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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Former SEC-registered adviser

E••• W••••• M••••••••• L•••••

Former SEC-registered adviserCRD 144851SEC 801-124808website IAPD

Latest filing Apr 16, 2024

First filing on the tape Feb 27, 2012 · 12 filings

SEC status approved since Apr 29, 2022

RAUM

$135M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

99%

$134M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

12 filings and snapshots on the tape

RAUM$135M as of Feb 29, 2024

Feb 27, 2012$47.8M then

HNW client RAUM$108M as of Feb 29, 2024

Mar 10, 2023$100.0M then

State-registered IARs (5.B.3)3 as of Feb 29, 2024

Feb 27, 20120 then

Employees (5.A)4 as of Feb 29, 2024

Mar 10, 20232 then

Private funds: no history

RAUM +19% over the last fiscal yearIARs 1 to 3offices 0 to 1

Practice profile

derived from the filing of Apr 16, 2024; every figure names its basis

RAUM per advisor: $45.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 29derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.7MderivedHNW RAUM over HNW clients
Average account: $327,611derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +19%derivedbetween the last two annual amendments
Advisor growth, one year: +200%derivedItem 5.B.3 between annual amendments
Client growth, one year: +25%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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

is an insurance broker or agent (6.A.6)
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$108M80%
Individuals$25.5M19%
Charitable organizations$1.2M0.9%

Individual clients: 57reported
HNW clients: 29reported
Pension plan clients: 0reported
Charitable clients: n/areported
Accounts: 412reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

0 on IAPD today, longest tenure first

No representative is registered through this CRD on IAPD.

Advisor movement

Left, latest

K•••••• L••• H••• to M••••• C•••••• M••••••••• L••
Mar 18, 2025 · RIA to RIA
T•••••• P••• P••••••••• to S•••••• P••••••• I••••••••• A•••••••• L••
Jan 28, 2025 · RIA to affiliated broker-dealer or bank
R••• N•••••••• R•••• to W•••• F•••• A•••••••
Jan 28, 2025 · RIA to wirehouse

Joined, latest

T•••••• P••• P••••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Mar 24, 2024 · Affiliated broker-dealer or bank to independent RIA
R••• N•••••••• R•••• from S•••••• P••••••• I••••••••• A•••••••• L••
Mar 24, 2024 · Affiliated broker-dealer or bank to independent RIA
K•••••• L••• H••• from T••• F•••••••• G••••• I•••
Dec 8, 2023 · RIA to RIA
A••••• C••••••••• G•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Dec 8, 2023 · Affiliated broker-dealer or bank to independent RIA

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

H•••• K••••••• L••• · Chief Compliance Officer And Director Of Financial Planningcontrol
since 12/2023 · owns less than 5%

Entity owners

F•••••• S••••• P••••••• L•• · Owner
direct · owns 75% or more
F•• E••••••••• L•• · Owner
indirect · owns 75% or more of F•••••• S••••• P••••••• L••
S•••••• P••••••• H•••••••• L•• · Owner
indirect · owns 75% or more of F•• E••••••••• L••
S•••••• P••••••• M••••••••• H•••••••• L•• · Owner
indirect · owns 50% to 75% of S•••••• P••••••• H•••••••• L••

Related persons

Schedule D 7.A

S•••••• P••••••• G••••• A•••••••• L••
real estatey
S•••••• P••••••• I••••••••• A•••••••• L••
investment advisernRAUM $37B
S•••••• P••••••• I••••••••• S••••••••• L••
broker-dealerinvestment advisernRAUM $991M

Advisers that list E••• W••••• M••••••••• L••••• as a related person

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Charlotte, Nc	0	0	0
Virginia Beach, Va	0	0	0
Suffolk, Va	0	0	0
Southern Shores, Nc	0	0	0

Offices

Schedule D 1.F, the 25 largest

Virginia Beach, VA2 employees

What changed

consecutive filings, newest first

Accounts · 380 to 412
Jan 3, 2024 to Feb 29, 2024
Advisory employees · 1 to 3
Jan 3, 2024 to Feb 29, 2024
HNW clients · 36 to 29
Jan 3, 2024 to Feb 29, 2024
Individual clients · 33 to 57
Jan 3, 2024 to Feb 29, 2024
Employees · 2 to 4
Jan 3, 2024 to Feb 29, 2024
Insurance-licensed employees · 0 to 2
Jan 3, 2024 to Feb 29, 2024
Financial planning clients · 0 to 1-10
Jan 3, 2024 to Feb 29, 2024
State-registered IARs · 1 to 3
Jan 3, 2024 to Feb 29, 2024
Discretionary RAUM · $113M to $135M
Jan 3, 2024 to Feb 29, 2024
HNW RAUM · $100.0M to $108M
Jan 3, 2024 to Feb 29, 2024
Individual RAUM · $12.4M to $25.5M
Jan 3, 2024 to Feb 29, 2024
RAUM · $113M to $135M
Jan 3, 2024 to Feb 29, 2024
Related broker-dealer · false to true
Dec 20, 2023 to Jan 3, 2024
Other offices · 0 to 1
Dec 15, 2023 to Dec 20, 2023
Related adviser · false to true
Mar 10, 2023 to Sep 1, 2023
Accounts · 486 to 380
Mar 30, 2022 to Mar 10, 2023
HNW clients · 31 to 36
Mar 30, 2022 to Mar 10, 2023
Individual clients · 38 to 33
Mar 30, 2022 to Mar 10, 2023
Discretionary RAUM · $132M to $113M
Mar 30, 2022 to Mar 10, 2023
HNW RAUM · $118M to $100.0M
Mar 30, 2022 to Mar 10, 2023
Individual RAUM · $12.5M to $12.4M
Mar 30, 2022 to Mar 10, 2023
RAUM · $132M to $113M
Mar 30, 2022 to Mar 10, 2023
Accounts · 412 to 486
May 1, 2012 to Mar 30, 2022
Advisory employees · unset to 1.0
May 1, 2012 to Mar 30, 2022
Business name · E••• W••••• M••••••••• L•• to E••• W••••• M••••••••• L•••••
May 1, 2012 to Mar 30, 2022
HNW clients · unset to 31.0
May 1, 2012 to Mar 30, 2022
Individual clients · unset to 38.0
May 1, 2012 to Mar 30, 2022
Pension plan clients · unset to 0.0
May 1, 2012 to Mar 30, 2022
Pooled vehicle clients · unset to 0.0
May 1, 2012 to Mar 30, 2022
Employees · unset to 2.0
May 1, 2012 to Mar 30, 2022
Financial planning clients · 1-10 to 0
May 1, 2012 to Mar 30, 2022
HQ city · KITTY HAWK to unset
May 1, 2012 to Mar 30, 2022
HQ state · NC to unset
May 1, 2012 to Mar 30, 2022
State-registered IARs · 0 to 1
May 1, 2012 to Mar 30, 2022
Legal name · E••• W••••• M••••••••• L•• to E••• W••••• M••••••••• L•••••
May 1, 2012 to Mar 30, 2022
Other offices · unset to 0.0
May 1, 2012 to Mar 30, 2022
Discretionary RAUM · $47.2M to $132M
May 1, 2012 to Mar 30, 2022
HNW RAUM · unset to 117771867.0
May 1, 2012 to Mar 30, 2022
Individual RAUM · unset to 12494575.0
May 1, 2012 to Mar 30, 2022
Non-discretionary RAUM · $641,750 to $0
May 1, 2012 to Mar 30, 2022

Signals

17 dated events

E••• W••••• M••••••••• L••••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $135.0M)
May 2, 2025 · Left the SEC roster · derived
K•••••• L••• H••• left E••• W••••• M••••••••• L••••• for M••••• C•••••• M••••••••• L•• (registered 2023-12-19)
Mar 18, 2025 · Advisor changed firm · fact
Reed Anthony Sloat no longer registered at E••• W••••• M••••••••• L•••••; no later IA registration on IAPD
Jan 28, 2025 · Advisor departure · fact
Margaret Newell Wiley no longer registered at E••• W••••• M••••••••• L•••••; no later IA registration on IAPD
Jan 28, 2025 · Advisor departure · fact
T•••••• P••• P••••••••• left E••• W••••• M••••••••• L••••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2024-04-14)
Jan 28, 2025 · Advisor changed firm · fact
R••• N•••••••• R•••• left E••• W••••• M••••••••• L••••• for W•••• F•••• A••••••• (registered 2026-04-09)
Jan 28, 2025 · Advisor changed firm · fact
Jeffrey Paul Whiteside no longer registered at E••• W••••• M••••••••• L•••••; no later IA registration on IAPD
Jan 28, 2025 · Advisor departure · fact
Courtney Heath Williams no longer registered at E••• W••••• M••••••••• L•••••; no later IA registration on IAPD
Jan 28, 2025 · Advisor departure · fact
Wayne Scott Danner (Control Member) no longer on Schedule A of E••• W••••• M••••••••• L••••• (listed 2023-12-20, absent 2024-01-03)
Jan 3, 2024 · Control person left · inference
Christopher Andrew Gregory (Member) no longer on Schedule A of E••• W••••• M••••••••• L••••• (listed 2023-12-20, absent 2024-01-03)
Jan 3, 2024 · Control person left · inference
L••• K•••••• H••• (Chief Compliance Officer) appeared on Schedule A of E••• W••••• M••••••••• L•••••
Dec 15, 2023 · Control person joined · fact
Lee K•••••• H••• (Chief Compliance Officer) no longer on Schedule A of E••• W••••• M••••••••• L••••• (listed 2023-12-14, absent 2023-12-15)
Dec 15, 2023 · Control person left · inference
Lee Andrea Mcmurran (Chief Compliance Officer) appeared on Schedule A of E••• W••••• M••••••••• L•••••
Sep 1, 2023 · Control person joined · fact
Dawn Sharon Elliott (Managing Member / Chief Compliance Officer) no longer on Schedule A of E••• W••••• M••••••••• L••••• (listed 2023-03-10, absent 2023-09-01)
Sep 1, 2023 · Control person left · inference
Wayne Scott Danner (Control Member) appeared on Schedule A of E••• W••••• M••••••••• L•••••
Sep 1, 2023 · Control person joined · fact
Christopher Andrew Gregory (Member) appeared on Schedule A of E••• W••••• M••••••••• L•••••
Sep 1, 2023 · Control person joined · fact
E••• W••••• M••••••••• L••••• filed its initial SEC registration (Form ADV)
Mar 30, 2022 · 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.

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: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026