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
U••••••• I••••••••• A•••••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Mar 28, 2012 · 40 filings
SEC status approved since Jan 3, 2005
RAUM
$338M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$290M individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$22.5M
derived; firm RAUM over IAPD count
Employees
14
12 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$338M as of Mar 30, 2026
Mar 28, 2012$118M then
HNW client RAUM$152M as of Mar 30, 2026
Mar 16, 2018$28.1M then
State-registered IARs (5.B.3)14 as of Mar 30, 2026
Mar 28, 20130 then
Employees (5.A)14 as of Mar 30, 2026
Mar 28, 201314 then
Private funds1 as of Mar 28, 2013
Mar 28, 20121 then
RAUM +21% over the last fiscal year+21% a year over threeIARs 15 to 14
Practice profile
derived from the filing of Mar 30, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $22.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $668,610derivedHNW RAUM over HNW clients
- Average account
- $385,223derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 3.0derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- -6.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publications, educational seminarsreportedItem 5.G
- Wrap fee program
- $272MreportedItem 5.I
- Custody
- $13.5M, 16 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$152M45%
- Individuals$137M41%
- Charitable organizations$30.7M9.1%
- Corporations and businesses$14.0M4.2%
- Pension and profit-sharing plans$3.3M1.0%
- Individual clients
- 609reported
- HNW clients
- 228reported
- Pension plan clients
- n/areported
- Charitable clients
- 27reported
- Accounts
- 877reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $13.5M for 16 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.1 related_bd=true related_bank=false bd_reps=14.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••• W•••••• T•••••••• | Albemarle, Nc | Dec 31, 2001 | 25 y | 0 |
| R•••• L•• D••• | Albemarle, Nc | Dec 31, 2001 | 43 y | 0 |
| C•••••• D•••• S••••• | Albemarle, Nc | Dec 31, 2001 | 35 y | 0 |
| M•••••• G•••• H•••••• | Albemarle, Nc | Jan 5, 2004 | 24 y | 0 |
| D•••• C• G•••••Chartered Financial Consultant | Albemarle, Nc | Mar 8, 2005 | 25 y | 1 |
| J••••• B• B••••••• | Albemarle, Nc | May 20, 2010 | 17 y | 0 |
| R••••• B••• B•••••• | Concord, Nc | Jul 17, 2012 | 18 y | 0 |
| K••• V••• E•••Certified Financial Planner | Albemarle, Nc | Nov 16, 2012 | 18 y | 1 |
| J••••••• B••••••• M••••••• | Albemarle, Nc | Mar 16, 2015 | 12 y | 0 |
| B••••• L•••• S••••• | Albemarle, Nc | Feb 26, 2019 | 24 y | 2 |
| K•••• B••••• S•••• | Albemarle, Nc | Nov 20, 2020 | 13 y | 0 |
| C••• W•••••• G•••• | Albemarle, Nc | Jan 14, 2022 | 11 y | 0 |
| V•••••• F••• B••• | Albemarle, Nc | May 16, 2025 | 20 y | 4 |
| T••••• E••••• W••• | Albemarle, Nc | Nov 4, 2025 | 11 y | 1 |
| B••••• Y•••• C•••••••• | Albemarle, Nc | Mar 23, 2026 | 10 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- A••••• D• G•••••••• to P•• W••••• M•••••••••May 18, 2023 · RIA to affiliated broker-dealer or bank
- D••••• J•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 6, 2021 · RIA to wirehouse
- R•• L•••••• M••••• to I••••••••• F•••••••• S••••••••• L••May 5, 2020 · RIA to RIA
- W••• H•••••• L••• to D••••••••• F••• A••••••• L•Oct 28, 2019 · Other
- J•••• S•••• K•••• to A•••••••• C•••••• M•••••••••Jan 17, 2019 · RIA to RIA
- W•••••• E••• E•••• to T••••• A••••••• S•••••••• I•••Nov 16, 2016 · Other
- J•••••• M•••••• T••••• to F••••••• F•••••••• A•••••••• L••Jul 29, 2016 · Other
- D•••• L•• P••••••• to V••••• C•••••• • M•••••••••Sep 1, 2010 · Other
- J••••••• W••••• D•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 7, 2005 · Other
- D•••• M•••••• H••••• to O•••• F•• I•••Oct 31, 2003 · Other
Joined, latest
- T••••• E••••• W••• from A••• I••••• A•••••••Nov 4, 2025 · RIA to RIA
- V•••••• F••• B••• from S•••••••• A••••••• L••May 16, 2025 · Affiliated broker-dealer or bank to independent RIA
- R•• L•••••• M••••• from D••••• I••••••••• M••••••••• L••Nov 26, 2018 · Other
- J•••• S•••• K•••• from K•••• P••••••• • W••••• M••••••••• L••Jul 15, 2016 · Other
- K••• V••• E••• from N•• E•••••• S••••••••• C•••••••••Nov 16, 2012 · Other
- B••••• L•••• S••••• from U•••• F•••••••• S••••••• G••••• I•••Dec 8, 2005 · Other
- D•••• L•• P••••••• from U•••• F•••••••• S••••••• G••••• I•••Jul 6, 2005 · Other
- D•••• C• G••••• from U•• F•••••••• S••••••• I•••Mar 8, 2005 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| U••••••• L••• P••• I• L••no longer reported | Private Equity Fund | $1.3M | 6 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D•••• R••••• L•• · I•••••Ment Committeecontrolsince 02/1996 · owns less than 5%
- E•••• K•••• V••• · Executive Vice Presidentcontrolsince 06/2021 · owns less than 5%
- G•••••• D••••• C• · Executive Vice Presidentcontrolsince 04/2012 · owns less than 5%
- M••••••••• L••••••• V••••••• · Executive Vice Presidentcontrolsince 04/2005 · owns less than 5%
- S•••••• C••••••• D•••• · Ceo/Ic/Directorcontrolsince 02/1991 · owns less than 5%
- T••••••••• M••••• W•••••• · Senior Vp/Operations & Data Manager/Ic/Ccocontrolsince 06/2005 · owns less than 5%
Entity owners
- U••••••• C•••••• C••• · 100% Ownerdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- B•• A••••• I•••real estaten
- T•• S•••••••• A••••••• C•••••••••broker-dealern
- U••••••• B•••n
- U••••••• C•••••• C•••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Albemarle, Nc · principal | 15 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Asheboro, NC2 employees
- Concord, NC2 employees
- Charlotte, NC1 employees
- Locust, NC1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 30, 2026selection of other advisers (Item 5.G.7): yes on the filing of 2025-10-21, no on the filing of 2026-03-30peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 811 to 877Oct 21, 2025 to Mar 30, 2026
- Advisory employees · 15 to 12Oct 21, 2025 to Mar 30, 2026
- BD registered reps · 15 to 14Oct 21, 2025 to Mar 30, 2026
- Charity clients · 24 to 27Oct 21, 2025 to Mar 30, 2026
- Corporate clients · 10 to 11Oct 21, 2025 to Mar 30, 2026
- HNW clients · 157 to 228Oct 21, 2025 to Mar 30, 2026
- Individual clients · 618 to 609Oct 21, 2025 to Mar 30, 2026
- Assets in custody · $4.6M to $13.5MOct 21, 2025 to Mar 30, 2026
- Employees · 16 to 14Oct 21, 2025 to Mar 30, 2026
- State-registered IARs · 15 to 14Oct 21, 2025 to Mar 30, 2026
- Discretionary RAUM · $278M to $338MOct 21, 2025 to Mar 30, 2026
- HNW RAUM · $105M to $152MOct 21, 2025 to Mar 30, 2026
- Individual RAUM · $133M to $137MOct 21, 2025 to Mar 30, 2026
- Pension RAUM · $2.9M to $3.3MOct 21, 2025 to Mar 30, 2026
- RAUM · $278M to $338MOct 21, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Apr 23, 2025 to Oct 21, 2025
- Accounts · 764 to 811Oct 11, 2024 to Apr 23, 2025
- Advisory employees · 17 to 15Oct 11, 2024 to Apr 23, 2025
- BD registered reps · 16 to 15Oct 11, 2024 to Apr 23, 2025
- Charity clients · 19 to 24Oct 11, 2024 to Apr 23, 2025
- Corporate clients · 7 to 10Oct 11, 2024 to Apr 23, 2025
- HNW clients · 134 to 157Oct 11, 2024 to Apr 23, 2025
- Individual clients · 602 to 618Oct 11, 2024 to Apr 23, 2025
- Assets in custody · $3.7M to $4.6MOct 11, 2024 to Apr 23, 2025
- Employees · 17 to 16Oct 11, 2024 to Apr 23, 2025
- State-registered IARs · 17 to 15Oct 11, 2024 to Apr 23, 2025
- Discretionary RAUM · $225M to $278MOct 11, 2024 to Apr 23, 2025
- HNW RAUM · $77.2M to $105MOct 11, 2024 to Apr 23, 2025
- Individual RAUM · $119M to $133MOct 11, 2024 to Apr 23, 2025
- Pension RAUM · $2.6M to $2.9MOct 11, 2024 to Apr 23, 2025
- RAUM · $225M to $278MOct 11, 2024 to Apr 23, 2025
- Accounts · 732 to 764Feb 22, 2023 to Mar 21, 2024
- Charity clients · 18 to 19Feb 22, 2023 to Mar 21, 2024
- Corporate clients · 9 to 7Feb 22, 2023 to Mar 21, 2024
- HNW clients · 275 to 134Feb 22, 2023 to Mar 21, 2024
- Individual clients · 428 to 602Feb 22, 2023 to Mar 21, 2024
- Pension plan clients · 2.0 to unsetFeb 22, 2023 to Mar 21, 2024
- Assets in custody · $4.1M to $3.7MFeb 22, 2023 to Mar 21, 2024
- State-registered IARs · 16 to 17Feb 22, 2023 to Mar 21, 2024
- Discretionary RAUM · $189M to $225MFeb 22, 2023 to Mar 21, 2024
Signals
3 dated events
- A••••• D• G•••••••• left U••••••• I••••••••• A•••••••• I••• for P•• W••••• M••••••••• (registered 2023-05-22)May 18, 2023 · Advisor changed firm · fact
- Vann Kyle Eudy (Executive Vice President) appeared on Schedule A of U••••••• I••••••••• A•••••••• I•••Mar 3, 2022 · Control person joined · fact
- U••••••• I••••••••• A•••••••• I••• reported 15 state-registered advisory representatives, up from 2 (2019-07-01 to 2020-01-28)Jan 28, 2020 · Advisor headcount change · derived
Across DFX
shared identifiers only, never a name match
- U••••••• I••••••••• A•••••••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 704-983-5959reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 704-983-6181reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-438-6864reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- U•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 704-983-5959reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- u•••••••.comreportedpublished 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
- $22.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026