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
C••••••• C•••••• M••••••••• I••
Latest filing Feb 16, 2026
First filing on the tape Feb 29, 2012 · 27 filings
SEC status approved since Jan 30, 1992
RAUM
$1.0B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
75%
$765M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$342M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$1.0B as of Feb 16, 2026
Feb 29, 2012$172M then
HNW client RAUM$672M as of Feb 16, 2026
Mar 20, 2018$291M then
State-registered IARs (5.B.3)3 as of Feb 16, 2026
Feb 29, 20120 then
Employees (5.A)4 as of Feb 16, 2026
Mar 5, 20136 then
Private funds: no history
RAUM +15% over the last fiscal year+20% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 16, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $342MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 96derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $684,912derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $149M, 147 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$672M65%
- Corporations and businesses$233M23%
- Individuals$92.9M9.1%
- Charitable organizations$27.9M2.7%
- Individual clients
- 136reported
- HNW clients
- 151reported
- Pension plan clients
- n/areported
- Charitable clients
- 11reported
- Accounts
- 1,498reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $149M for 147 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.75 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••• C• A••••••Chartered Financial Analyst | Raleigh, Nc | Jun 14, 2004 | 22 y | 0 |
| J••••••• W••••• A••••••Certified Financial Planner | Raleigh, Nc | Aug 4, 2010 | 23 y | 0 |
| K••••••• A•••••• W•••••Certified Financial Planner | Raleigh, Nc | Sep 3, 2010 | 20 y | 0 |
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
- C•••••••• S•••••••• to C•••••••Nov 13, 2006 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• G••••• C• · Chairman, President, Chief Investment Officercontrolsince 05/2004 · owns 50% to 75%
- A••••••• J•••••••• W••••• · Vice President/Chief Compliance Officercontrolsince 10/2010 · owns 10% to 25%
- W•••••• K•••••••• A• · Vice President/Chief Financial Officercontrolsince 06/2013 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Raleigh, Nc · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,461 to 1,498Mar 12, 2025 to Feb 16, 2026
- HNW clients · 152 to 151Mar 12, 2025 to Feb 16, 2026
- Individual clients · 128 to 136Mar 12, 2025 to Feb 16, 2026
- Assets in custody · $96.6M to $149MMar 12, 2025 to Feb 16, 2026
- Employees · 5 to 4Mar 12, 2025 to Feb 16, 2026
- Discretionary RAUM · $870M to $990MMar 12, 2025 to Feb 16, 2026
- HNW RAUM · $593M to $672MMar 12, 2025 to Feb 16, 2026
- Individual RAUM · $68.8M to $92.9MMar 12, 2025 to Feb 16, 2026
- Non-discretionary RAUM · $21.8M to $35.8MMar 12, 2025 to Feb 16, 2026
- RAUM · $891M to $1.0BMar 12, 2025 to Feb 16, 2026
- Accounts · 1,411 to 1,461Mar 27, 2024 to Mar 12, 2025
- HNW clients · 151 to 152Mar 27, 2024 to Mar 12, 2025
- Individual clients · 125 to 128Mar 27, 2024 to Mar 12, 2025
- Assets in custody · $118M to $96.6MMar 27, 2024 to Mar 12, 2025
- Employees · 6 to 5Mar 27, 2024 to Mar 12, 2025
- Financial planning clients · 1-10 to 1-10Mar 27, 2024 to Mar 12, 2025
- Discretionary RAUM · $785M to $870MMar 27, 2024 to Mar 12, 2025
- HNW RAUM · $529M to $593MMar 27, 2024 to Mar 12, 2025
- Individual RAUM · $62.0M to $68.8MMar 27, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $20.0M to $21.8MMar 27, 2024 to Mar 12, 2025
- RAUM · $805M to $891MMar 27, 2024 to Mar 12, 2025
- Accounts · 1,266 to 1,411Mar 13, 2023 to Mar 25, 2024
- Charity clients · 9 to 11Mar 13, 2023 to Mar 25, 2024
- Corporate clients · 5 to 7Mar 13, 2023 to Mar 25, 2024
- HNW clients · 139 to 151Mar 13, 2023 to Mar 25, 2024
- Individual clients · 120 to 125Mar 13, 2023 to Mar 25, 2024
- Assets in custody · $9.9M to $118MMar 13, 2023 to Mar 25, 2024
- Discretionary RAUM · $580M to $785MMar 13, 2023 to Mar 25, 2024
- HNW RAUM · $436M to $529MMar 13, 2023 to Mar 25, 2024
- Individual RAUM · $54.3M to $62.0MMar 13, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $14.5M to $20.0MMar 13, 2023 to Mar 25, 2024
- RAUM · $594M to $805MMar 13, 2023 to Mar 25, 2024
- Accounts · 1,149 to 1,266Nov 17, 2022 to Mar 10, 2023
- Advisory activities · 1 to 2Nov 17, 2022 to Mar 10, 2023
- Charity clients · 8 to 9Nov 17, 2022 to Mar 10, 2023
- Corporate clients · unset to 5.0Nov 17, 2022 to Mar 10, 2023
- HNW clients · 137 to 139Nov 17, 2022 to Mar 10, 2023
- Individual clients · 122 to 120Nov 17, 2022 to Mar 10, 2023
- Assets in custody · $16.9M to $9.9MNov 17, 2022 to Mar 10, 2023
- Discretionary RAUM · $603M to $580MNov 17, 2022 to Mar 10, 2023
Signals
1 dated events
- C••••••• C•••••• M••••••••• I•• reported RAUM $805.1M, up 36% from $594.2M (2023-03-13 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
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@cardinalcapitalmanagement.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-625-2335reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 919-532-7500reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 919-532-7501reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- C•••••••CAPITALMANAGEMENT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 919-532-7500reportedpublic record, Form ADV, Feb 16, 2026
- Team page
- CARDINALCAPITALMANAGEMENT.COM/our-teamreportedpublished 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
- $342Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026