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•••••••••
Legal name S•••••••• I••
Latest filing Mar 17, 2026
First filing on the tape Mar 6, 2018 · 15 filings
SEC status approved since Apr 4, 2018
RAUM
$182M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$182M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$60.8M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$182M as of Mar 17, 2026
Mar 14, 2018$101M then
HNW client RAUM$145M as of Mar 17, 2026
Mar 14, 2018$75.0M then
State-registered IARs (5.B.3)4 as of Mar 17, 2026
Mar 14, 20183 then
Employees (5.A)4 as of Mar 17, 2026
Mar 14, 20183 then
Private funds: no history
RAUM +6.8% over the last fiscal year+11% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 17, 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
- $60.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $357,569derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publicationsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$145M79%
- Individuals$37.4M21%
- Individual clients
- 80reported
- HNW clients
- 64reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 510reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| C••••• J• S•••••••Certified Financial Planner | Charlotte, Nc | Mar 15, 2013 | 15 y | 1 |
| W•••••• E••• C••••Certified Financial Planner | Charlotte, Nc | Mar 15, 2013 | 22 y | 1 |
| T••••• L•••••• A••••Certified Financial Planner | Charlotte, Nc | Mar 15, 2013 | 32 y | 1 |
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 headcount1 left over 36 months
Left, latest
- A••• R••• D•••••• to V••••••• A•••••••• I•••Mar 28, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- A••• R••• D•••••• from M••••• S••••••Apr 17, 2024 · Wirehouse to independent RIA
- T••••• L•••••• A•••• from M•••••• P•••••••Mar 15, 2013 · Other
- C••••• J• S••••••• from M•••••• P•••••••Mar 15, 2013 · Other
- W•••••• E••• C•••• from M•••••• P•••••••Mar 15, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• W••••••• E••• · President And Chief Compliance Officercontrolsince 01/2013 · owns 75% or more
- S•••••••• C•••••• J• · Secretarycontrolsince 01/2013 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Charlotte, Nc · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- RAUM · $171M to $182MAug 20, 2025 to Mar 17, 2026
- Accounts · 512 to 510Aug 20, 2025 to Mar 17, 2026
- HNW clients · 87 to 64Aug 20, 2025 to Mar 17, 2026
- Individual clients · 49 to 80Aug 20, 2025 to Mar 17, 2026
- Financial planning clients · 51-100 to 101-250Aug 20, 2025 to Mar 17, 2026
- Discretionary RAUM · $171M to $182MAug 20, 2025 to Mar 17, 2026
- HNW RAUM · $154M to $145MAug 20, 2025 to Mar 17, 2026
- Individual RAUM · $16.8M to $37.4MAug 20, 2025 to Mar 17, 2026
- Accounts · 531 to 512Jun 3, 2024 to Feb 6, 2025
- Advisory employees · 3 to 4Jun 3, 2024 to Feb 6, 2025
- HNW clients · 46 to 87Jun 3, 2024 to Feb 6, 2025
- Individual clients · 80 to 49Jun 3, 2024 to Feb 6, 2025
- Employees · 3 to 4Jun 3, 2024 to Feb 6, 2025
- Financial planning clients · 51-100 to 51-100Jun 3, 2024 to Feb 6, 2025
- State-registered IARs · 3 to 4Jun 3, 2024 to Feb 6, 2025
- Discretionary RAUM · $148M to $171MJun 3, 2024 to Feb 6, 2025
- HNW RAUM · $110M to $154MJun 3, 2024 to Feb 6, 2025
- Individual RAUM · $38.5M to $16.8MJun 3, 2024 to Feb 6, 2025
- RAUM · $148M to $171MJun 3, 2024 to Feb 6, 2025
- Accounts · 468 to 531Feb 1, 2023 to Feb 14, 2024
- HNW clients · 52 to 46Feb 1, 2023 to Feb 14, 2024
- Individual clients · 68 to 80Feb 1, 2023 to Feb 14, 2024
- Discretionary RAUM · $133M to $148MFeb 1, 2023 to Feb 14, 2024
- HNW RAUM · $104M to $110MFeb 1, 2023 to Feb 14, 2024
- Individual RAUM · $28.4M to $38.5MFeb 1, 2023 to Feb 14, 2024
- RAUM · $133M to $148MFeb 1, 2023 to Feb 14, 2024
- Accounts · 460 to 468Mar 7, 2022 to Feb 1, 2023
- Advisory activities · 5 to 4Mar 7, 2022 to Feb 1, 2023
- HNW clients · 43 to 52Mar 7, 2022 to Feb 1, 2023
- Individual clients · 67 to 68Mar 7, 2022 to Feb 1, 2023
- Discretionary RAUM · $140M to $133MMar 7, 2022 to Feb 1, 2023
- HNW RAUM · $105M to $104MMar 7, 2022 to Feb 1, 2023
- Individual RAUM · $35.0M to $28.4MMar 7, 2022 to Feb 1, 2023
- RAUM · $140M to $133MMar 7, 2022 to Feb 1, 2023
- Accounts · 420 to 460Feb 25, 2021 to Mar 7, 2022
- HNW clients · 17 to 43Feb 25, 2021 to Mar 7, 2022
- Individual clients · 87 to 67Feb 25, 2021 to Mar 7, 2022
- Discretionary RAUM · $124M to $140MFeb 25, 2021 to Mar 7, 2022
- HNW RAUM · $63.1M to $105MFeb 25, 2021 to Mar 7, 2022
- Individual RAUM · $61.3M to $35.0MFeb 25, 2021 to Mar 7, 2022
Signals
2 dated events
- A••• R••• D•••••• left C•••••••• W••••• M••••••••• for V••••••• A•••••••• I••• (registered 2025-04-22)Mar 28, 2025 · Advisor changed firm · fact
- C•••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 6, 2018 · 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
- 704-837-4317reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 704-837-4317reportedpublic record, Form ADV, Mar 17, 2026
- Contact form
- clearviewwealthmgmt.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $60.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026