DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C••••• I••••••••• M••••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Nov 11, 2011 · 17 filings
SEC status approved since Apr 24, 2020
RAUM
$307M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
100%
$307M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$154M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$307M as of Mar 11, 2026
Mar 5, 2012$69.7M then
HNW client RAUM$166M as of Mar 11, 2026
Mar 25, 2021$57.8M then
State-registered IARs (5.B.3)1 as of Mar 11, 2026
Mar 25, 20212 then
Employees (5.A)1 as of Mar 11, 2026
Mar 25, 20214 then
Private funds: no history
RAUM +23% over the last fiscal year+25% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 11, 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
- $154MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 269derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $286,162derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, otherreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$166M54%
- Individuals$142M46%
- Individual clients
- 466reported
- HNW clients
- 71reported
- Pension plan clients
- 12reported
- Charitable clients
- 4reported
- Accounts
- 1,074reported
- Financial planning clients
- 0reported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• E••••• C•••••Chartered Financial Analyst | Wilmington, Nc | Sep 18, 2012 | 41 y | 1 |
| J••••• C••••• B•••••• | Wilmington, Nc | Feb 3, 2015 | 12 y | 2 |
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
- J••••• C••••• B•••••• from C••••• A••••••• L••Feb 3, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• R•••••• E••••• · Chief Compliance Officer / Managing Membercontrolsince 01/1986 · 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 |
|---|---|---|---|---|---|
| Wilmington, Nc | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Wilmington, NC1 employees
- Wilmington, NC1 employees
- Wilmington, NC1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 11, 2026accounts (Item 5.F.2.f) moved from 497.0 to 1,074.0 (+116.0%) between the annual amendments of 2025-02-14 and 2026-03-11; the peer median change was +5.0% (3685 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,685) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 497 to 1,074Feb 14, 2025 to Mar 11, 2026
- HNW clients · 58 to 71Feb 14, 2025 to Mar 11, 2026
- Individual clients · 435 to 466Feb 14, 2025 to Mar 11, 2026
- Pension plan clients · 10 to 12Feb 14, 2025 to Mar 11, 2026
- Discretionary RAUM · $226M to $278MFeb 14, 2025 to Mar 11, 2026
- HNW RAUM · $116M to $166MFeb 14, 2025 to Mar 11, 2026
- Individual RAUM · $101M to $142MFeb 14, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $23.7M to $29.1MFeb 14, 2025 to Mar 11, 2026
- Pension RAUM · 23703730.0 to unsetFeb 14, 2025 to Mar 11, 2026
- RAUM · $250M to $307MFeb 14, 2025 to Mar 11, 2026
- Accounts · 884 to 497Mar 18, 2024 to Feb 14, 2025
- Advisory employees · 2 to 1Mar 18, 2024 to Feb 14, 2025
- HNW clients · 42 to 58Mar 18, 2024 to Feb 14, 2025
- Individual clients · 402 to 435Mar 18, 2024 to Feb 14, 2025
- Employees · 2 to 1Mar 18, 2024 to Feb 14, 2025
- Insurance-licensed employees · 1 to 0Mar 18, 2024 to Feb 14, 2025
- Financial planning clients · 0 to 0Mar 18, 2024 to Feb 14, 2025
- HQ city · unset to Mar 18, 2024 to Feb 14, 2025
- HQ state · unset to Mar 18, 2024 to Feb 14, 2025
- State-registered IARs · 2 to 1Mar 18, 2024 to Feb 14, 2025
- Other offices · 3 to 0Mar 18, 2024 to Feb 14, 2025
- Discretionary RAUM · $182M to $226MMar 18, 2024 to Feb 14, 2025
- HNW RAUM · $83.2M to $116MMar 18, 2024 to Feb 14, 2025
- Individual RAUM · $74.9M to $101MMar 18, 2024 to Feb 14, 2025
- Non-discretionary RAUM · $18.4M to $23.7MMar 18, 2024 to Feb 14, 2025
- Pension RAUM · $18.4M to $23.7MMar 18, 2024 to Feb 14, 2025
- RAUM · $200M to $250MMar 18, 2024 to Feb 14, 2025
- Accounts · 808 to 884Mar 13, 2023 to Mar 18, 2024
- Corporate clients · 0.0 to unsetMar 13, 2023 to Mar 18, 2024
- HNW clients · 31 to 42Mar 13, 2023 to Mar 18, 2024
- Individual clients · 762 to 402Mar 13, 2023 to Mar 18, 2024
- Pension plan clients · 11 to 10Mar 13, 2023 to Mar 18, 2024
- Pooled vehicle clients · 0.0 to unsetMar 13, 2023 to Mar 18, 2024
- HQ city · WILMINGTON to unsetMar 13, 2023 to Mar 18, 2024
- HQ state · NC to unsetMar 13, 2023 to Mar 18, 2024
- Other offices · 0 to 3Mar 13, 2023 to Mar 18, 2024
- Discretionary RAUM · $140M to $182MMar 13, 2023 to Mar 18, 2024
- HNW RAUM · $57.2M to $83.2MMar 13, 2023 to Mar 18, 2024
- Individual RAUM · $71.7M to $74.9MMar 13, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $16.1M to $18.4MMar 13, 2023 to Mar 18, 2024
Signals
1 dated events
- C••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 24, 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 phone
- 910-431-6308reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 910-452-7147reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 910-612-4060reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- C•••••INVESTMENTMANAGEMENT.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 910-431-6308reportedpublic record, Form ADV, Mar 11, 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
- $154Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026