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
T•• W••••• G••••• L••
Latest filing Mar 30, 2026
First filing on the tape May 11, 2023 · 9 filings
SEC status approved since Jun 9, 2023
RAUM
$160M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
97%
$155M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$32.0M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$160M as of Mar 30, 2026
Mar 29, 2024$248M then
HNW client RAUM$132M as of Mar 30, 2026
Mar 29, 2024$178M then
State-registered IARs (5.B.3)5 as of Mar 30, 2026
Mar 29, 20247 then
Employees (5.A)8 as of Mar 30, 2026
Mar 29, 202411 then
Private funds: no history
RAUM -45% over the last fiscal yearIARs 8 to 5offices 4 to 3
Practice profile
derived from the filing of Mar 30, 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
- $32.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $546,708derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 1.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -45%derivedbetween the last two annual amendments
- Advisor growth, one year
- -38%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -65%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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$132M82%
- Individuals$23.5M15%
- Pension and profit-sharing plans$3.9M2.4%
- Corporations and businesses$1.3M0.8%
- Individual clients
- 107reported
- HNW clients
- 41reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 293reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=false bd_reps=3.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• C••••• B••• | Rocy Mount, Nc | May 6, 2011 | 32 y | 1 |
| L•••••• R•••• C•••••Personal Financial Specialist | Oxford, Nc | May 19, 2011 | 26 y | 1 |
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 headcount3 left over 36 months
Left, latest
- J•••• D•••• S••••• to S••••• A•• C•••••• W••••• A•••••••Jul 16, 2025 · RIA to a newly registered adviser
- W••••• C••• C•••••• to S••••• A•• C•••••• W••••• A•••••••Jul 16, 2025 · RIA to a newly registered adviser
- J••••• D•••• S••••• to S••••• A•• C•••••• W••••• A•••••••Jul 16, 2025 · RIA to a newly registered adviser
- J•••••• S•••• G••••• to W•••• F•••• A•••••••Jan 2, 2013 · RIA to wirehouse
Joined, latest
- C•••••••• T•••••• M••••••• from C•••••• I••••••••• C•••••• I••Jul 19, 2019 · RIA to RIA
- J•••• C••••• P••••• from C•• A•••••••• L••Jun 6, 2011 · Other
- L•••••• R•••• C••••• from C•• A•••••••• L••May 19, 2011 · Other
- J•••• D•••• S••••• from C•••••• I••••••••• A••••••• S•••••••• L••May 6, 2011 · Other
- K•••• C••••• B••• from A••••••••• F•••••••• S•••••••• L••May 6, 2011 · Affiliated broker-dealer or bank to independent RIA
- W••••• C••• C•••••• from C•••••• I••••••••• A••••••• S•••••••• L••May 6, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for S••••• A•• C•••••• W••••• A•••••••Jul 16, 2025 · High Point, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• C••••••••• T•••••• · President/Chief Compliance Officercontrolsince 11/2004 · owns 75% or more
Related persons
Schedule D 7.A
- C•••••• I••••••••• B••••••••• I•••broker-dealern
- C•••••• I••••••••• G••••• I•••broker-dealern
- J•••• C• P•••••insurancen
- J•••• D• S•••••insurancen
- K•••• C• B•••insurancen
- P••••••••• F•••••••• S•••••••• I•••investment advisernRAUM $482M
- W• C••• C••••••insurancey
Advisers that list T•• W••••• G••••• L•• as a related person
- 118519 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Raleigh, Nc · principal | 2 | 0 | 0 | ||
| High Point, Nc | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- High Point, NC2 employees
- Goldsboro, NC1 employees
- Rocky Mount, NC1 employees
- , 1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 30, 2026private 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 $288,947,803 to $160,185,546, advisors 8 to 5, private clients 425 to 148, offices 4 to 3 (2025-03-30 to 2026-03-30)peers: independent wealth managers, $100M to $500M (5,676)
- account count collapseChange between filings · filing Mar 30, 2026accounts (Item 5.F.2.f) moved from 692.0 to 293.0 (-58.0%) between the annual amendments of 2025-03-30 and 2026-03-30; the peer median change was +5.0% (3687 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 2.4% percentile
- client count collapseChange between filings · filing Mar 30, 2026individual and HNW clients (Item 5.D) moved from 425.0 to 148.0 (-65.0%) between the annual amendments of 2025-03-30 and 2026-03-30; the peer median change was +3.0% (3309 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 0.5% percentile
- RAUM down 25 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $288,947,803 to $160,185,546 (-45.0%) between the annual amendments of 2025-03-30 and 2026-03-30; the peer median change was +15.0% (4550 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 0.7% percentile
- advisor count dropChange between filings · filing Mar 30, 2026advisory representatives (Item 5.B.3) moved from 8.0 to 5.0 (-38.0%) between the annual amendments of 2025-03-30 and 2026-03-30; the peer median change was 0.0% (965 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 3.9% percentile
What changed
consecutive filings, newest first
- Accounts · 692 to 293Aug 29, 2025 to Mar 30, 2026
- Charity clients · 6.0 to unsetAug 29, 2025 to Mar 30, 2026
- Corporate clients · 6.0 to unsetAug 29, 2025 to Mar 30, 2026
- HNW clients · 153 to 41Aug 29, 2025 to Mar 30, 2026
- Individual clients · 272 to 107Aug 29, 2025 to Mar 30, 2026
- Other offices · 4 to 3Aug 29, 2025 to Mar 30, 2026
- Discretionary RAUM · $286M to $156MAug 29, 2025 to Mar 30, 2026
- HNW RAUM · $240M to $132MAug 29, 2025 to Mar 30, 2026
- Individual RAUM · $44.7M to $23.5MAug 29, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $3.4M to $3.9MAug 29, 2025 to Mar 30, 2026
- Pension RAUM · unset to 3891550.0Aug 29, 2025 to Mar 30, 2026
- RAUM · $289M to $160MAug 29, 2025 to Mar 30, 2026
- Advisory employees · 8 to 5Mar 30, 2025 to Aug 29, 2025
- BD registered reps · 5 to 3Mar 30, 2025 to Aug 29, 2025
- Employees · 11 to 8Mar 30, 2025 to Aug 29, 2025
- Financial planning clients · 0 to 0Mar 30, 2025 to Aug 29, 2025
- State-registered IARs · 8 to 5Mar 30, 2025 to Aug 29, 2025
- Accounts · 519 to 692Apr 4, 2024 to Mar 30, 2025
- Advisory employees · 7 to 8Apr 4, 2024 to Mar 30, 2025
- Charity clients · unset to 6.0Apr 4, 2024 to Mar 30, 2025
- Corporate clients · 5 to 6Apr 4, 2024 to Mar 30, 2025
- HNW clients · 102 to 153Apr 4, 2024 to Mar 30, 2025
- Individual clients · 261 to 272Apr 4, 2024 to Mar 30, 2025
- Insurance-licensed employees · 2 to 3Apr 4, 2024 to Mar 30, 2025
- State-registered IARs · 7 to 8Apr 4, 2024 to Mar 30, 2025
- Discretionary RAUM · $245M to $286MApr 4, 2024 to Mar 30, 2025
- HNW RAUM · $178M to $240MApr 4, 2024 to Mar 30, 2025
- Individual RAUM · $60.5M to $44.7MApr 4, 2024 to Mar 30, 2025
- Non-discretionary RAUM · $2.9M to $3.4MApr 4, 2024 to Mar 30, 2025
- Pension RAUM · 4624128.0 to unsetApr 4, 2024 to Mar 30, 2025
- RAUM · $248M to $289MApr 4, 2024 to Mar 30, 2025
- Accounts · 609 to 519Feb 12, 2024 to Mar 29, 2024
- Advisory employees · 6 to 7Feb 12, 2024 to Mar 29, 2024
- Corporate clients · 8 to 5Feb 12, 2024 to Mar 29, 2024
- HNW clients · 96 to 102Feb 12, 2024 to Mar 29, 2024
- Individual clients · 254 to 261Feb 12, 2024 to Mar 29, 2024
- Employees · 10 to 11Feb 12, 2024 to Mar 29, 2024
- Financial planning clients · 1-10 to 0Feb 12, 2024 to Mar 29, 2024
- State-registered IARs · 6 to 7Feb 12, 2024 to Mar 29, 2024
- Discretionary RAUM · $207M to $245MFeb 12, 2024 to Mar 29, 2024
Signals
6 dated events
- T•• W••••• G••••• L•• reported RAUM $160.2M, down 45% from $288.9M (2025-08-29 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- J••••• D•••• S••••• left T•• W••••• G••••• L•• for S••••• A•• C•••••• W••••• A••••••• (registered 2025-05-29)Jul 16, 2025 · Advisor changed firm · fact
- J•••• D•••• S••••• left T•• W••••• G••••• L•• for S••••• A•• C•••••• W••••• A••••••• (registered 2025-05-23)Jul 16, 2025 · Advisor changed firm · fact
- W••••• C••• C•••••• left T•• W••••• G••••• L•• for S••••• A•• C•••••• W••••• A••••••• (registered 2025-05-29)Jul 16, 2025 · Advisor changed firm · fact
- 3 advisors left T•• W••••• G••••• L•• (High Point, NC) for S••••• A•• C•••••• W••••• A••••••• on the same dayJul 16, 2025 · Team lift-out · derived
- T•• W••••• G••••• L•• filed its initial SEC registration (Form ADV)May 11, 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
- w••.t•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 919-865-1924reportedpublic record, Form ADV, Mar 30, 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
- $32.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026