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
W•••••• I••••••••• L••
Latest filing Aug 24, 2026
First filing on the tape Jun 20, 2025 · 5 filings
SEC status approved since Jun 24, 2025
RAUM
$168M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$164M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$56.1M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$168M as of Aug 24, 2026
Jun 20, 2025$112M then
HNW client RAUM$101M as of Aug 24, 2026
Jun 20, 2025$47.4M then
State-registered IARs (5.B.3)3 as of Aug 24, 2026
Jun 20, 20252 then
Employees (5.A)5 as of Aug 24, 2026
Jun 20, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 24, 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
- 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
- RAUM per advisor
- $56.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 99derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $325,539derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminars, otherreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$101M60%
- Individuals$63.4M38%
- Charitable organizations$4.3M2.5%
- State and municipal entities$60,2370.0%
- Individual clients
- 244reported
- HNW clients
- 53reported
- Pension plan clients
- 0reported
- Charitable clients
- 6reported
- Accounts
- 517reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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 |
|---|---|---|---|---|
| D••••• T• W•••••• | Columbia, Sc | Jun 20, 2005 | 25 y | 1 |
| J•••• W••• S•••••••• | Columbia, Sc | Mar 2, 2015 | 17 y | 2 |
| V••••••• M••••• | Columbia, Sc | Jun 27, 2025 | 12 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount2 left over 36 months
Left, latest
- B•••••• M•••••• W••••••• to G•••••••• C•••••• A••••••••• L••Nov 13, 2025 · RIA to RIA
- N••••••• L•••• S••••• to C••••••••• F•••••••• N••••••Aug 23, 2024 · RIA to affiliated broker-dealer or bank
- M••• L••••• M••••• to T•• D••••• G••••Jan 30, 2018 · Other
Joined, latest
- N••••••• L•••• S••••• from P••• A••••• S••••••••• L••Jan 16, 2024 · Affiliated broker-dealer or bank to independent RIA
- M••• L••••• M••••• from F••••• I•••••••••Apr 13, 2015 · Other
- J•••• W••• S•••••••• from C••••• I••••••••• A•••••••• L••Mar 2, 2015 · Other
- D••••• T• W•••••• from U•••• F•••••••• S••••••• G••••• I•••Jun 20, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• J••••• W••• · Capital Partner/Portfolio Managercontrolsince 03/2015 · owns 10% to 25%
- W••••••• D•••••• T• · Managing Partner, Chief Compliance Officer, Chief Investments Officercontrolsince 06/2005 · owns 50% to 75%
- W••••••• S••••• H• · Principal, Director Of Marketing And Communicationscontrolsince 01/2017 · owns 10% to 25%
- S•••••• P•••••••• A• · Capital Partnersince 08/2013 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Columbia, Sc · principal | 3 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Aug 24, 2026pension consulting (Item 5.G.6): yes on the filing of 2026-02-05, no on the filing of 2026-08-24peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 637 to 517Feb 5, 2026 to Aug 24, 2026
- Advisory activities · 6 to 5Feb 5, 2026 to Aug 24, 2026
- Charity clients · 2 to 6Feb 5, 2026 to Aug 24, 2026
- Corporate clients · unset to 0.0Feb 5, 2026 to Aug 24, 2026
- HNW clients · 30 to 53Feb 5, 2026 to Aug 24, 2026
- Individual clients · 217 to 244Feb 5, 2026 to Aug 24, 2026
- Pension plan clients · unset to 0.0Feb 5, 2026 to Aug 24, 2026
- Pooled vehicle clients · unset to 0.0Feb 5, 2026 to Aug 24, 2026
- State-registered IARs · 1 to 3Feb 5, 2026 to Aug 24, 2026
- Discretionary RAUM · $127M to $168MFeb 5, 2026 to Aug 24, 2026
- HNW RAUM · $69.2M to $101MFeb 5, 2026 to Aug 24, 2026
- Individual RAUM · $54.8M to $63.4MFeb 5, 2026 to Aug 24, 2026
- Pooled vehicle RAUM · unset to 0.0Feb 5, 2026 to Aug 24, 2026
- RAUM · $127M to $168MFeb 5, 2026 to Aug 24, 2026
- Accounts · 231 to 637Dec 3, 2025 to Feb 5, 2026
- Advisory employees · 1 to 3Dec 3, 2025 to Feb 5, 2026
- Charity clients · 1 to 2Dec 3, 2025 to Feb 5, 2026
- HNW clients · 21 to 30Dec 3, 2025 to Feb 5, 2026
- Individual clients · 209 to 217Dec 3, 2025 to Feb 5, 2026
- Employees · 2 to 5Dec 3, 2025 to Feb 5, 2026
- Discretionary RAUM · $112M to $127MDec 3, 2025 to Feb 5, 2026
- HNW RAUM · $47.4M to $69.2MDec 3, 2025 to Feb 5, 2026
- Individual RAUM · $63.0M to $54.8MDec 3, 2025 to Feb 5, 2026
- RAUM · $112M to $127MDec 3, 2025 to Feb 5, 2026
- Advisory employees · 2 to 1Jul 9, 2025 to Dec 3, 2025
- Employees · 3 to 2Jul 9, 2025 to Dec 3, 2025
- State-registered IARs · 2 to 1Jul 9, 2025 to Dec 3, 2025
- Financial planning clients · 0 to 0Jun 20, 2025 to Jul 9, 2025
Signals
2 dated events
- Brandon Michael Williams left Wallick Investments, Llc for Greenwood Capital Associates, Llc (registered 2025-11-20)Nov 13, 2025 · Advisor changed firm · fact
- Nicholas Logan Shiver left Wallick Investments, Llc for Commonwealth Financial Network (registered 2024-07-16)Aug 23, 2024 · Advisor changed firm · 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 email
- wadestinnette@wallickinvestments.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- alisonlevitt@wallickinvestments.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- lisabreese@wallickinvestments.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- susanwallick@wallickinvestments.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- torimatise@wallickinvestments.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 803-699-9400reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/wallickinvestments/?viewAsMember=truereportedpublic record, Form ADV, Sep 18, 2026
- Website
- WALLICKINVESTMENTS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 803-699-9400reportedpublic 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
- $56.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026