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•••••••••
Wealth manager with institutional or fund businessRaleigh, North CarolinaCRD 162299SEC 801-117854websiteIAPD
Legal name C•••••• W••••• M••••••••• I•••
Latest filing Mar 19, 2026
First filing on the tape Nov 25, 2019 · 12 filings
SEC status approved since Jan 3, 2020
RAUM
$196M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
34%
$67.4M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$48.9M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$196M as of Mar 19, 2026
Jan 9, 2020$113M then
HNW client RAUM$49.3M as of Mar 19, 2026
Jan 9, 2020$27.1M then
State-registered IARs (5.B.3)4 as of Mar 19, 2026
Jan 9, 20203 then
Employees (5.A)4 as of Mar 19, 2026
Jan 9, 20203 then
Private funds: no history
RAUM +11% over the last fiscal year+15% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $48.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $843,159derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 66%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived4 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
- -9.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 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
- Pension and profit-sharing plans$115M59%
- High-net-worth individuals$49.3M25%
- Individuals$18.1M9.2%
- Charitable organizations$13.6M6.9%
- Individual clients
- 65reported
- HNW clients
- 31reported
- Pension plan clients
- 12reported
- Charitable clients
- n/areported
- Accounts
- 232reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.34 fund_share=0.0 institutional_share=0.66 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• A•••• P••••••• | Raleigh, Nc | Mar 22, 2012 | 17 y | 1 |
| J••••• M•••••• T•••••Certified Financial Planner | Raleigh, Nc | Mar 20, 2015 | 24 y | 3 |
| S•••• A••• B••••Certified Financial Planner | Raleigh, Nc | Jan 5, 2017 | 14 y | 1 |
| C••••• A•• S••• | Raleigh, Nc | Jul 11, 2023 | 26 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
none on the tape
Joined, latest
- C••••• A•• S••• from A••••••••• F•••••••• S•••••••• L••Jul 11, 2023 · Affiliated broker-dealer or bank to independent RIA
- S•••• A••• B•••• from S••••••• I••••••••• S•••••••• I•••Jan 5, 2017 · Other
- J••••• M•••••• T••••• from D••••••••• I•••Mar 20, 2015 · Other
- B•••• A•••• P••••••• from H•• A••••••• S••••••• L••Mar 22, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••••• B••••• A•••• · Chief Executive Officer/Chief Compliance Officer/Shareholdercontrolsince 02/2012 · owns 50% to 75%
- T•••••• J•••••• M•••••• · President/Shareholdercontrolsince 05/2015 · 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 |
|---|---|---|---|---|---|
| Raleigh, Nc · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 19, 2026institutional share of RAUM of 66% against a peer median of 0% (5676 comparable advisers, 100.0th percentile, 22.0 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 263 to 232Mar 11, 2025 to Mar 19, 2026
- HNW clients · 29 to 31Mar 11, 2025 to Mar 19, 2026
- Individual clients · 77 to 65Mar 11, 2025 to Mar 19, 2026
- Pension plan clients · 13 to 12Mar 11, 2025 to Mar 19, 2026
- Discretionary RAUM · $172M to $192MMar 11, 2025 to Mar 19, 2026
- HNW RAUM · $44.8M to $49.3MMar 11, 2025 to Mar 19, 2026
- Individual RAUM · $19.8M to $18.1MMar 11, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $3.2M to $3.8MMar 11, 2025 to Mar 19, 2026
- Pension RAUM · $98.0M to $115MMar 11, 2025 to Mar 19, 2026
- RAUM · $176M to $196MMar 11, 2025 to Mar 19, 2026
- Accounts · 268 to 263Mar 7, 2024 to Mar 11, 2025
- HNW clients · 24 to 29Mar 7, 2024 to Mar 11, 2025
- Individual clients · 89 to 77Mar 7, 2024 to Mar 11, 2025
- Pension plan clients · 14 to 13Mar 7, 2024 to Mar 11, 2025
- Financial planning clients · 0 to 1-10Mar 7, 2024 to Mar 11, 2025
- Discretionary RAUM · $165M to $172MMar 7, 2024 to Mar 11, 2025
- HNW RAUM · $32.1M to $44.8MMar 7, 2024 to Mar 11, 2025
- Individual RAUM · $38.9M to $19.8MMar 7, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $3.5M to $3.2MMar 7, 2024 to Mar 11, 2025
- Pension RAUM · $84.2M to $98.0MMar 7, 2024 to Mar 11, 2025
- RAUM · $168M to $176MMar 7, 2024 to Mar 11, 2025
- Accounts · 223 to 268Jun 16, 2023 to Mar 7, 2024
- Advisory employees · 2 to 3Jun 16, 2023 to Mar 7, 2024
- HNW clients · 25 to 24Jun 16, 2023 to Mar 7, 2024
- Individual clients · 61 to 89Jun 16, 2023 to Mar 7, 2024
- Pension plan clients · 16 to 14Jun 16, 2023 to Mar 7, 2024
- Employees · 3 to 4Jun 16, 2023 to Mar 7, 2024
- State-registered IARs · 3 to 4Jun 16, 2023 to Mar 7, 2024
- Other offices · 2 to 3Jun 16, 2023 to Mar 7, 2024
- Discretionary RAUM · $3.5M to $165MJun 16, 2023 to Mar 7, 2024
- HNW RAUM · $28.9M to $32.1MJun 16, 2023 to Mar 7, 2024
- Individual RAUM · $12.5M to $38.9MJun 16, 2023 to Mar 7, 2024
- Non-discretionary RAUM · $126M to $3.5MJun 16, 2023 to Mar 7, 2024
- Pension RAUM · $75.6M to $84.2MJun 16, 2023 to Mar 7, 2024
- RAUM · $130M to $168MJun 16, 2023 to Mar 7, 2024
- Accounts · 217 to 223Feb 3, 2022 to Mar 8, 2023
- Advisory employees · 3 to 2Feb 3, 2022 to Mar 8, 2023
- HNW clients · 24 to 25Feb 3, 2022 to Mar 8, 2023
- Individual clients · 59 to 61Feb 3, 2022 to Mar 8, 2023
- Discretionary RAUM · $143M to $3.5MFeb 3, 2022 to Mar 8, 2023
Signals
1 dated events
- C•••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Nov 25, 2019 · 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
- Business phone
- 919-729-2100reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 919-729-2100reportedpublic record, Form ADV, Mar 19, 2026
- Contact form
- CHARTERWM.COM/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- CHARTERWM.COM/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $48.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026