• W•••• from W••• • W•••• I••••••••• A•••••••• L•••••Jan 4, 2013 · Other
- B•••• K•••• B••••••••• from B••• I••••••••• S•••••••• I•••Nov 8, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• R•••••• R• · Directorcontrolsince 01/2022 · owns less than 5%
- S••••••• J••••••• T••• · Chairman Of The Board Of Directorscontrolsince 01/2022 · owns less than 5%
- W••••• C••••••• B•••• · Director/Executive Vice-Presidentcontrolsince 12/2012 · owns less than 5%
- W•••• G•••••• B••••• · Director/Presidentcontrolsince 12/2012 · owns less than 5%
- S•••••• K•••• W••••••••• · Chief Compliance Officersince 01/2024 · owns less than 5%
- S•••••••• E•••• J• · Directorsince 01/2024 · owns less than 5%
Entity owners
- B••• O• T•• J•••• F•••••••• G••••• I••• · Shareholderdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- B••• O• T•• J••••broker-dealern
- E••• S•••••••n
Advisers that list P••••••••• W••• • W••••• I••• as a related person
- 121240 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lynchburg, Va · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 976 to 1,016Mar 18, 2025 to Mar 10, 2026
- Charity clients · 8 to 9Mar 18, 2025 to Mar 10, 2026
- Corporate clients · 8 to 12Mar 18, 2025 to Mar 10, 2026
- HNW clients · 264 to 287Mar 18, 2025 to Mar 10, 2026
- Individual clients · 277 to 275Mar 18, 2025 to Mar 10, 2026
- Pension plan clients · 4 to 3Mar 18, 2025 to Mar 10, 2026
- Assets in custody · $374M to $462MMar 18, 2025 to Mar 10, 2026
- Discretionary RAUM · $854M to $1.0BMar 18, 2025 to Mar 10, 2026
- HNW RAUM · $675M to $824MMar 18, 2025 to Mar 10, 2026
- Individual RAUM · $102M to $106MMar 18, 2025 to Mar 10, 2026
- Pension RAUM · $11.2M to $13.3MMar 18, 2025 to Mar 10, 2026
- RAUM · $854M to $1.0BMar 18, 2025 to Mar 10, 2026
- Accounts · 970 to 976Feb 2, 2024 to Mar 18, 2025
- Advisory activities · 2 to 1Feb 2, 2024 to Mar 18, 2025
- Charity clients · 7 to 8Feb 2, 2024 to Mar 18, 2025
- Corporate clients · 10 to 8Feb 2, 2024 to Mar 18, 2025
- HNW clients · 247 to 264Feb 2, 2024 to Mar 18, 2025
- Individual clients · 299 to 277Feb 2, 2024 to Mar 18, 2025
- Pension plan clients · 6 to 4Feb 2, 2024 to Mar 18, 2025
- Assets in custody · $398M to $374MFeb 2, 2024 to Mar 18, 2025
- Financial planning clients · 0 to 0Feb 2, 2024 to Mar 18, 2025
- Discretionary RAUM · $734M to $854MFeb 2, 2024 to Mar 18, 2025
- HNW RAUM · $560M to $675MFeb 2, 2024 to Mar 18, 2025
- Individual RAUM · $101M to $102MFeb 2, 2024 to Mar 18, 2025
- Pension RAUM · $12.2M to $11.2MFeb 2, 2024 to Mar 18, 2025
- RAUM · $734M to $854MFeb 2, 2024 to Mar 18, 2025
- Accounts · 917 to 970Mar 30, 2023 to Jan 31, 2024
- Charity clients · 6 to 7Mar 30, 2023 to Jan 31, 2024
- HNW clients · 233 to 247Mar 30, 2023 to Jan 31, 2024
- Individual clients · 300 to 299Mar 30, 2023 to Jan 31, 2024
- Pension plan clients · 8 to 6Mar 30, 2023 to Jan 31, 2024
- Assets in custody · $309M to $398MMar 30, 2023 to Jan 31, 2024
- Discretionary RAUM · $648M to $734MMar 30, 2023 to Jan 31, 2024
- HNW RAUM · $474M to $560MMar 30, 2023 to Jan 31, 2024
- Individual RAUM · $109M to $101MMar 30, 2023 to Jan 31, 2024
- Pension RAUM · $11.6M to $12.2MMar 30, 2023 to Jan 31, 2024
- RAUM · $648M to $734MMar 30, 2023 to Jan 31, 2024
- Accounts · 865 to 917Jan 13, 2022 to Mar 30, 2023
- Charity clients · 5 to 6Jan 13, 2022 to Mar 30, 2023
- Individual clients · 259 to 300Jan 13, 2022 to Mar 30, 2023
Signals
2 dated events
- Todd Jeffrey Scruggs (Chairman Of The Board Of Directors) appeared on Schedule A of P••••••••• W••• • W••••• I•••Jan 13, 2022 · Control person joined · fact
- R R••••• C•••••• (Director) appeared on Schedule A of P••••••••• W••• • W••••• I•••Jan 13, 2022 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 434-845-1266reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 434-845-2904reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- w••.p•••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 434-845-1266reportedpublic record, Form ADV, Mar 10, 2026
- Team page
- p•••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $205Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026