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
C••••••• W••••• M•••••••••
Legal name C••••••• W••••• M••••••••• I•••
Latest filing Jul 20, 2026
First filing on the tape Sep 21, 2023 · 9 filings
SEC status approved since Oct 23, 2023
RAUM
$138M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
96%
$132M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$69.1M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$138M as of Jul 20, 2026
Feb 23, 2024$109M then
HNW client RAUM$100M as of Jul 20, 2026
Feb 23, 2024$76.4M then
State-registered IARs (5.B.3)2 as of Jul 20, 2026
Feb 23, 20242 then
Employees (5.A)4 as of Jul 20, 2026
Feb 23, 20245 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jul 20, 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
- $69.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $353,337derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 4.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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
- -6.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $43.3M, 93 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$100M73%
- Individuals$31.6M23%
- Pension and profit-sharing plans$6.0M4.3%
- Individual clients
- 68reported
- HNW clients
- 41reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 391reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $43.3M for 93 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••• D•••••• C•••••••Certified Financial Planner | Charlotte, Nc | Jul 6, 2010 | 27 y | 2 |
| B•••••• R•••• W•••••••Certified Financial Planner | Raleigh, Nc | Aug 15, 2018 | 15 y | 3 |
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
- B•••••• R•••• W••••••• from B•••••••• A•••• M••••••••• L••Aug 15, 2018 · RIA to RIA
- T••• D•••••• C••••••• from R•• C•••••• M••••••• L••Jul 6, 2010 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• T•••• D•••••• · President And Chief Compliance Officercontrolsince 03/2010 · 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 |
|---|---|---|---|---|---|
| Charlotte, Nc · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 371 to 391Oct 13, 2025 to Jan 22, 2026
- HNW clients · 38 to 41Oct 13, 2025 to Jan 22, 2026
- Individual clients · 79 to 68Oct 13, 2025 to Jan 22, 2026
- Assets in custody · $37.7M to $43.3MOct 13, 2025 to Jan 22, 2026
- Discretionary RAUM · $119M to $132MOct 13, 2025 to Jan 22, 2026
- HNW RAUM · $87.7M to $100MOct 13, 2025 to Jan 22, 2026
- Individual RAUM · $31.6M to $31.6MOct 13, 2025 to Jan 22, 2026
- Non-discretionary RAUM · $5.2M to $6.0MOct 13, 2025 to Jan 22, 2026
- Pension RAUM · $5.2M to $6.0MOct 13, 2025 to Jan 22, 2026
- RAUM · $124M to $138MOct 13, 2025 to Jan 22, 2026
- Financial planning clients · 51-100 to 51-100Feb 26, 2025 to Mar 19, 2025
- Accounts · 110 to 371May 1, 2024 to Feb 26, 2025
- HNW clients · 39 to 38May 1, 2024 to Feb 26, 2025
- Individual clients · 70 to 79May 1, 2024 to Feb 26, 2025
- Assets in custody · $31.7M to $37.7MMay 1, 2024 to Feb 26, 2025
- Employees · 5 to 4May 1, 2024 to Feb 26, 2025
- Discretionary RAUM · $104M to $119MMay 1, 2024 to Feb 26, 2025
- HNW RAUM · $76.4M to $87.7MMay 1, 2024 to Feb 26, 2025
- Individual RAUM · $27.6M to $31.6MMay 1, 2024 to Feb 26, 2025
- Non-discretionary RAUM · $5.1M to $5.2MMay 1, 2024 to Feb 26, 2025
- Pension RAUM · $5.1M to $5.2MMay 1, 2024 to Feb 26, 2025
- RAUM · $109M to $124MMay 1, 2024 to Feb 26, 2025
- Accounts · 376 to 110Sep 21, 2023 to Feb 23, 2024
- HNW clients · 36 to 39Sep 21, 2023 to Feb 23, 2024
- Individual clients · 72 to 70Sep 21, 2023 to Feb 23, 2024
- Assets in custody · $31.1M to $31.7MSep 21, 2023 to Feb 23, 2024
- Discretionary RAUM · $98.7M to $104MSep 21, 2023 to Feb 23, 2024
- HNW RAUM · $70.7M to $76.4MSep 21, 2023 to Feb 23, 2024
- Individual RAUM · $28.0M to $27.6MSep 21, 2023 to Feb 23, 2024
- Non-discretionary RAUM · $4.7M to $5.1MSep 21, 2023 to Feb 23, 2024
- Pension RAUM · $4.7M to $5.1MSep 21, 2023 to Feb 23, 2024
- RAUM · $103M to $109MSep 21, 2023 to Feb 23, 2024
Signals
1 dated events
- C••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Sep 21, 2023 · 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
- Website
- calamitaretirementreadiness.scoreapp.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 704-276-7325reportedpublic record, Form ADV, Jul 20, 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
- $69.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026