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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
N•••••
Wealth manager with institutional or fund businessMooresville, North CarolinaCRD 133978SEC 801-66945websiteIAPD
Legal name N••••• A•••• M••••••••• C••• L••
Latest filing Jun 3, 2026
First filing on the tape Mar 16, 2012 · 149 filings
SEC status approved since Jul 5, 2006
RAUM
$404M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
32%
$129M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$57.8M
derived; firm RAUM over IAPD count
Employees
11
8 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
149 filings and snapshots on the tape
RAUM$404M as of Jun 3, 2026
Apr 9, 2012$61.8M then
HNW client RAUM$24.3M as of Jun 3, 2026
Jan 22, 2018$1.6M then
State-registered IARs (5.B.3)0 as of Jun 3, 2026
Apr 9, 20120 then
Employees (5.A)11 as of Jun 3, 2026
Mar 12, 20136 then
Private funds: no history
RAUM +29% over the last fiscal year+20% a year over threeIARs 16 to 0offices 7 to 4
Practice profile
derived from the filing of Jun 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $57.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $477,281derivedHNW RAUM over HNW clients
- Average account
- $692,346derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 68%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 1.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- -88%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +36%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
- Wrap fee program
- $209MreportedItem 5.I
- 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
- Pension and profit-sharing plans$236M58%
- Individuals$105M26%
- Charitable organizations$38.8M9.6%
- High-net-worth individuals$24.3M6.0%
- Individual clients
- 488reported
- HNW clients
- 51reported
- Pension plan clients
- 44reported
- Charitable clients
- 1reported
- Accounts
- 584reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $104M sponsored, $104M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.32 fund_share=0.0 institutional_share=0.68 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• E••• S••••Certified Financial Planner | Mooresville, Nc | Jan 9, 2008 | 20 y | 2 |
| A••• V••••• W•••••••••Chartered Financial Analyst | Mooresville, Nc | Feb 27, 2013 | 32 y | 2 |
| S•••• R•••• R•••• W••••••• | Mooresville, Nc | Apr 13, 2017 | 20 y | 2 |
| D••• R••• B••• | San Diego, Ca | Apr 23, 2021 | 28 y | 1 |
| M•••••• P••• F•••• | Mooresville, Nc | Jun 22, 2021 | 16 y | 0 |
| M•••••• C•••••• | Mooresville, Nc | Nov 10, 2022 | 10 y | 0 |
| C••• D•••• | Mooresville, Nc | Jul 16, 2025 | 10 y | 2 |
Advisor movement
7 left, 0 joined in 12 months
net -7 in 12 months3 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount10 left over 36 months
Left, latest
- T•••• B• A••••• to I•••••••• A••••••• S••••••••Aug 5, 2026 · RIA to RIA
- K•••• E••••• S••••••• to I•••••••• A••••••• S••••••••Aug 5, 2026 · RIA to RIA
- C••••••••• W•••••• H••••••• to I•••••••• A••••••• S••••••••Aug 5, 2026 · RIA to RIA
- A••••• D••••••• to F•••••••• C•••••• M••••••••• L••Jun 1, 2026 · RIA to RIA
- T••••• B• S•••••• to F•••••••• C•••••• M••••••••• L••May 29, 2026 · RIA to RIA
- P••• J••••• M••••••• to D•• I••••••••• L••May 12, 2026 · Other
- L••••• K••••••• M••••• to I••••••• F•••••••• W••••• M••••••••• L••Sep 24, 2025 · Other
- W••••• M••••• H••••• to S•• B••• A•••••••• I•••Jul 17, 2025 · Other
- R•••• B• H•••••• to C•••••• S••••• • C••• I•••Dec 12, 2024 · RIA to affiliated broker-dealer or bank
- S••••• P•••••• H••••• to L•• F•••••••• L••Jun 7, 2024 · RIA to affiliated broker-dealer or bank
- J••• M••• R••• to S••••• M•••••••••Oct 14, 2021 · RIA to RIA
- B•••• E••••• M••••••• to T•••••• C•••••• M•••••••••Sep 14, 2021 · RIA to RIA
- R•••••• M••••••••• P•••••• to S••••• M•••••••••Oct 3, 2020 · RIA to RIA
- E•••• D••••• W••••••• to S•••••••• I••••••••• A••••••• G••••• L••Sep 15, 2020 · RIA to a state-registered adviser
- T••• E•••••• S••••••••• to A••••••• F•••••••• G••••• L••Dec 6, 2019 · RIA to RIA
Joined, latest
- C••• D•••• from S•••• F••• I••••••••• M••••••••• C••••Jul 16, 2025 · Other
- T•••• B• A••••• from F•••••• F•••••••• A•••••••• L••Apr 8, 2025 · Other
- S••••• P•••••• H••••• from V••••••• A•••••••• I•••Sep 7, 2023 · Affiliated broker-dealer or bank to independent RIA
- D••• R••• B••• from S•••••••• R•••••••• C•••••• M••••••••• L••Apr 23, 2021 · RIA to RIA
- R•••• B• H•••••• from C••••••••• F••••••••• L••Oct 15, 2020 · RIA to RIA
- A••••• D••••••• from D•• I••••••••• L••May 13, 2020 · Other
- E•••• D••••• W••••••• from U••• B•••••• A•••••••• L••Aug 8, 2019 · Other
- J•••••• C••••• J•••••• from S••••• I••••••••• M••••••••• L••Oct 12, 2018 · RIA to RIA
- L••••• K••••••• M••••• from W••••••• S••••••••• A•••••••Apr 28, 2017 · Other
- S•••• R•••• R•••• W••••••• from B•• C••••• A•••••••Apr 13, 2017 · Other
- E••• J••••••• L••••• from W•••••••••Jun 28, 2016 · Other
- R•••••• M••••••••• P•••••• from W•••••••••Jun 16, 2016 · Other
- B•••• E••••• M••••••• from W•••••••••Jun 10, 2016 · Other
- T••• E•••••• S••••••••• from Z••• F••••••••• L••May 6, 2016 · Other
- A••• V••••• W••••••••• from M••••• S••••••Feb 27, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for I•••••••• A••••••• S••••••••Aug 5, 2026 · Mooresville, Nc
- 2 joined from W•••••••••Jul 15, 2016 · San Luis Obispo, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• P•••• J••••• · Member & Chief Compliance Officercontrolsince 12/2004 · owns 25% to 50%
- R•••• W•••••••• S••••• R•••• · Member & Chairpersoncontrolsince 02/2024 · owns 50% to 75%
- S••••• B••••• E••• · Presidentsince 01/2020 · owns less than 5%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mooresville, Nc · principal | 6 | 0 | 3 | 1 | |
| Estero, Fl | 1 | 0 | 0 | ||
| Sugarland, Tx | 0 | 0 | 1 | ||
| Summerfield, Fl | 0 | 0 | 0 | ||
| Lakewood Ranch, Fl | 0 | 0 | 1 | ||
| Snellville, Ga | 0 | 0 | 1 | ||
| Statesville, Nc | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Phoenix, AZ2 employees
- Summerfield, FL2 employees
- Ocala, FL1 employees
- Fort Myers, FL1 employees
- Snellville, GA1 employees
- , 1 employees
- High Point, NC1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Jun 3, 2026institutional share of RAUM of 68% against a peer median of 0% (5676 comparable advisers, 100.0th percentile, 22.8 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 100% percentile
- account count collapseChange between filings · filing Feb 20, 2026accounts (Item 5.F.2.f) moved from 462.0 to 249.0 (-46.0%) between the annual amendments of 2025-03-11 and 2026-02-20; the peer median change was +5.0% (3687 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 3.3% percentile
- advisor count dropChange between filings · filing Feb 20, 2026advisory representatives (Item 5.B.3) moved from 16.0 to 2.0 (-88.0%) between the annual amendments of 2025-03-11 and 2026-02-20; the peer median change was 0.0% (965 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 0.4% percentile
What changed
consecutive filings, newest first
- Accounts · 249 to 584Feb 20, 2026 to Jun 3, 2026
- Advisory employees · 12 to 8Feb 20, 2026 to Jun 3, 2026
- BD registered reps · 2 to 0Feb 20, 2026 to Jun 3, 2026
- Charity clients · unset to 1.0Feb 20, 2026 to Jun 3, 2026
- HNW clients · 50 to 51Feb 20, 2026 to Jun 3, 2026
- Individual clients · 294 to 488Feb 20, 2026 to Jun 3, 2026
- Pension plan clients · 35 to 44Feb 20, 2026 to Jun 3, 2026
- Employees · 12 to 11Feb 20, 2026 to Jun 3, 2026
- State-registered IARs · 2 to 0Feb 20, 2026 to Jun 3, 2026
- Other offices · 5 to 4Feb 20, 2026 to Jun 3, 2026
- Discretionary RAUM · $349M to $386MFeb 20, 2026 to Jun 3, 2026
- HNW RAUM · $58.9M to $24.3MFeb 20, 2026 to Jun 3, 2026
- Individual RAUM · $48.8M to $105MFeb 20, 2026 to Jun 3, 2026
- Non-discretionary RAUM · $13.2M to $18.0MFeb 20, 2026 to Jun 3, 2026
- Pension RAUM · $216M to $236MFeb 20, 2026 to Jun 3, 2026
- RAUM · $362M to $404MFeb 20, 2026 to Jun 3, 2026
- Wrap assets (manager) · $62.3M to $104MFeb 20, 2026 to Jun 3, 2026
- Wrap assets (sponsor) · $62.3M to $104MFeb 20, 2026 to Jun 3, 2026
- Accounts · 462 to 249Jan 20, 2026 to Feb 20, 2026
- Advisory employees · 16 to 12Jan 20, 2026 to Feb 20, 2026
- Charity clients · 3.0 to unsetJan 20, 2026 to Feb 20, 2026
- Corporate clients · 0.0 to unsetJan 20, 2026 to Feb 20, 2026
- HNW clients · 23 to 50Jan 20, 2026 to Feb 20, 2026
- Individual clients · 230 to 294Jan 20, 2026 to Feb 20, 2026
- Pooled vehicle clients · 0.0 to unsetJan 20, 2026 to Feb 20, 2026
- Employees · 16 to 12Jan 20, 2026 to Feb 20, 2026
- State-registered IARs · 16 to 2Jan 20, 2026 to Feb 20, 2026
- Discretionary RAUM · $299M to $349MJan 20, 2026 to Feb 20, 2026
- HNW RAUM · $25.8M to $58.9MJan 20, 2026 to Feb 20, 2026
- Individual RAUM · $31.6M to $48.8MJan 20, 2026 to Feb 20, 2026
- Non-discretionary RAUM · $13.0M to $13.2MJan 20, 2026 to Feb 20, 2026
- Pension RAUM · $186M to $216MJan 20, 2026 to Feb 20, 2026
- RAUM · $312M to $362MJan 20, 2026 to Feb 20, 2026
- Other offices · 6 to 5Dec 17, 2025 to Jan 20, 2026
- Other offices · 7 to 6Jul 31, 2025 to Oct 28, 2025
- Financial planning clients · 11-25 to 11-25May 20, 2025 to Jul 31, 2025
- Other offices · 8 to 7Mar 5, 2025 to Mar 11, 2025
- Advisory employees · 17 to 16Dec 13, 2024 to Mar 5, 2025
- Charity clients · 1 to 3Dec 13, 2024 to Mar 5, 2025
- HNW clients · 73 to 23Dec 13, 2024 to Mar 5, 2025
Signals
15 dated events
- C••••••••• W•••••• H••••••• left N••••• for I•••••••• A••••••• S•••••••• (registered 2026-08-04)Aug 5, 2026 · Advisor changed firm · fact
- T•••• B• A••••• left N••••• for I•••••••• A••••••• S•••••••• (registered 2026-08-04)Aug 5, 2026 · Advisor changed firm · fact
- K•••• E••••• S••••••• left N••••• for I•••••••• A••••••• S•••••••• (registered 2026-08-04)Aug 5, 2026 · Advisor changed firm · fact
- 3 advisors left N••••• (Mooresville, NC) for I•••••••• A••••••• S•••••••• on the same dayAug 5, 2026 · Team lift-out · derived
- A••••• D••••••• left N••••• for F•••••••• C•••••• M••••••••• L•• (registered 2026-06-29)Jun 1, 2026 · Advisor changed firm · fact
- T••••• B• S•••••• left N••••• for F•••••••• C•••••• M••••••••• L•• (registered 2026-04-06)May 29, 2026 · Advisor changed firm · fact
- P••• J••••• M••••••• left N••••• for D•• I••••••••• L•• (registered 2020-02-12)May 12, 2026 · Advisor changed firm · fact
- N••••• reported 2 state-registered advisory representatives, down from 16 (2026-01-20 to 2026-02-20)Feb 20, 2026 · Advisor headcount change · derived
- L••••• K••••••• M••••• left N••••• for I••••••• F•••••••• W••••• M••••••••• L•• (registered 2025-09-23)Sep 24, 2025 · Advisor changed firm · fact
- W••••• M••••• H••••• left N••••• for S•• B••• A•••••••• I••• (registered 2025-09-22)Jul 17, 2025 · Advisor changed firm · fact
- R•••• B• H•••••• left N••••• for C•••••• S••••• • C••• I••• (registered 2025-01-06)Dec 12, 2024 · Advisor changed firm · fact
- N••••• reported 7 offices beyond its principal office, down from 19 (2024-08-21 to 2024-09-05)Sep 5, 2024 · Office count change · derived
- S••••• P•••••• H••••• left N••••• for L•• F•••••••• L•• (registered 2024-07-10)Jun 7, 2024 · Advisor changed firm · fact
- R•••• Susan Riser Whitlock (Chairperson) appeared on Schedule A of N•••••Feb 8, 2024 · Control person joined · fact
- N••••• reported 21 offices beyond its principal office, up from 14 (2020-11-12 to 2021-01-25)Jan 25, 2021 · Office count change · derived
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
- support@namcoa.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- eslusher@namcoa.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- dmele@namcoa.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- planning.belt@namcoa.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- rwhitlock@namcoa.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 239-481-7550reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 239-481-4550reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 239-593-5525reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- namcoa.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (239) 593-5525reportedpublic record, Form ADV, Jun 3, 2026
- Contact form
- namcoa.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- namcoa.com/our-advisorsreportedpublished by the firm, firm site, Sep 15, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $57.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026