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••••••
Legal name W••••••••• C••••••• L••
Latest filing Jan 6, 2026
First filing on the tape Mar 14, 2012 · 25 filings
SEC status approved since Jul 16, 2014
RAUM
$239M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$238M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$59.6M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$239M as of Jan 6, 2026
Mar 14, 2012$54.7M then
HNW client RAUM$212M as of Jan 6, 2026
Feb 13, 2018$103M then
State-registered IARs (5.B.3)4 as of Jan 6, 2026
Mar 14, 20120 then
Employees (5.A)4 as of Jan 6, 2026
Mar 24, 20155 then
Private funds: no history
RAUM +7.2% over the last fiscal year+12% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jan 6, 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
- $59.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.7MderivedHNW RAUM over HNW clients
- Average account
- $931,715derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$212M89%
- Individuals$25.4M11%
- Charitable organizations$686,5450.3%
- Individual clients
- 105reported
- HNW clients
- 37reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 256reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• A••••• L•••••Chartered Financial Consultant | Winston-Salem, Nc | Oct 6, 2009 | 35 y | 0 |
| H•••• R••••••• S••••••• | Winston-Salem, Nc | Mar 1, 2011 | 42 y | 4 |
| B•••• R••••••••• S••••••Chartered Financial Consultant | Winston-Salem, Nc | Jun 6, 2012 | 42 y | 3 |
| P••• •••• F••••• | Winston-Salem, Nc | Dec 18, 2012 | 34 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
- J•••• H• K•••• I•• to R•••••• J•••• • A••••••••• I•••Aug 17, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- P••• •••• F••••• from D••••••• B••• S••••••••• I•••Dec 18, 2012 · Other
- H•••• R••••••• S••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Mar 1, 2011 · Other
- B•••• R••••••••• S•••••• from T•• C•••••• E••••• G••••• L••Mar 24, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• H••••• R••••••• · Minority Owner/Portfolio Managercontrolsince 03/2015 · owns 5% to 10%
- S••••••• B••••• R••••••••• · Manager, Founder, Chief Executive Officercontrolsince 12/2006 · owns 75% or more
- F•••••• P•••• •••• · Minority Owner/Investment Adviser Representativesince 03/2015 · owns 5% to 10%
- L•••••• D••••• A••••• · Minority Owner/Portfolio Managersince 03/2015 · owns 5% to 10%
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 | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 246 to 256Jan 7, 2025 to Jan 6, 2026
- Corporate clients · 1 to 0Jan 7, 2025 to Jan 6, 2026
- HNW clients · 31 to 37Jan 7, 2025 to Jan 6, 2026
- Individual clients · 111 to 105Jan 7, 2025 to Jan 6, 2026
- Discretionary RAUM · $223M to $239MJan 7, 2025 to Jan 6, 2026
- HNW RAUM · $184M to $212MJan 7, 2025 to Jan 6, 2026
- Individual RAUM · $38.0M to $25.4MJan 7, 2025 to Jan 6, 2026
- RAUM · $223M to $239MJan 7, 2025 to Jan 6, 2026
- Accounts · 239 to 246Jan 9, 2024 to Jan 7, 2025
- Corporate clients · 2 to 1Jan 9, 2024 to Jan 7, 2025
- HNW clients · 33 to 31Jan 9, 2024 to Jan 7, 2025
- Individual clients · 104 to 111Jan 9, 2024 to Jan 7, 2025
- Financial planning clients · 0 to 0Jan 9, 2024 to Jan 7, 2025
- Discretionary RAUM · $193M to $223MJan 9, 2024 to Jan 7, 2025
- HNW RAUM · $167M to $184MJan 9, 2024 to Jan 7, 2025
- Individual RAUM · $24.9M to $38.0MJan 9, 2024 to Jan 7, 2025
- RAUM · $193M to $223MJan 9, 2024 to Jan 7, 2025
- Advisory employees · 5 to 4Jan 6, 2023 to Jan 5, 2024
- Corporate clients · 1 to 2Jan 6, 2023 to Jan 5, 2024
- HNW clients · 36 to 33Jan 6, 2023 to Jan 5, 2024
- Individual clients · 115 to 104Jan 6, 2023 to Jan 5, 2024
- Employees · 5 to 4Jan 6, 2023 to Jan 5, 2024
- State-registered IARs · 5 to 4Jan 6, 2023 to Jan 5, 2024
- Discretionary RAUM · $172M to $193MJan 6, 2023 to Jan 5, 2024
- HNW RAUM · $147M to $167MJan 6, 2023 to Jan 5, 2024
- Individual RAUM · $23.7M to $24.9MJan 6, 2023 to Jan 5, 2024
- RAUM · $172M to $193MJan 6, 2023 to Jan 5, 2024
- Discretionary RAUM · $192M to $172MNov 10, 2022 to Jan 6, 2023
- HNW RAUM · $165M to $147MNov 10, 2022 to Jan 6, 2023
- Individual RAUM · $26.0M to $23.7MNov 10, 2022 to Jan 6, 2023
- RAUM · $192M to $172MNov 10, 2022 to Jan 6, 2023
- Accounts · 240 to 239Jan 12, 2021 to Jan 10, 2022
- Corporate clients · 0 to 1Jan 12, 2021 to Jan 10, 2022
- Individual clients · 103 to 115Jan 12, 2021 to Jan 10, 2022
- Discretionary RAUM · $169M to $192MJan 12, 2021 to Jan 10, 2022
- HNW RAUM · $143M to $165MJan 12, 2021 to Jan 10, 2022
- Individual RAUM · $24.8M to $26.0MJan 12, 2021 to Jan 10, 2022
- RAUM · $169M to $192MJan 12, 2021 to Jan 10, 2022
- Accounts · 228 to 240May 13, 2020 to Jan 12, 2021
- Corporate clients · unset to 0.0May 13, 2020 to Jan 12, 2021
Signals
2 dated events
- J•••• H• K•••• I•• left W••••••••• C•••••• for R•••••• J•••• • A••••••••• I••• (registered 2024-11-06)Aug 17, 2023 · Advisor changed firm · fact
- W••••••••• C•••••• filed its initial SEC registration (Form ADV)Jul 3, 2014 · 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•••@w•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 336-725-5579reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- W•••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 336-725-5579reportedpublic record, Form ADV, Jan 6, 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
- $59.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026