DFX Intelligence
RIA Intelligence
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SEC-registered adviser
A••••••• W••••• A•••••••
Legal name W••••• M••••••••• G••••• I•••
Latest filing Mar 13, 2026
First filing on the tape Feb 19, 2020 · 12 filings
SEC status approved since Mar 20, 2020
RAUM
$198M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
100%
$198M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$65.9M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$198M as of Mar 13, 2026
Mar 4, 2021$121M then
HNW client RAUM$166M as of Mar 13, 2026
Mar 4, 2021$85.4M then
State-registered IARs (5.B.3)3 as of Mar 13, 2026
Mar 4, 20213 then
Employees (5.A)3 as of Mar 13, 2026
Mar 4, 20213 then
Private funds: no history
RAUM +14% over the last fiscal year+15% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 13, 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
- $65.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $310,888derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$166M84%
- Individuals$32.0M16%
- Individual clients
- 64reported
- HNW clients
- 74reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 636reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| D•••• J••••• K••••••• | Winston-Salem, Nc | Jul 7, 2015 | 11 y | 1 |
| N••••• J•••••• S•••Certified Financial Planner | Winston-Salem, Nc | May 21, 2020 | 14 y | 1 |
| W••••• C••••• B•••• | Winston-Salem, Nc | Feb 26, 2024 | 12 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
none on the tape
Joined, latest
- N••••• J•••••• S••• from C•••••••• I••••••••• R••••••• A•••••••• I•••May 21, 2020 · Other
- D•••• J••••• K••••••• from A••••••••• F•••••••• S•••••••• L••Jul 7, 2015 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••••• D••••• J••••• · Chief Executive Officer / Chief Compliance Officercontrolsince 12/2022 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Winstonsalem, Nc | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 614 to 636Feb 10, 2025 to Mar 13, 2026
- HNW clients · 62 to 74Feb 10, 2025 to Mar 13, 2026
- Individual clients · 84 to 64Feb 10, 2025 to Mar 13, 2026
- Discretionary RAUM · $151M to $175MFeb 10, 2025 to Mar 13, 2026
- HNW RAUM · $140M to $166MFeb 10, 2025 to Mar 13, 2026
- Individual RAUM · $34.0M to $32.0MFeb 10, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $22.8M to $23.0MFeb 10, 2025 to Mar 13, 2026
- RAUM · $174M to $198MFeb 10, 2025 to Mar 13, 2026
- Accounts · 553 to 614Feb 29, 2024 to Feb 10, 2025
- HNW clients · 54 to 62Feb 29, 2024 to Feb 10, 2025
- Individual clients · 128 to 84Feb 29, 2024 to Feb 10, 2025
- Financial planning clients · 101-250 to 101-250Feb 29, 2024 to Feb 10, 2025
- Discretionary RAUM · $121M to $151MFeb 29, 2024 to Feb 10, 2025
- HNW RAUM · $113M to $140MFeb 29, 2024 to Feb 10, 2025
- Individual RAUM · $31.8M to $34.0MFeb 29, 2024 to Feb 10, 2025
- Non-discretionary RAUM · $23.6M to $22.8MFeb 29, 2024 to Feb 10, 2025
- RAUM · $145M to $174MFeb 29, 2024 to Feb 10, 2025
- Accounts · 490 to 553Mar 9, 2023 to Feb 29, 2024
- HNW clients · 65 to 54Mar 9, 2023 to Feb 29, 2024
- Individual clients · 66 to 128Mar 9, 2023 to Feb 29, 2024
- Discretionary RAUM · $102M to $121MMar 9, 2023 to Feb 29, 2024
- HNW RAUM · $102M to $113MMar 9, 2023 to Feb 29, 2024
- Individual RAUM · $27.0M to $31.8MMar 9, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $27.4M to $23.6MMar 9, 2023 to Feb 29, 2024
- RAUM · $129M to $145MMar 9, 2023 to Feb 29, 2024
- Accounts · 602 to 490Jan 5, 2023 to Mar 9, 2023
- HNW clients · 54 to 65Jan 5, 2023 to Mar 9, 2023
- Individual clients · 69 to 66Jan 5, 2023 to Mar 9, 2023
- Discretionary RAUM · $93.1M to $102MJan 5, 2023 to Mar 9, 2023
- HNW RAUM · $110M to $102MJan 5, 2023 to Mar 9, 2023
- Individual RAUM · $32.6M to $27.0MJan 5, 2023 to Mar 9, 2023
- Non-discretionary RAUM · $49.0M to $27.4MJan 5, 2023 to Mar 9, 2023
- RAUM · $142M to $129MJan 5, 2023 to Mar 9, 2023
- Accounts · 562 to 602Mar 4, 2021 to Mar 11, 2022
- HNW clients · 44 to 54Mar 4, 2021 to Mar 11, 2022
- Individual clients · 72 to 69Mar 4, 2021 to Mar 11, 2022
- Discretionary RAUM · $29.3M to $93.1MMar 4, 2021 to Mar 11, 2022
- HNW RAUM · $85.4M to $110MMar 4, 2021 to Mar 11, 2022
- Individual RAUM · $35.6M to $32.6MMar 4, 2021 to Mar 11, 2022
- Non-discretionary RAUM · $91.7M to $49.0MMar 4, 2021 to Mar 11, 2022
Signals
2 dated events
- Jay Barry Swaim (President And Chief Compliance Officer) no longer on Schedule A of A••••••• W••••• A••••••• (listed 2022-03-11, absent 2022-12-21)Dec 21, 2022 · Control person left · inference
- A••••••• W••••• A••••••• filed its initial SEC registration (Form ADV)Feb 19, 2020 · First SEC registration · 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
- i•••@a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- d•••••••••@a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- b•••••@a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- l•••••@a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 336-793-1788reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 336-760-4829reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/accruentadvisorsreportedpublic record, Form ADV, Sep 21, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 336-760-4829reportedpublic record, Form ADV, Mar 13, 2026
- Contact form
- a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $65.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026