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
I•••••••• A•••• A•••••••• L••
Latest filing Aug 11, 2026
First filing on the tape Mar 25, 2013 · 26 filings
SEC status approved since Apr 9, 2013
RAUM
$1.4B
reported, Item 5.F
Discretionary
41%
of RAUM
Private clients
97%
$1.4B individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$475M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$1.4B as of Aug 11, 2026
Mar 31, 2014$457M then
HNW client RAUM$1.4B as of Aug 11, 2026
Mar 1, 2018$549M then
State-registered IARs (5.B.3)3 as of Aug 11, 2026
Mar 31, 20142 then
Employees (5.A)3 as of Aug 11, 2026
Mar 31, 20142 then
Private funds: no history
RAUM +13% over the last fiscal year+24% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Aug 11, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $475MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 11derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $53.2MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 41%derivedof RAUM
- Institutional
- 2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $529M, 25 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)
- 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$1.4B97%
- Charitable organizations$36.3M2.6%
- Corporations and businesses$2.4M0.2%
- Individuals$1.6M0.1%
- Individual clients
- 8reported
- HNW clients
- 26reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 872reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $529M for 25 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| M••• E•••• R••••••Chartered Financial Analyst | Rocky Mount, Nc | Apr 9, 2012 | 34 y | 0 |
| E••••• W•••• G••••• | Rocky Mount, Nc | Jun 12, 2012 | 60 y | 0 |
| B••••••• W•••••••• B•••• R•••••• | Rocky Mount, Nc | Aug 11, 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• E•••••• W•••• · Managing Member, Chief Compliance Officercontrolsince 11/2009 · owns 50% to 75%
- R••••••• M•••• E•••• · Managing Member, Chief Investment Officercontrolsince 01/2012 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Rocky Mount, Nc · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Aug 11, 2026HNW RAUM per HNW client of $53,214,576 against a peer median of $3,646,459 (1309 comparable advisers, 99.0th percentile, 24.6 robust deviations)peers: independent wealth managers, $1B to $5B (1,309) · 99% percentile
What changed
consecutive filings, newest first
- State-registered IARs · 2 to 3Feb 12, 2026 to Aug 11, 2026
- Accounts · 770 to 872Feb 19, 2025 to Feb 12, 2026
- Advisory employees · 2 to 3Feb 19, 2025 to Feb 12, 2026
- Charity clients · unset to 5.0Feb 19, 2025 to Feb 12, 2026
- Assets in custody · $449M to $529MFeb 19, 2025 to Feb 12, 2026
- Employees · 2 to 3Feb 19, 2025 to Feb 12, 2026
- Discretionary RAUM · $532M to $578MFeb 19, 2025 to Feb 12, 2026
- HNW RAUM · $1.2B to $1.4BFeb 19, 2025 to Feb 12, 2026
- Individual RAUM · $1.3M to $1.6MFeb 19, 2025 to Feb 12, 2026
- Non-discretionary RAUM · $724M to $846MFeb 19, 2025 to Feb 12, 2026
- RAUM · $1.3B to $1.4BFeb 19, 2025 to Feb 12, 2026
- Accounts · 704 to 770Oct 30, 2024 to Feb 19, 2025
- HNW clients · 19 to 26Oct 30, 2024 to Feb 19, 2025
- Individual clients · 10 to 8Oct 30, 2024 to Feb 19, 2025
- Assets in custody · $73.1M to $449MOct 30, 2024 to Feb 19, 2025
- Financial planning clients · 0 to 0Oct 30, 2024 to Feb 19, 2025
- Discretionary RAUM · $380M to $532MOct 30, 2024 to Feb 19, 2025
- HNW RAUM · $811M to $1.2BOct 30, 2024 to Feb 19, 2025
- Individual RAUM · $2.2M to $1.3MOct 30, 2024 to Feb 19, 2025
- Non-discretionary RAUM · $447M to $724MOct 30, 2024 to Feb 19, 2025
- Pension RAUM · 11216003.0 to unsetOct 30, 2024 to Feb 19, 2025
- RAUM · $827M to $1.3BOct 30, 2024 to Feb 19, 2025
- Accounts · 583 to 704Jan 4, 2024 to Mar 6, 2024
- HNW clients · 17 to 19Jan 4, 2024 to Mar 6, 2024
- Assets in custody · $110M to $73.1MJan 4, 2024 to Mar 6, 2024
- Discretionary RAUM · $363M to $380MJan 4, 2024 to Mar 6, 2024
- HNW RAUM · $729M to $811MJan 4, 2024 to Mar 6, 2024
- Individual RAUM · $1.9M to $2.2MJan 4, 2024 to Mar 6, 2024
- Non-discretionary RAUM · $379M to $447MJan 4, 2024 to Mar 6, 2024
- Pension RAUM · $10.3M to $11.2MJan 4, 2024 to Mar 6, 2024
- RAUM · $742M to $827MJan 4, 2024 to Mar 6, 2024
- Accounts · 479 to 583Mar 17, 2022 to Mar 6, 2023
- Individual clients · 15 to 10Mar 17, 2022 to Mar 6, 2023
- Assets in custody · $118M to $110MMar 17, 2022 to Mar 6, 2023
- Discretionary RAUM · $553M to $363MMar 17, 2022 to Mar 6, 2023
- HNW RAUM · $850M to $729MMar 17, 2022 to Mar 6, 2023
- Individual RAUM · $3.1M to $1.9MMar 17, 2022 to Mar 6, 2023
- Non-discretionary RAUM · $314M to $379MMar 17, 2022 to Mar 6, 2023
- Pension RAUM · $11.6M to $10.3MMar 17, 2022 to Mar 6, 2023
- RAUM · $866M to $742MMar 17, 2022 to Mar 6, 2023
Signals
3 dated events
- I•••••••• A•••• A•••••••• L•• reported RAUM $1.3B, up 52% from $827.0M (2024-10-30 to 2025-02-19)Feb 19, 2025 · RAUM change · derived
- I•••••••• A•••• A•••••••• L•• reported RAUM $866.2M, up 39% from $623.0M (2021-03-04 to 2022-03-17)Mar 17, 2022 · RAUM change · derived
- I•••••••• A•••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 25, 2013 · 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
- Principal office phone
- 252-443-7041reportedpublic record, Form ADV, Aug 11, 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
- $475Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026