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
W••••••• C•••••• M••••••••• I••
Latest filing Feb 24, 2026
First filing on the tape Nov 17, 2011 · 32 filings
SEC status approved since Dec 31, 1987
RAUM
$598M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
88%
$525M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$120M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$598M as of Feb 24, 2026
Mar 29, 2012$115M then
HNW client RAUM$387M as of Feb 24, 2026
Mar 2, 2018$101M then
State-registered IARs (5.B.3)5 as of Feb 24, 2026
Mar 29, 20120 then
Employees (5.A)9 as of Feb 24, 2026
Mar 26, 20134 then
Private funds: no history
RAUM +18% over the last fiscal year+20% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Feb 24, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $120MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 160derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $367,612derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 9.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +44%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $59.9M, 23 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$387M66%
- Individuals$138M24%
- Pension and profit-sharing plans$50.0M8.5%
- Corporations and businesses$6.8M1.2%
- Charitable organizations$4.6M0.8%
- Individual clients
- 563reported
- HNW clients
- 237reported
- Pension plan clients
- 25reported
- Charitable clients
- 4reported
- Accounts
- 1,628reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $59.9M for 23 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.09 related_bd=false 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 |
|---|---|---|---|---|
| S••• M•••••• G•••••••Certified Financial Planner | Cary, Nc | Feb 9, 2011 | 32 y | 3 |
| R•••••• L•• S•••••• | Rocky Mount, Nc | Mar 4, 2011 | 28 y | 1 |
| D•••••• W•••••• S•••Certified Financial Planner | Rocky Mount, Nc | Dec 23, 2020 | 29 y | 5 |
| M•••••••• S•••• T••••••• S•••••• | Rocky Mount, Nc | Oct 17, 2023 | 11 y | 0 |
| M•••••• K•••••• | Rocky Mount, Nc | Feb 1, 2024 | 10 y | 1 |
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
- L•••• E• R••••••• to F••••• I•••••••••Sep 30, 2022 · RIA to RIA
Joined, latest
- M•••••• K•••••• from T••••• A••••••• S•••••••• I•••Feb 1, 2024 · Affiliated broker-dealer or bank to independent RIA
- D•••••• W•••••• S••• from M••••• G••••• A••••••• I•••Dec 23, 2020 · RIA to RIA
- S••• M•••••• G••••••• from V•••• F•••••••• A•••••••• I•••Feb 9, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• R••••••• L•• · Chief Compliance Officer/Chairman/Presidentcontrolsince 12/2009 · owns 75% or more
- B••••••• W•••••• B••••• · Secretarysince 07/1989 · owns less than 5%
- H•••• A•••••• R••••• · Vice Presidentsince 02/2004 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Rocky Mount, Nc · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Cary, NC2 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Feb 24, 2026custody of client assets (Item 9.A): no on the filing of 2025-04-28, yes on the filing of 2026-02-24peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 1,446 to 1,628Apr 28, 2025 to Feb 24, 2026
- Charity clients · 3 to 4Apr 28, 2025 to Feb 24, 2026
- Corporate clients · 5 to 4Apr 28, 2025 to Feb 24, 2026
- HNW clients · 87 to 237Apr 28, 2025 to Feb 24, 2026
- Individual clients · 467 to 563Apr 28, 2025 to Feb 24, 2026
- Assets in custody · unset to 59869612.0Apr 28, 2025 to Feb 24, 2026
- Custody of client assets · false to trueApr 28, 2025 to Feb 24, 2026
- Employees · 10 to 9Apr 28, 2025 to Feb 24, 2026
- Discretionary RAUM · $465M to $566MApr 28, 2025 to Feb 24, 2026
- HNW RAUM · $283M to $387MApr 28, 2025 to Feb 24, 2026
- Individual RAUM · $154M to $138MApr 28, 2025 to Feb 24, 2026
- Non-discretionary RAUM · $41.5M to $32.2MApr 28, 2025 to Feb 24, 2026
- Pension RAUM · $47.1M to $50.0MApr 28, 2025 to Feb 24, 2026
- RAUM · $506M to $598MApr 28, 2025 to Feb 24, 2026
- Accounts · 1,284 to 1,446Nov 8, 2024 to Apr 28, 2025
- Corporate clients · 4 to 5Nov 8, 2024 to Apr 28, 2025
- HNW clients · 132 to 87Nov 8, 2024 to Apr 28, 2025
- Individual clients · 583 to 467Nov 8, 2024 to Apr 28, 2025
- Pension plan clients · 15 to 25Nov 8, 2024 to Apr 28, 2025
- Financial planning clients · 51-100 to 51-100Nov 8, 2024 to Apr 28, 2025
- Discretionary RAUM · $368M to $465MNov 8, 2024 to Apr 28, 2025
- HNW RAUM · $229M to $283MNov 8, 2024 to Apr 28, 2025
- Individual RAUM · $118M to $154MNov 8, 2024 to Apr 28, 2025
- Non-discretionary RAUM · $41.6M to $41.5MNov 8, 2024 to Apr 28, 2025
- Pension RAUM · $39.4M to $47.1MNov 8, 2024 to Apr 28, 2025
- RAUM · $409M to $506MNov 8, 2024 to Apr 28, 2025
- Accounts · 1,213 to 1,284Feb 23, 2023 to Mar 4, 2024
- Advisory employees · 3 to 5Feb 23, 2023 to Mar 4, 2024
- Corporate clients · 5 to 4Feb 23, 2023 to Mar 4, 2024
- HNW clients · 80 to 132Feb 23, 2023 to Mar 4, 2024
- Individual clients · 468 to 583Feb 23, 2023 to Mar 4, 2024
- Employees · 8 to 10Feb 23, 2023 to Mar 4, 2024
- State-registered IARs · 3 to 5Feb 23, 2023 to Mar 4, 2024
- Other offices · 1 to 2Feb 23, 2023 to Mar 4, 2024
- Discretionary RAUM · $307M to $368MFeb 23, 2023 to Mar 4, 2024
- HNW RAUM · $180M to $229MFeb 23, 2023 to Mar 4, 2024
- Individual RAUM · $108M to $118MFeb 23, 2023 to Mar 4, 2024
- Non-discretionary RAUM · $38.9M to $41.6MFeb 23, 2023 to Mar 4, 2024
- Pension RAUM · $35.2M to $39.4MFeb 23, 2023 to Mar 4, 2024
- RAUM · $346M to $409MFeb 23, 2023 to Mar 4, 2024
Signals
1 dated events
- L•••• E• R••••••• left W••••••• C•••••• M••••••••• I•• for F••••• I••••••••• (registered 2022-10-10)Sep 30, 2022 · Advisor changed firm · 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 email
- info@whitenercapital.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 252-972-8909reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/whitener-capital-management-inc.reportedpublic record, Form ADV, Sep 18, 2026
- Website
- whitenercapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 252-972-8909reportedpublic record, Form ADV, Feb 24, 2026
- Contact form
- whitenercapital.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $120Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026