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.

SEC-registered adviser

Wealthshield Partners, LLC

Independent wealth managerCary, North CarolinaCRD 169584SEC 801-78937websiteIAPD
Latest filing Mar 20, 2026
First filing on the tape Dec 5, 2013 · 68 filings
SEC status approved since Dec 17, 2013
RAUM
$1.3B
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
97%
$1.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
23
13 advisory (5.B.1)
Offices
9
beyond the principal office
Private funds
0
reported on Schedule D
History
68 filings and snapshots on the tape
RAUM$1.3B as of Mar 20, 2026
Feb 28, 2014$92.0M then
HNW client RAUM$928M as of Mar 20, 2026
Mar 29, 2018$197M then
State-registered IARs (5.B.3)16 as of Mar 20, 2026
Feb 28, 20143 then
Employees (5.A)23 as of Mar 20, 2026
Feb 28, 20145 then
Private funds: no history
RAUM +17% over the last fiscal year+12% a year over threeIARs 16 to 16offices 5 to 9
Practice profile
derived from the filing of Mar 20, 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
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$79.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
72derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.2MderivedHNW RAUM over HNW clients
Average account
$334,567derivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
1.6derived10 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.9%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 consultingreportedItem 5.G
Wrap fee program
$101MreportedItem 5.I
Custody
$142M, 109 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$928M73%
  • Individuals$301M24%
  • Corporations and businesses$33.9M2.7%
  • State and municipal entities$2.6M0.2%
Individual clients
869reported
HNW clients
287reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3,783reported
Financial planning clients
26-50reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$142M for 109 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
15 left, 0 joined in 12 months
net -15 in 12 months14 left in 90 days0 joined in 90 days22 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Handley Victoria Araj · Chief Operating Officercontrol
    since 03/2023 · owns less than 5%
  • Mcalister Caroline Leggett · Partnercontrol
    since 03/2023 · owns less than 5%
  • Alexander Robert Leggett · Chief Compliance Officercontrol
    since 12/2013 · owns 75% or more
  • Alexander Robert Leggett · Owner/Partnercontrol
    since 12/2021 · owns 75% or more of Clint And Robert Holdings
Entity owners
  • Clint And Robert Holdings · Direct Owner
    direct · 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
OfficeAdvisorsJoinedLeftTeams outForming
Cape Carteret, Nc001
Cary, Nc · principal005
Garden City, Ny001
New York, Ny000
Pinehurst, Nc001
Portland, Me0041
Portland,, Me001
Raleigh, Nc002
Offices
Schedule D 1.F, the 25 largest
  • Portland, ME6 employees
  • Raleigh, NC3 employees
  • Brunswick, ME1 employees
  • Greenville, SC1 employees
  • Pinehurst, NC1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
  • business activity changedChange between filings · filing Mar 20, 2026
    selection of other advisers (Item 5.G.7): yes on the filing of 2026-01-21, no on the filing of 2026-03-20
    peers: independent wealth managers, $1B to $5B (1,360)
  • office count surgeChange between filings · filing Mar 20, 2026
    offices other than the principal office (Item 1.F.5) moved from 5.0 to 9.0 (+80.0%) between the annual amendments of 2025-03-26 and 2026-03-20; the peer median change was 0.0% (379 comparable advisers, 97.0th percentile of changes)
    peers: independent wealth managers, $1B to $5B (379) · 97% percentile
How anomalies are measured
What changed
consecutive filings, newest first
  • Accounts · 3,596 to 3,783
    Jan 21, 2026 to Mar 20, 2026
  • Advisory employees · 12 to 13
    Jan 21, 2026 to Mar 20, 2026
  • Advisory activities · 6 to 4
    Jan 21, 2026 to Mar 20, 2026
  • Corporate clients · 26 to 30
    Jan 21, 2026 to Mar 20, 2026
  • HNW clients · 232 to 287
    Jan 21, 2026 to Mar 20, 2026
  • Individual clients · 881 to 869
    Jan 21, 2026 to Mar 20, 2026
  • Assets in custody · $44.4M to $142M
    Jan 21, 2026 to Mar 20, 2026
  • Financial planning clients · 11-25 to 26-50
    Jan 21, 2026 to Mar 20, 2026
  • State-registered IARs · 15 to 16
    Jan 21, 2026 to Mar 20, 2026
  • Discretionary RAUM · $1.1B to $1.2B
    Jan 21, 2026 to Mar 20, 2026
  • HNW RAUM · $754M to $928M
    Jan 21, 2026 to Mar 20, 2026
  • Individual RAUM · $296M to $301M
    Jan 21, 2026 to Mar 20, 2026
  • Non-discretionary RAUM · $1.6M to $48.2M
    Jan 21, 2026 to Mar 20, 2026
  • RAUM · $1.1B to $1.3B
    Jan 21, 2026 to Mar 20, 2026
  • Advisory employees · 13 to 12
    Oct 29, 2025 to Jan 21, 2026
  • Employees · 24 to 23
    Oct 29, 2025 to Jan 21, 2026
  • State-registered IARs · 16 to 15
    Oct 29, 2025 to Jan 21, 2026
  • Other offices · 11 to 9
    Oct 29, 2025 to Jan 21, 2026
  • Other offices · 5 to 11
    Mar 26, 2025 to Oct 29, 2025
  • Accounts · 3,214 to 3,596
    Jan 22, 2025 to Mar 26, 2025
  • Advisory employees · 14 to 13
    Jan 22, 2025 to Mar 26, 2025
  • Charity clients · 1.0 to unset
    Jan 22, 2025 to Mar 26, 2025
  • Corporate clients · 24 to 26
    Jan 22, 2025 to Mar 26, 2025
  • HNW clients · 189 to 232
    Jan 22, 2025 to Mar 26, 2025
  • Individual clients · 873 to 881
    Jan 22, 2025 to Mar 26, 2025
  • Assets in custody · $22.6M to $44.4M
    Jan 22, 2025 to Mar 26, 2025
  • Employees · 22 to 24
    Jan 22, 2025 to Mar 26, 2025
  • Financial planning clients · 251-500 to 11-25
    Jan 22, 2025 to Mar 26, 2025
  • State-registered IARs · 13 to 16
    Jan 22, 2025 to Mar 26, 2025
  • Discretionary RAUM · $917M to $1.1B
    Jan 22, 2025 to Mar 26, 2025
  • HNW RAUM · $610M to $754M
    Jan 22, 2025 to Mar 26, 2025
  • Individual RAUM · $275M to $296M
    Jan 22, 2025 to Mar 26, 2025
  • Non-discretionary RAUM · $1.2M to $1.6M
    Jan 22, 2025 to Mar 26, 2025
  • RAUM · $918M to $1.1B
    Jan 22, 2025 to Mar 26, 2025
  • Related adviser · false to true
    Jan 22, 2025 to Mar 26, 2025
  • Related broker-dealer · false to true
    Jan 22, 2025 to Mar 26, 2025
  • Related insurance company · false to true
    Jan 22, 2025 to Mar 26, 2025
  • Accounts · 1,129 to 3,214
    Nov 1, 2023 to Mar 20, 2024
  • Advisory employees · 20 to 14
    Nov 1, 2023 to Mar 20, 2024
  • Corporate clients · 16 to 24
    Nov 1, 2023 to Mar 20, 2024
Signals
41 dated events
  • William Robert Todd left Wealthshield Partners, Llc for Farther (registered 2026-06-16)
    Jul 1, 2026 · Advisor changed firm · fact
  • Kayla Caroline King left Wealthshield Partners, Llc for Wealth Enhancement Advisory Services, Llc (registered 2026-07-01)
    Jul 1, 2026 · Advisor changed firm · fact
  • Jessica Alpers left Wealthshield Partners, Llc for Wealth Enhancement Advisory Services, Llc (registered 2026-07-01)
    Jul 1, 2026 · Advisor changed firm · fact
  • Robert Alexander Leggett left Wealthshield Partners, Llc for Wealthshield Llc (registered 2018-03-19)
    Jul 1, 2026 · Advisor changed firm · fact
  • Kenneth Bollinger left Wealthshield Partners, Llc for Wealth Enhancement Advisory Services, Llc (registered 2026-07-01)
    Jul 1, 2026 · Advisor changed firm · fact
  • Scott Lord left Wealthshield Partners, Llc for Wealth Enhancement Advisory Services, Llc (registered 2026-07-01)
    Jul 1, 2026 · Advisor changed firm · fact
  • Victoria Handley Araj left Wealthshield Partners, Llc for Wealth Enhancement Advisory Services, Llc (registered 2026-07-01)
    Jul 1, 2026 · Advisor changed firm · fact
  • Harry Marc Krigman left Wealthshield Partners, Llc for Farther (registered 2026-06-25)
    Jul 1, 2026 · Advisor changed firm · fact
  • Sean Alan Hussey left Wealthshield Partners, Llc for Farther (registered 2026-06-15)
    Jul 1, 2026 · Advisor changed firm · fact
  • Michael Len Helms left Wealthshield Partners, Llc for Wealth Enhancement Advisory Services, Llc (registered 2026-07-01)
    Jul 1, 2026 · Advisor changed firm · fact
  • Philip John Cawley left Wealthshield Partners, Llc for Farther (registered 2026-06-17)
    Jul 1, 2026 · Advisor changed firm · fact
  • Norman Henry Levesque left Wealthshield Partners, Llc for Farther (registered 2026-06-15)
    Jul 1, 2026 · Advisor changed firm · fact
  • Stuart Alexander Gay left Wealthshield Partners, Llc for Wealth Enhancement Advisory Services, Llc (registered 2026-07-01)
    Jul 1, 2026 · Advisor changed firm · fact
  • John Maher left Wealthshield Partners, Llc for Wealth Enhancement Advisory Services, Llc (registered 2026-07-01)
    Jul 1, 2026 · Advisor changed firm · fact
  • 5 advisors left Wealthshield Partners, LLC (Portland, ME) for Farther on the same day
    Jul 1, 2026 · Team lift-out · derived
  • Wealthshield Partners, LLC's advisors moved to Wealth Enhancement Advisory Services, LLC (Cary, NC): 7 of 14 registered, on the same day
    Jul 1, 2026 · Firm absorbed (people side) · derived
  • Mark Alan Bare left Wealthshield Partners, Llc for Golden Pine Advisory, Llc (registered 2026-03-16)
    Apr 17, 2026 · Advisor changed firm · fact
  • Wealthshield Partners, Llc reported 11 offices beyond its principal office, up from 5 (2025-03-26 to 2025-10-29)
    Oct 29, 2025 · Office count change · derived
  • Hui Yao Kelly Lin left Wealthshield Partners, Llc for Legacy Edge Advisors (registered 2023-11-01)
    Nov 1, 2023 · Advisor changed firm · fact
  • Timothy Olin Urie left Wealthshield Partners, Llc for Legacy Edge Advisors (registered 2026-01-01)
    Nov 1, 2023 · Advisor changed firm · fact
  • Nicola Saverio Patullo left Wealthshield Partners, Llc for Legacy Edge Advisors (registered 2023-11-01)
    Nov 1, 2023 · Advisor changed firm · fact
  • Barry Howard Gladstein left Wealthshield Partners, Llc for Legacy Edge Advisors (registered 2023-11-01)
    Nov 1, 2023 · Advisor changed firm · fact
  • Anca Garcia left Wealthshield Partners, Llc for Legacy Edge Advisors (registered 2023-11-08)
    Nov 1, 2023 · Advisor changed firm · fact
  • Robert Paul Marronaro left Wealthshield Partners, Llc for Legacy Edge Advisors (registered 2023-11-01)
    Nov 1, 2023 · Advisor changed firm · fact
  • Kevin Marshall Brooks left Wealthshield Partners, Llc for Legacy Edge Advisors (registered 2023-11-01)
    Nov 1, 2023 · Advisor changed firm · fact
  • 5 advisors left Wealthshield Partners, LLC (Cary, NC) for Legacy Edge Advisors on the same day
    Nov 1, 2023 · Team lift-out · derived
  • 2 advisors left Wealthshield Partners, LLC (New York, NY) for Legacy Edge Advisors on the same day
    Nov 1, 2023 · Team lift-out · derived
  • Wealthshield Partners, Llc reported 18 state-registered advisory representatives, up from 0 (2022-05-25 to 2023-03-23)
    Mar 23, 2023 · Advisor headcount change · derived
  • Wayne Clinton Sorenson (Owner/Partner) no longer on Schedule A of Wealthshield Partners, Llc (listed 2022-05-25, absent 2023-03-23)
    Mar 23, 2023 · Control person left · inference
  • Mcalister Caroline Leggett (Partner) appeared on Schedule A of Wealthshield Partners, Llc
    Mar 23, 2023 · Control person joined · 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
919-948-4453reportedpublic record, Form ADV, Mar 20, 2024
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
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026