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

S•••• F•••••••• M••••••••• I•••

Independent wealth managerRaleigh, North CarolinaCRD 122670SEC 801-132274IAPD
Latest filing Mar 4, 2026
First filing on the tape Apr 25, 2025 · 3 filings
SEC status approved since Mar 28, 2025
RAUM
$134M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$134M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$67.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$134M as of Mar 4, 2026
Apr 25, 2025$111M then
HNW client RAUM$84.5M as of Mar 4, 2026
Apr 25, 2025$62.5M then
State-registered IARs (5.B.3)2 as of Mar 4, 2026
Apr 25, 20252 then
Employees (5.A)2 as of Mar 4, 2026
Apr 25, 20252 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 4, 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
$67.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
90derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.2MderivedHNW RAUM over HNW clients
Average account
$304,726derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-35%derived
Compensation
percentage of assetsreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$84.5M63%
  • Individuals$49.6M37%
Individual clients
154reported
HNW clients
26reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
440reported
Financial planning clients
11-25reported
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
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
W•••••• B•••• S••••Certified Financial PlannerRaleigh, NcApr 20, 201734 y0
W•••••• A••• S••••Certified Financial PlannerRaleigh, NcApr 16, 201810 y0
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
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S••••• W••••••• A••• · Vice Presidentcontrol
        since 04/2018 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Raleigh, Nc · principal200
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • clients down average size upCombination · filing Mar 4, 2026
        private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $110,700,000 to $134,079,243, advisors 2 to 2, private clients 275 to 180, offices 0 to 0 (2025-04-25 to 2026-03-04)
        peers: independent wealth managers, $100M to $500M (5,678)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 420 to 440
        Apr 25, 2025 to Feb 24, 2026
      • HNW clients · 28 to 26
        Apr 25, 2025 to Feb 24, 2026
      • Individual clients · 247 to 154
        Apr 25, 2025 to Feb 24, 2026
      • Discretionary RAUM · $111M to $134M
        Apr 25, 2025 to Feb 24, 2026
      • HNW RAUM · $62.5M to $84.5M
        Apr 25, 2025 to Feb 24, 2026
      • Individual RAUM · $48.2M to $49.6M
        Apr 25, 2025 to Feb 24, 2026
      • RAUM · $111M to $134M
        Apr 25, 2025 to Feb 24, 2026
      Signals
      No event on the tape.
      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
      Principal office phone
      919-845-6600reportedpublic record, Form ADV, Mar 4, 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
      $67.0Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026