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
P••••••• C•••••• M••••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Mar 28, 2017 · 22 filings
SEC status approved since Apr 5, 2017
RAUM
$496M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
67%
$333M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$165M
derived; firm RAUM over IAPD count
Employees
24
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$496M as of Mar 19, 2026
Mar 22, 2018$138M then
HNW client RAUM$326M as of Mar 19, 2026
Mar 22, 2018$26.5M then
State-registered IARs (5.B.3)3 as of Mar 19, 2026
Mar 22, 20184 then
Employees (5.A)24 as of Mar 19, 2026
Mar 22, 20184 then
Private funds1 as of Mar 19, 2026
Mar 22, 20181 then
RAUM +22% over the last fiscal year+12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 19, 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $165MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.7MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $222M, 54 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$326M66%
- Pooled investment vehicles$119M24%
- Corporations and businesses$22.2M4.5%
- Charitable organizations$21.9M4.4%
- Individuals$6.3M1.3%
- Individual clients
- 31reported
- HNW clients
- 57reported
- Pension plan clients
- 0reported
- Charitable clients
- 4reported
- Accounts
- 223reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $222M for 54 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.67 fund_share=0.24 institutional_share=0.04 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 |
|---|---|---|---|---|
| J••• M••••••• S••••Chartered Financial Analyst | Greenboro, Nc | Oct 27, 2011 | 30 y | 1 |
| D••••• F••••• S••••Certified Financial Planner, Chartered Financial Analyst | Greenboro, Nc | Nov 2, 2015 | 11 y | 0 |
| O•••••• J••• I•••••• | Greenboro, Nc | Oct 28, 2024 | 14 y | 4 |
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
- B••••••• J• A•••• to S••••• F•••••••• G•••• I••Feb 26, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- O•••••• J••• I•••••• from F•••• C••••••• I••••••• S•••••••• I•••Oct 28, 2024 · Affiliated broker-dealer or bank to independent RIA
- B••••••• J• A•••• from M••••• S••••••Nov 19, 2019 · Wirehouse to independent RIA
- J••• M••••••• S•••• from G•• A••••••• S•••••••• L••Oct 27, 2011 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• P••••••• F•••• L•• | Other Private Fund | $109M | 38 | Mar 28, 2017 |
Owners and control persons
Schedule A and B, latest filing
- G••••••• S••••• B••••• · Executive Vice President/ Chief Client Officer/ Treasurercontrolsince 12/2023 · owns less than 5%
- H•••••• J•••• · Cco, Ceo And Presidentcontrolsince 06/2024 · owns less than 5%
- S••••• J•••• M••••••• · Chief Investment Strategistcontrolsince 09/2011 · owns less than 5%
- S••••• D•••••• F••••• · Chief Investment Officercontrolsince 01/2022 · owns less than 5%
Entity owners
- R••••••••• C••••••••• · Ownerindirect · owns 75% or more of P••••••• F••••••••• L••
- P••••••• F••••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- P••••••• T•••• C••••••n
- R••••••••• P•••••••••investment companyn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Greenboro, Nc · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Mar 19, 2026RAUM per registered advisor of $165,207,576 against a peer median of $55,746,441 (3254 comparable advisers, 100.0th percentile, 3.8 robust deviations)peers: independent wealth managers, $100M to $500M (3,254) · 100% percentile
- business activity changedChange between filings · filing Mar 19, 2026selection of other advisers (Item 5.G.7): yes on the filing of 2025-11-03, no on the filing of 2026-03-19peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 206 to 223Nov 3, 2025 to Mar 19, 2026
- Advisory activities · 5 to 4Nov 3, 2025 to Mar 19, 2026
- HNW clients · 59 to 57Nov 3, 2025 to Mar 19, 2026
- Individual clients · 32 to 31Nov 3, 2025 to Mar 19, 2026
- Assets in custody · $305M to $222MNov 3, 2025 to Mar 19, 2026
- Employees · 26 to 24Nov 3, 2025 to Mar 19, 2026
- Discretionary RAUM · $408M to $496MNov 3, 2025 to Mar 19, 2026
- HNW RAUM · $251M to $326MNov 3, 2025 to Mar 19, 2026
- Individual RAUM · $7.2M to $6.3MNov 3, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $112M to $119MNov 3, 2025 to Mar 19, 2026
- RAUM · $408M to $496MNov 3, 2025 to Mar 19, 2026
- Accounts · 215 to 206Jul 1, 2024 to Mar 14, 2025
- Advisory employees · 4 to 3Jul 1, 2024 to Mar 14, 2025
- Charity clients · 5 to 4Jul 1, 2024 to Mar 14, 2025
- Corporate clients · unset to 3.0Jul 1, 2024 to Mar 14, 2025
- HNW clients · 57 to 59Jul 1, 2024 to Mar 14, 2025
- Individual clients · 33 to 32Jul 1, 2024 to Mar 14, 2025
- Assets in custody · $314M to $305MJul 1, 2024 to Mar 14, 2025
- Employees · 23 to 26Jul 1, 2024 to Mar 14, 2025
- Financial planning clients · 1-10 to 11-25Jul 1, 2024 to Mar 14, 2025
- State-registered IARs · 4 to 3Jul 1, 2024 to Mar 14, 2025
- Discretionary RAUM · $371M to $408MJul 1, 2024 to Mar 14, 2025
- HNW RAUM · $221M to $251MJul 1, 2024 to Mar 14, 2025
- Individual RAUM · $5.6M to $7.2MJul 1, 2024 to Mar 14, 2025
- Pooled vehicle RAUM · $109M to $112MJul 1, 2024 to Mar 14, 2025
- RAUM · $371M to $408MJul 1, 2024 to Mar 14, 2025
- Accounts · 196 to 215Jan 8, 2024 to Mar 18, 2024
- Charity clients · 6 to 5Jan 8, 2024 to Mar 18, 2024
- HNW clients · 58 to 57Jan 8, 2024 to Mar 18, 2024
- Individual clients · 20 to 33Jan 8, 2024 to Mar 18, 2024
- Assets in custody · $302M to $314MJan 8, 2024 to Mar 18, 2024
- Employees · 25 to 23Jan 8, 2024 to Mar 18, 2024
- Discretionary RAUM · $350M to $371MJan 8, 2024 to Mar 18, 2024
- HNW RAUM · $173M to $221MJan 8, 2024 to Mar 18, 2024
- Individual RAUM · $2.8M to $5.6MJan 8, 2024 to Mar 18, 2024
- Pooled vehicle RAUM · $124M to $109MJan 8, 2024 to Mar 18, 2024
- RAUM · $350M to $371MJan 8, 2024 to Mar 18, 2024
- Accounts · 182 to 196Jul 5, 2022 to Mar 21, 2023
- HNW clients · 54 to 58Jul 5, 2022 to Mar 21, 2023
- Individual clients · 21 to 20Jul 5, 2022 to Mar 21, 2023
Signals
8 dated events
- Lynn Maria Sturges (Chief Operating Officer / Chief Compliance Officer) no longer on Schedule A of P••••••• C•••••• M••••••••• L•• (listed 2024-03-18, absent 2024-06-28)Jun 28, 2024 · Control person left · inference
- James Harris (Cco, Ceo And President) appeared on Schedule A of P••••••• C•••••• M••••••••• L••Jun 28, 2024 · Control person joined · fact
- Kirk Michael Shields (President) no longer on Schedule A of P••••••• C•••••• M••••••••• L•• (listed 2023-03-21, absent 2024-01-08)Jan 8, 2024 · Control person left · inference
- F••••• D••••• S•••• (Chief Investment Officer) appeared on Schedule A of P••••••• C•••••• M••••••••• L••Mar 21, 2023 · Control person joined · fact
- Lynn Maria Sturges (Managing Director Compliance And It /Chief Compliance Officer) appeared on Schedule A of P••••••• C•••••• M••••••••• L••Jan 27, 2022 · Control person joined · fact
- Benson Susan Gleason (Treasurer) appeared on Schedule A of P••••••• C•••••• M••••••••• L••Mar 30, 2021 · Control person joined · fact
- Douglas Kevin Tilley (Treasurer) no longer on Schedule A of P••••••• C•••••• M••••••••• L•• (listed 2020-06-10, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- P••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 28, 2017 · ria f•••• adv filing · fact
Across DFX
shared identifiers only, never a name match
- P••••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Business email
- l•••••••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 336-274-5471reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 336-574-8662reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 336-574-8669reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/P•••••••-TRUST-COMPANYreportedpublic record, Form ADV, Sep 19, 2026
- Website
- P•••••••TRUST.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 336-274-5471reportedpublic record, Form ADV, Mar 19, 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
- $165Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026