DFX Intelligence

RIA Intelligence

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SEC-registered adviser

P•••••• W••••• M••••••••• O• N•••• C••••••• L••

Independent wealth managerHenderson, North CarolinaCRD 149889SEC 801-108507website IAPD

Latest filing Mar 17, 2026

First filing on the tape Jan 17, 2012 · 31 filings

SEC status approved since Oct 10, 2016

RAUM

$163M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

90%

$146M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$54.3M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

31 filings and snapshots on the tape

RAUM$163M as of Mar 17, 2026

Jan 17, 2012$73.5M then

HNW client RAUM$95.4M as of Mar 17, 2026

Jan 25, 2018$35.5M then

State-registered IARs (5.B.3)3 as of Mar 17, 2026

Jan 17, 20120 then

Employees (5.A)3 as of Mar 17, 2026

Mar 17, 20175 then

Private funds: no history

RAUM +11% over the last fiscal year+3.8% a year over threeIARs 3 to 3

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
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: $54.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 89derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.7MderivedHNW RAUM over HNW clients
Average account: $219,351derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +11%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -23%derived
Compensation: percentage of assets, hourlyreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Wrap fee program: $82.2MreportedItem 5.I
Custody: $53.0M, 110 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
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$95.4M59%
Individuals$50.5M31%
Charitable organizations$16.9M10%

Individual clients: 232reported
HNW clients: 35reported
Pension plan clients: n/areported
Charitable clients: 2reported
Accounts: 742reported
Financial planning clients: 0reported
Wrap fee programs: $0 sponsored, $82.2M managedreported
Custody of client assets: $53.0M for 110 clientsreported
Compensation: % of AUM, hourlyreported
Class basis: private_client_share=0.9 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
T•••• O••• F••••••	Raleigh, Nc	Oct 12, 2009	29 y	3
R•••••• A•••••• S•••••Chartered Financial Consultant	Raleigh, Nc	Feb 17, 2010	27 y	3
M•••••• B•••• W•••••••	Henderson, Nc	Mar 2, 2012	15 y	0

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 headcount1 left over 36 months

Left, latest

M•••••• A•••••• C•••••• to I••••••• S••••••••• L••
Feb 4, 2025 · RIA to a state-registered adviser

Joined, latest

R•••••• A•••••• S••••• from H•••••• I••••••••• P•••••••
Feb 17, 2010 · Other
T•••• O••• F•••••• from H•••••• I••••••••• P•••••••
Oct 12, 2009 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

F••••••• T••••• O••• · Managing Member And Chief Compliance Officercontrol
since 10/2009 · owns 75% or more

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
Henderson, Nc · principal	3	0	0
Raleigh, Nc	3	0	0

Offices

Schedule D 1.F, the 25 largest

Raleigh, NC3 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

clients down average size upCombination · filing Mar 17, 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 $146,669,769 to $162,758,782, advisors 3 to 3, private clients 348 to 267, offices 1 to 1 (2025-03-17 to 2026-03-17)
peers: independent wealth managers, $100M to $500M (5,678)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 669 to 742
Mar 17, 2025 to Mar 17, 2026
Charity clients · unset to 2.0
Mar 17, 2025 to Mar 17, 2026
HNW clients · 39 to 35
Mar 17, 2025 to Mar 17, 2026
Individual clients · 309 to 232
Mar 17, 2025 to Mar 17, 2026
Assets in custody · $58.8M to $53.0M
Mar 17, 2025 to Mar 17, 2026
Discretionary RAUM · $147M to $163M
Mar 17, 2025 to Mar 17, 2026
HNW RAUM · $90.3M to $95.4M
Mar 17, 2025 to Mar 17, 2026
Individual RAUM · $40.1M to $50.5M
Mar 17, 2025 to Mar 17, 2026
RAUM · $147M to $163M
Mar 17, 2025 to Mar 17, 2026
Wrap assets (manager) · $74.5M to $82.2M
Mar 17, 2025 to Mar 17, 2026
Financial planning clients · 0 to 0
Feb 24, 2025 to Mar 17, 2025
Accounts · 837 to 669
Oct 30, 2024 to Feb 24, 2025
Advisory employees · 4 to 3
Oct 30, 2024 to Feb 24, 2025
HNW clients · 37 to 39
Oct 30, 2024 to Feb 24, 2025
Individual clients · 427 to 309
Oct 30, 2024 to Feb 24, 2025
Assets in custody · $56.3M to $58.8M
Oct 30, 2024 to Feb 24, 2025
Employees · 4 to 3
Oct 30, 2024 to Feb 24, 2025
State-registered IARs · 4 to 3
Oct 30, 2024 to Feb 24, 2025
Discretionary RAUM · $165M to $147M
Oct 30, 2024 to Feb 24, 2025
HNW RAUM · $119M to $90.3M
Oct 30, 2024 to Feb 24, 2025
Individual RAUM · $30.1M to $40.1M
Oct 30, 2024 to Feb 24, 2025
RAUM · $165M to $147M
Oct 30, 2024 to Feb 24, 2025
Wrap assets (manager) · $87.4M to $74.5M
Oct 30, 2024 to Feb 24, 2025
Accounts · 885 to 837
Sep 14, 2023 to Feb 26, 2024
Charity clients · 2.0 to unset
Sep 14, 2023 to Feb 26, 2024
HNW clients · 29 to 37
Sep 14, 2023 to Feb 26, 2024
Individual clients · 260 to 427
Sep 14, 2023 to Feb 26, 2024
Assets in custody · $31.3M to $56.3M
Sep 14, 2023 to Feb 26, 2024
Discretionary RAUM · $146M to $165M
Sep 14, 2023 to Feb 26, 2024
HNW RAUM · $82.4M to $119M
Sep 14, 2023 to Feb 26, 2024
Individual RAUM · $48.0M to $30.1M
Sep 14, 2023 to Feb 26, 2024
RAUM · $146M to $165M
Sep 14, 2023 to Feb 26, 2024
Wrap assets (manager) · $31.3M to $87.4M
Sep 14, 2023 to Feb 26, 2024
Accounts · 809 to 885
Jun 24, 2022 to Feb 9, 2023
HNW clients · 32 to 29
Jun 24, 2022 to Feb 9, 2023
Individual clients · 253 to 260
Jun 24, 2022 to Feb 9, 2023
Pension plan clients · 1.0 to unset
Jun 24, 2022 to Feb 9, 2023
Assets in custody · $14.5M to $31.3M
Jun 24, 2022 to Feb 9, 2023
Discretionary RAUM · $152M to $146M
Jun 24, 2022 to Feb 9, 2023
HNW RAUM · $78.1M to $82.4M
Jun 24, 2022 to Feb 9, 2023

Signals

2 dated events

M•••••• A•••••• C•••••• left P•••••• W••••• M••••••••• O• N•••• C••••••• L•• for I••••••• S••••••••• L•• (registered 2025-03-18)
Feb 4, 2025 · Advisor changed firm · fact
P•••••• W••••• M••••••••• O• N•••• C••••••• L•• filed its initial SEC registration (Form ADV)
Oct 4, 2016 · 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 phone: 252-492-8694reportedpublished by the firm, firm site, Sep 16, 2026
Website: PWMOFNC.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 252-492-8694reportedpublic record, Form ADV, Mar 17, 2026
Contact form: pwmofnc.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
Team page: pwmofnc.com/teamreportedpublished by the firm, firm site, Sep 16, 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: $54.3Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026