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••••••• C•••••• A•••• M••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Apr 5, 2018 · 22 filings
SEC status approved since May 7, 2018
RAUM
$383M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
89%
$341M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$128M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$383M as of Mar 26, 2026
Mar 25, 2019$116M then
HNW client RAUM$277M as of Mar 26, 2026
Mar 25, 2019$63.0M then
State-registered IARs (5.B.3)3 as of Mar 26, 2026
Mar 25, 20193 then
Employees (5.A)3 as of Mar 26, 2026
Mar 25, 20193 then
Private funds: no history
RAUM +19% over the last fiscal year+21% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 26, 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
- RAUM per advisor
- $128MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 110derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $522,963derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 9.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $44.1M, 44 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$277M72%
- Individuals$64.1M17%
- Pension and profit-sharing plans$37.0M9.7%
- Corporations and businesses$4.5M1.2%
- Charitable organizations$1.1M0.3%
- Individual clients
- 245reported
- HNW clients
- 84reported
- Pension plan clients
- 15reported
- Charitable clients
- 6reported
- Accounts
- 733reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $44.1M for 44 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.1 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 |
|---|---|---|---|---|
| B•••• L•• C•••••••• | Greensboro, Nc | Mar 7, 2014 | 27 y | 1 |
| H•••• A••••• W•••••• | Greensboro, Nc | Jul 22, 2014 | 28 y | 3 |
| J••• W••••• R••••••••• | Greensboro, Nc | Jan 26, 2018 | 38 y | 2 |
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
- J••• W••••• R••••••••• from L•• F•••••••• L••Jan 26, 2018 · RIA to RIA
- H•••• A••••• W•••••• from M••••• S••••••Jul 22, 2014 · Wirehouse to independent RIA
- B•••• L•• C•••••••• from O•• N•••• S•••• T••••• L••Mar 7, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• B••••• L•• · Owner/Principal/Chief Compliance Officercontrolsince 03/2013 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Greensboro, Nc · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 691 to 733Nov 20, 2025 to Mar 26, 2026
- Charity clients · unset to 6.0Nov 20, 2025 to Mar 26, 2026
- Corporate clients · 5 to 8Nov 20, 2025 to Mar 26, 2026
- HNW clients · 73 to 84Nov 20, 2025 to Mar 26, 2026
- Individual clients · 235 to 245Nov 20, 2025 to Mar 26, 2026
- Pension plan clients · 14 to 15Nov 20, 2025 to Mar 26, 2026
- Assets in custody · $30.5M to $44.1MNov 20, 2025 to Mar 26, 2026
- Financial planning clients · 11-25 to 26-50Nov 20, 2025 to Mar 26, 2026
- Discretionary RAUM · $292M to $346MNov 20, 2025 to Mar 26, 2026
- HNW RAUM · $232M to $277MNov 20, 2025 to Mar 26, 2026
- Individual RAUM · $54.2M to $64.1MNov 20, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $29.6M to $37.0MNov 20, 2025 to Mar 26, 2026
- Pension RAUM · $30.4M to $37.0MNov 20, 2025 to Mar 26, 2026
- RAUM · $322M to $383MNov 20, 2025 to Mar 26, 2026
- Accounts · 678 to 691Mar 25, 2024 to Mar 18, 2025
- HNW clients · 68 to 73Mar 25, 2024 to Mar 18, 2025
- Individual clients · 245 to 235Mar 25, 2024 to Mar 18, 2025
- Assets in custody · unset to 30478265.0Mar 25, 2024 to Mar 18, 2025
- Custody of client assets · false to trueMar 25, 2024 to Mar 18, 2025
- Financial planning clients · 11-25 to 11-25Mar 25, 2024 to Mar 18, 2025
- Discretionary RAUM · $244M to $292MMar 25, 2024 to Mar 18, 2025
- HNW RAUM · $192M to $232MMar 25, 2024 to Mar 18, 2025
- Individual RAUM · $46.7M to $54.2MMar 25, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $23.9M to $29.6MMar 25, 2024 to Mar 18, 2025
- Pension RAUM · $24.8M to $30.4MMar 25, 2024 to Mar 18, 2025
- RAUM · $268M to $322MMar 25, 2024 to Mar 18, 2025
- Accounts · 642 to 678Mar 20, 2023 to Mar 22, 2024
- HNW clients · 64 to 68Mar 20, 2023 to Mar 22, 2024
- Individual clients · 250 to 245Mar 20, 2023 to Mar 22, 2024
- Pension plan clients · 13 to 14Mar 20, 2023 to Mar 22, 2024
- Discretionary RAUM · $198M to $244MMar 20, 2023 to Mar 22, 2024
- HNW RAUM · $149M to $192MMar 20, 2023 to Mar 22, 2024
- Individual RAUM · $44.8M to $46.7MMar 20, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $20.7M to $23.9MMar 20, 2023 to Mar 22, 2024
- Pension RAUM · $21.5M to $24.8MMar 20, 2023 to Mar 22, 2024
- RAUM · $219M to $268MMar 20, 2023 to Mar 22, 2024
- Accounts · 613 to 642Jan 9, 2023 to Mar 20, 2023
- HNW clients · 53 to 64Jan 9, 2023 to Mar 20, 2023
- Individual clients · 241 to 250Jan 9, 2023 to Mar 20, 2023
- Pension plan clients · 12 to 13Jan 9, 2023 to Mar 20, 2023
Signals
1 dated events
- C••••••• C•••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 5, 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
- 336-255-5931reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 336-404-4746reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-762-3148reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- C•••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 336-404-4746reportedpublic record, Form ADV, Mar 26, 2026
- Team page
- c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $128Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026