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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Former SEC-registered adviser
C••• W•••••• L••
Latest filing Feb 26, 2025
First filing on the tape Jan 29, 2014 · 54 filings
SEC status approved since Feb 5, 2014
RAUM
$529M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$526M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
29
11 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
54 filings and snapshots on the tape
RAUM$529M as of Feb 26, 2025
Mar 16, 2015$245M then
HNW client RAUM$471M as of Feb 26, 2025
Mar 29, 2018$270M then
State-registered IARs (5.B.3)10 as of Feb 26, 2025
Mar 16, 20153 then
Employees (5.A)29 as of Feb 26, 2025
Mar 16, 20159 then
Private funds: no history
RAUM +11% over the last fiscal year+5.1% a year over threeIARs 7 to 10offices 1 to 2
Practice profile
derived from the filing of Feb 26, 2025; every figure names its basis
- RAUM per advisor
- $52.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $372,267derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.9derivedItem 5.A over advisors
- Advisors per office
- 3.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +43%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, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $284M, 253 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$471M89%
- Individuals$54.8M10%
- Pension and profit-sharing plans$3.5M0.7%
- Individual clients
- 273reported
- HNW clients
- 159reported
- Pension plan clients
- 11reported
- Charitable clients
- n/areported
- Accounts
- 1,422reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $284M for 253 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- S••• M••••••• L•••• to C••••• P••••••• L••Apr 1, 2025 · RIA to RIA
- J•••• M•••• D••••••• to C••••• P••••••• L••Apr 1, 2025 · RIA to RIA
- G••••• L••• S••• to C••••• P••••••• L••Apr 1, 2025 · RIA to RIA
- B•••• J• C••• to C••••• P••••••• L••Apr 1, 2025 · RIA to RIA
- Z•••••• Q• C••••• to C••••• P••••••• L••Apr 1, 2025 · RIA to RIA
- H••••• B• H••••• to C••••• P••••••• L••Apr 1, 2025 · RIA to RIA
- E••••• L•• W••••••• to C••••• P••••••• L••Apr 1, 2025 · RIA to RIA
- M•••••• T••••• H••••••• to C••••• P••••••• L••Apr 1, 2025 · RIA to RIA
- D•••• A••••• M•••••••• to H••••••• W••••• M•••••••••Feb 20, 2025 · RIA to a state-registered adviser
- D•••• T••••••• W••••••• to V•••••• A•••••••• I•••Jun 8, 2023 · Other
- R••••• C• S•••••• to A••••••• F••••••••• L•••Oct 28, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- S••• M••••••• L•••• from B•••••• W••••• A•••••••• L••Sep 6, 2023 · RIA to RIA
- D•••• A••••• M•••••••• from S•••••••• A••••••• L••Jan 9, 2019 · Affiliated broker-dealer or bank to independent RIA
- D•••• T••••••• W••••••• from F••••••• P••••••• A•• W•••••••• A•••••••Jan 7, 2019 · Affiliated broker-dealer or bank to independent RIA
- R••••• C• S•••••• from P••• A••••• S••••••••• L••Jan 7, 2019 · Affiliated broker-dealer or bank to independent RIA
- M•••••• T••••• H••••••• from L•• F•••••••• L••Jan 7, 2019 · RIA to RIA
- B•••• J• C••• from L•• F•••••••• L••Mar 20, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 7 left for C••••• P••••••• L••Apr 1, 2025 · Raleigh, Nc · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• B••••• J• · Executive Chairmancontrolsince 07/2024 · owns 75% or more
- D•••••••• J••••• M•••• · Chief Executive Officercontrolsince 07/2024 · owns 10% to 25%
- H••••••• K•••••••• A•• · Chief Compliance Officercontrolsince 05/2022 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Alpharetta, Ga | 0 | 0 | 0 | ||
| Raleigh, Nc · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,208 to 1,422Jul 15, 2024 to Feb 26, 2025
- Advisory employees · 10 to 11Jul 15, 2024 to Feb 26, 2025
- HNW clients · 141 to 159Jul 15, 2024 to Feb 26, 2025
- Individual clients · 254 to 273Jul 15, 2024 to Feb 26, 2025
- Pension plan clients · 8 to 11Jul 15, 2024 to Feb 26, 2025
- Assets in custody · $261M to $284MJul 15, 2024 to Feb 26, 2025
- Employees · 25 to 29Jul 15, 2024 to Feb 26, 2025
- State-registered IARs · 7 to 10Jul 15, 2024 to Feb 26, 2025
- Discretionary RAUM · $475M to $529MJul 15, 2024 to Feb 26, 2025
- HNW RAUM · $417M to $471MJul 15, 2024 to Feb 26, 2025
- Individual RAUM · $56.3M to $54.8MJul 15, 2024 to Feb 26, 2025
- Pension RAUM · $1.8M to $3.5MJul 15, 2024 to Feb 26, 2025
- RAUM · $475M to $529MJul 15, 2024 to Feb 26, 2025
- Other offices · 1 to 2Mar 14, 2024 to Apr 5, 2024
- Accounts · 1,261 to 1,208Dec 6, 2023 to Mar 14, 2024
- Advisory employees · 9 to 10Dec 6, 2023 to Mar 14, 2024
- HNW clients · 126 to 141Dec 6, 2023 to Mar 14, 2024
- Individual clients · 281 to 254Dec 6, 2023 to Mar 14, 2024
- Pension plan clients · unset to 8.0Dec 6, 2023 to Mar 14, 2024
- Assets in custody · $105M to $261MDec 6, 2023 to Mar 14, 2024
- Employees · 14 to 25Dec 6, 2023 to Mar 14, 2024
- Financial planning clients · 251-500 to 26-50Dec 6, 2023 to Mar 14, 2024
- Discretionary RAUM · $404M to $475MDec 6, 2023 to Mar 14, 2024
- HNW RAUM · $342M to $417MDec 6, 2023 to Mar 14, 2024
- Individual RAUM · $60.7M to $56.3MDec 6, 2023 to Mar 14, 2024
- Pension RAUM · $1.3M to $1.8MDec 6, 2023 to Mar 14, 2024
- RAUM · $404M to $475MDec 6, 2023 to Mar 14, 2024
- Business name · C••• W••••• M••••••••• G••••• L•• to C••• W•••••• L••Nov 28, 2023 to Dec 6, 2023
- Legal name · C••• W••••• M••••••••• G••••• L•• to C••• W•••••• L••Nov 28, 2023 to Dec 6, 2023
- Accounts · 1,055 to 1,261Dec 2, 2022 to Feb 28, 2023
- HNW clients · 133 to 126Dec 2, 2022 to Feb 28, 2023
- Individual clients · 219 to 281Dec 2, 2022 to Feb 28, 2023
- Assets in custody · $179M to $105MDec 2, 2022 to Feb 28, 2023
- Employees · 15 to 14Dec 2, 2022 to Feb 28, 2023
- State-registered IARs · 9 to 7Dec 2, 2022 to Feb 28, 2023
- Discretionary RAUM · $456M to $404MDec 2, 2022 to Feb 28, 2023
- HNW RAUM · $420M to $342MDec 2, 2022 to Feb 28, 2023
- Individual RAUM · $35.1M to $60.7MDec 2, 2022 to Feb 28, 2023
- Pension RAUM · $1.3M to $1.3MDec 2, 2022 to Feb 28, 2023
- RAUM · $456M to $404MDec 2, 2022 to Feb 28, 2023
Signals
17 dated events
- C••• W•••••• L•• no longer on the SEC adviser roster (last listed 2025-05-02, RAUM $529.4M)Jun 2, 2025 · Left the SEC roster · derived
- E••••• L•• W••••••• left C••• W•••••• L•• for C••••• P••••••• L•• (registered 2025-04-01)Apr 1, 2025 · Advisor changed firm · fact
- S••• M••••••• L•••• left C••• W•••••• L•• for C••••• P••••••• L•• (registered 2025-04-01)Apr 1, 2025 · Advisor changed firm · fact
- Z•••••• Q• C••••• left C••• W•••••• L•• for C••••• P••••••• L•• (registered 2025-04-01)Apr 1, 2025 · Advisor changed firm · fact
- M•••••• T••••• H••••••• left C••• W•••••• L•• for C••••• P••••••• L•• (registered 2025-04-01)Apr 1, 2025 · Advisor changed firm · fact
- C••• W•••••• L••'s advisors moved to C••••• P••••••• L•• (Raleigh, NC): 7 of 8 registered, on the same dayApr 1, 2025 · Firm absorbed (people side) · derived
- G••••• L••• S••• left C••• W•••••• L•• for C••••• P••••••• L•• (registered 2025-04-01)Apr 1, 2025 · Advisor changed firm · fact
- J•••• M•••• D••••••• left C••• W•••••• L•• for C••••• P••••••• L•• (registered 2025-04-01)Apr 1, 2025 · Advisor changed firm · fact
- B•••• J• C••• left C••• W•••••• L•• for C••••• P••••••• L•• (registered 2025-04-01)Apr 1, 2025 · Advisor changed firm · fact
- H••••• B• H••••• left C••• W•••••• L•• for C••••• P••••••• L•• (registered 2025-04-01)Apr 1, 2025 · Advisor changed firm · fact
- D•••• A••••• M•••••••• left C••• W•••••• L•• for H••••••• W••••• M••••••••• (registered 2025-06-10)Feb 20, 2025 · Advisor changed firm · fact
- Miles Jason Deshayes (Chief Operating Officer) appeared on Schedule A of C••• W•••••• L••Mar 14, 2024 · Control person joined · fact
- Keith Jon C••• (Managing Member) no longer on Schedule A of C••• W•••••• L•• (listed 2023-05-10, absent 2023-06-09)Jun 9, 2023 · Control person left · inference
- D•••• T••••••• W••••••• left C••• W•••••• L•• for V•••••• A•••••••• I••• (registered 2023-06-14)Jun 8, 2023 · Advisor changed firm · fact
- R••••• C• S•••••• left C••• W•••••• L•• for A••••••• F••••••••• L••• (registered 2025-02-26)Oct 28, 2022 · Advisor changed firm · fact
- Ann Kimberly Hoffman (Chief Compliance Officer) appeared on Schedule A of C••• W•••••• L••Jun 9, 2022 · Control person joined · fact
- C••• W••••• M••••••••• G•••• filed its initial SEC registration (Form ADV)Jan 29, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••• W•••••• L•• · Family Officesshared crd · office
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
- Former SEC-registered adviserderiveda 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