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
O•• N•••• S•••• W••••• M••••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Jan 30, 2012 · 33 filings
SEC status approved since Oct 24, 2008
RAUM
$453M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
100%
$450M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$75.4M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$453M as of Mar 17, 2026
Jan 30, 2012$111M then
HNW client RAUM$329M as of Mar 17, 2026
Mar 20, 2018$85.5M then
State-registered IARs (5.B.3)6 as of Mar 17, 2026
Jan 30, 20120 then
Employees (5.A)6 as of Mar 17, 2026
Feb 20, 20136 then
Private funds: no history
RAUM +18% over the last fiscal year+19% a year over threeIARs 6 to 6offices 0 to 1
Practice profile
derived from the filing of Mar 17, 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
- RAUM per advisor
- $75.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $402,633derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.7%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissions, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $90.3M, 44 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$329M73%
- Individuals$122M27%
- Corporations and businesses$1.1M0.2%
- Charitable organizations$676,6160.1%
- Pension and profit-sharing plans$345,2680.1%
- Individual clients
- 360reported
- HNW clients
- 111reported
- Pension plan clients
- 1reported
- Charitable clients
- 3reported
- Accounts
- 1,124reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $90.3M for 44 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• D••••• K••••Certified Financial Planner, Personal Financial Specialist | Wilmington, Nc | Oct 27, 2008 | 28 y | 1 |
| D••••••• N• A••••••••• | Wilmington, Nc | Oct 9, 2012 | 17 y | 0 |
| C•••••• R••••••• B•••••••Personal Financial Specialist | Wilmington, Nc | Mar 25, 2014 | 24 y | 0 |
| T••••••• L•••••••• A•••••••• | Wilmington, Nc | Dec 22, 2014 | 37 y | 0 |
| W•••••• G••• H•••••• | Wilmington, Nc | May 13, 2020 | 12 y | 0 |
| D•••• W•••••• P••••••Certified Financial Planner, Chartered Financial Consultant | Wilmington, Nc | Sep 24, 2025 | 30 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- S•••••• W•••• G•••••• to I••••••••• F•••••••• S•••••••• I•••Apr 6, 2015 · Other
- M•• M••••••• S••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 23, 2012 · Other
- M•••••• C• B••••• to I••••••• P•••••••• I•••Jun 1, 2012 · Other
- J••• L•• M••••• to V••••• A•••• M•••••••••Jan 30, 2012 · Other
Joined, latest
- D•••• W•••••• P•••••• from J• W• C••• A•••••••• I•••Sep 24, 2025 · Affiliated broker-dealer or bank to independent RIA
- S•••••• W•••• G•••••• from O•• N•••• S•••• T••••• L••Nov 5, 2009 · Other
- M•• M••••••• S••••• from D••• D••••••• • C••May 26, 2009 · Other
- M•••••• C• B••••• from C•••••••• G••••• M•••••• I•••Dec 4, 2008 · Other
- P••• D••••• K•••• from C•••••••• G••••• M•••••• I•••Oct 27, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• D•••••••• N• · Chief Compliance Officercontrolsince 07/2012 · owns less than 5%
- K••••• P•••• D••••• · Managing Membercontrolsince 05/2008 · owns 75% or more
Related persons
Schedule D 7.A
- K••••• R••••••• • C•• C•••• P•••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Wilmington, Nc · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,062 to 1,124Sep 30, 2025 to Mar 17, 2026
- HNW clients · 103 to 111Sep 30, 2025 to Mar 17, 2026
- Individual clients · 386 to 360Sep 30, 2025 to Mar 17, 2026
- Assets in custody · $75.9M to $90.3MSep 30, 2025 to Mar 17, 2026
- Discretionary RAUM · $362M to $428MSep 30, 2025 to Mar 17, 2026
- HNW RAUM · $285M to $329MSep 30, 2025 to Mar 17, 2026
- Individual RAUM · $98.1M to $122MSep 30, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $22.6M to $24.9MSep 30, 2025 to Mar 17, 2026
- Pension RAUM · $218,194 to $345,268Sep 30, 2025 to Mar 17, 2026
- RAUM · $385M to $453MSep 30, 2025 to Mar 17, 2026
- Other offices · 0 to 1Mar 20, 2025 to Sep 30, 2025
- Accounts · 970 to 1,062Mar 22, 2024 to Mar 20, 2025
- Charity clients · 2 to 3Mar 22, 2024 to Mar 20, 2025
- HNW clients · 93 to 103Mar 22, 2024 to Mar 20, 2025
- Individual clients · 279 to 386Mar 22, 2024 to Mar 20, 2025
- Pension plan clients · 2 to 1Mar 22, 2024 to Mar 20, 2025
- Assets in custody · $69.3M to $75.9MMar 22, 2024 to Mar 20, 2025
- Financial planning clients · 0 to 51-100Mar 22, 2024 to Mar 20, 2025
- Discretionary RAUM · $313M to $362MMar 22, 2024 to Mar 20, 2025
- HNW RAUM · $244M to $285MMar 22, 2024 to Mar 20, 2025
- Individual RAUM · $87.9M to $98.1MMar 22, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $22.3M to $22.6MMar 22, 2024 to Mar 20, 2025
- Pension RAUM · $1.7M to $218,194Mar 22, 2024 to Mar 20, 2025
- RAUM · $335M to $385MMar 22, 2024 to Mar 20, 2025
- Accounts · 885 to 970Mar 27, 2023 to Mar 22, 2024
- Charity clients · 0 to 2Mar 27, 2023 to Mar 22, 2024
- Corporate clients · 5 to 9Mar 27, 2023 to Mar 22, 2024
- HNW clients · 87 to 93Mar 27, 2023 to Mar 22, 2024
- Individual clients · 342 to 279Mar 27, 2023 to Mar 22, 2024
- Pension plan clients · 3 to 2Mar 27, 2023 to Mar 22, 2024
- Assets in custody · $80.6M to $69.3MMar 27, 2023 to Mar 22, 2024
- Discretionary RAUM · $254M to $313MMar 27, 2023 to Mar 22, 2024
- HNW RAUM · $201M to $244MMar 27, 2023 to Mar 22, 2024
- Individual RAUM · $60.2M to $87.9MMar 27, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $11.5M to $22.3MMar 27, 2023 to Mar 22, 2024
- Pension RAUM · $2.8M to $1.7MMar 27, 2023 to Mar 22, 2024
- RAUM · $266M to $335MMar 27, 2023 to Mar 22, 2024
- Accounts · 821 to 885Jan 12, 2023 to Mar 27, 2023
- HNW clients · 83 to 87Jan 12, 2023 to Mar 27, 2023
- Individual clients · 307 to 342Jan 12, 2023 to Mar 27, 2023
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
- Business phone
- 800-637-3211reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 910-509-3800reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 910-509-3805reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/old-north-state-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- onswm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 910-509-3800reportedpublic record, Form ADV, Mar 17, 2026
- Team page
- onswm.com/our-teamreportedpublished 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $75.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026