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•• P••• F••••••
Legal name O•• P••• F•••••• L••
Latest filing Aug 24, 2026
First filing on the tape Feb 2, 2017 · 40 filings
SEC status approved since Feb 14, 2017
RAUM
$714M
reported, Item 5.F
Discretionary
67%
of RAUM
Private clients
99%
$709M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$102M
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$714M as of Aug 24, 2026
Feb 22, 2018$155M then
HNW client RAUM$686M as of Aug 24, 2026
Feb 22, 2018$140M then
State-registered IARs (5.B.3)7 as of Aug 24, 2026
Feb 22, 20184 then
Employees (5.A)9 as of Aug 24, 2026
Feb 22, 20185 then
Private funds: no history
RAUM +24% over the last fiscal year+21% a year over threeIARs 6 to 7
Practice profile
derived from the filing of Aug 24, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $102MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.4MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 67%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $241M, 81 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$686M96%
- Individuals$23.0M3.2%
- Corporations and businesses$3.4M0.5%
- Charitable organizations$1.8M0.3%
- Individual clients
- 67reported
- HNW clients
- 107reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 674reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $241M for 81 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••••• R•••••• W•••••••Certified Financial Planner | Chapel Hill, Nc | Aug 26, 2010 | 21 y | 0 |
| D••••• A••• R••••Certified Financial Planner | Chapel Hill, Nc | May 27, 2019 | 10 y | 1 |
| E••• A•••••• V••••••Certified Financial Planner | Chapel Hill, Nc | Mar 14, 2022 | 9 y | 2 |
| J••••• J•••• M••Certified Financial Planner | Chapel Hill, Nc | Aug 28, 2023 | 11 y | 1 |
| J•••• G•••• M•••••Certified Financial Planner | Chapel Hill, Nc | Mar 20, 2024 | 10 y | 2 |
| A••••• E•••••••• K•••••Certified Financial Planner | Chapel Hill, Nc | Mar 16, 2026 | 10 y | 0 |
| A••••••••• J••••Certified Financial Planner | Chapel Hill, Nc | Mar 31, 2026 | 10 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 headcount0 left over 36 months
Left, latest
- M••••••• G•••••••• to W••••••••• F•••••••• P•••••••Jul 5, 2023 · RIA to a state-registered adviser
- K••••••• J•••••• V••••••• to E•••••••May 18, 2023 · RIA to RIA
- J• B••• M•••••• to V••••• A•••• M•••••••••Apr 19, 2022 · RIA to RIA
- K••• J••••••• F••••• to M••••• A•••••••• L••Jun 17, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- J•••• G•••• M••••• from B•••••• W••••• A•••••••• L••Mar 20, 2024 · RIA to RIA
- J••••• J•••• M•• from T•••• F•••••••• A•••••••• I•••Aug 28, 2023 · RIA to RIA
- E••• A•••••• V•••••• from S••••••• F••••••••• L•••••Mar 14, 2022 · Other
- D••••• A••• R•••• from E••••••• W••••• A•••••••May 27, 2019 · RIA to RIA
- K••• J••••••• F••••• from P•• I••••••••• I•••Jun 10, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••••• T•••••••• R•••••• · Ceo / Chief Compliance Officercontrolsince 07/2010 · 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 |
|---|---|---|---|---|---|
| Chapel Hill, Nc · principal | 7 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Apr 20, 2026discretionary share of RAUM moved from 50.0% to 67.0% between the annual amendments of 2025-03-18 and 2026-04-20peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Advisory employees · 8 to 7Apr 20, 2026 to May 28, 2026
- Employees · 10 to 9Apr 20, 2026 to May 28, 2026
- State-registered IARs · 8 to 7Apr 20, 2026 to May 28, 2026
- Accounts · 579 to 674Dec 2, 2025 to Mar 31, 2026
- Advisory employees · 7 to 8Dec 2, 2025 to Mar 31, 2026
- Corporate clients · 2 to 1Dec 2, 2025 to Mar 31, 2026
- HNW clients · 87 to 107Dec 2, 2025 to Mar 31, 2026
- Individual clients · 73 to 67Dec 2, 2025 to Mar 31, 2026
- Assets in custody · $194M to $241MDec 2, 2025 to Mar 31, 2026
- Employees · 8 to 10Dec 2, 2025 to Mar 31, 2026
- State-registered IARs · 6 to 8Dec 2, 2025 to Mar 31, 2026
- Discretionary RAUM · $289M to $481MDec 2, 2025 to Mar 31, 2026
- HNW RAUM · $538M to $686MDec 2, 2025 to Mar 31, 2026
- Individual RAUM · $25.4M to $23.0MDec 2, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $286M to $234MDec 2, 2025 to Mar 31, 2026
- RAUM · $575M to $714MDec 2, 2025 to Mar 31, 2026
- Accounts · 600 to 579Jul 24, 2024 to Mar 18, 2025
- Advisory employees · 8 to 7Jul 24, 2024 to Mar 18, 2025
- Corporate clients · 1 to 2Jul 24, 2024 to Mar 18, 2025
- HNW clients · 81 to 87Jul 24, 2024 to Mar 18, 2025
- Assets in custody · $181M to $194MJul 24, 2024 to Mar 18, 2025
- Employees · 10 to 8Jul 24, 2024 to Mar 18, 2025
- Financial planning clients · 101-250 to 101-250Jul 24, 2024 to Mar 18, 2025
- Discretionary RAUM · $205M to $289MJul 24, 2024 to Mar 18, 2025
- HNW RAUM · $445M to $538MJul 24, 2024 to Mar 18, 2025
- Individual RAUM · $20.9M to $25.4MJul 24, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $267M to $286MJul 24, 2024 to Mar 18, 2025
- RAUM · $472M to $575MJul 24, 2024 to Mar 18, 2025
- Employees · 11 to 10Mar 20, 2024 to May 31, 2024
- State-registered IARs · 7 to 6Mar 20, 2024 to May 31, 2024
- Other offices · 1 to 0Mar 20, 2024 to May 31, 2024
- Advisory employees · 7 to 8Feb 27, 2024 to Mar 20, 2024
- Employees · 10 to 11Feb 27, 2024 to Mar 20, 2024
- State-registered IARs · 6 to 7Feb 27, 2024 to Mar 20, 2024
- Accounts · 527 to 600Jan 5, 2024 to Feb 27, 2024
- Advisory employees · 6 to 7Jan 5, 2024 to Feb 27, 2024
- Individual clients · 74 to 73Jan 5, 2024 to Feb 27, 2024
- Assets in custody · $133M to $181MJan 5, 2024 to Feb 27, 2024
- Employees · 9 to 10Jan 5, 2024 to Feb 27, 2024
- Discretionary RAUM · $11.2M to $205MJan 5, 2024 to Feb 27, 2024
Signals
7 dated events
- M••••••• G•••••••• left O•• P••• F•••••• for W••••••••• F•••••••• P••••••• (registered 2023-12-08)Jul 5, 2023 · Advisor changed firm · fact
- J•••••• K••••••• V••••••• (Chief Compliance Officer) no longer on Schedule A of O•• P••• F•••••• (listed 2023-03-07, absent 2023-05-18)May 18, 2023 · Control person left · inference
- K••••••• J•••••• V••••••• left O•• P••• F•••••• for Ellevest (registered 2023-05-23)May 18, 2023 · Advisor changed firm · fact
- J•••••• K••••••• V••••••• (Chief Compliance Officer) appeared on Schedule A of O•• P••• F••••••Dec 20, 2022 · Control person joined · fact
- J• B••• M•••••• left O•• P••• F•••••• for V••••• A•••• M••••••••• (registered 2024-04-03)Apr 19, 2022 · Advisor changed firm · fact
- O•• P••• F•••••• reported RAUM $440.1M, up 34% from $327.7M (2021-09-17 to 2022-03-14)Mar 14, 2022 · RAUM change · derived
- O•• P••• F•••••• filed its initial SEC registration (Form ADV)Feb 2, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- O•• P••• F•••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/9261431reportedpublic record, Form ADV, Sep 19, 2026
- Website
- o•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 919 459 8181reportedpublic record, Form ADV, Aug 24, 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
- $102Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026