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•••••• E•••••••• G••••• I••
Latest filing Jun 30, 2026
First filing on the tape Jun 11, 2021 · 16 filings
SEC status approved since Jul 12, 2021
RAUM
$109M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$109M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$54.4M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$109M as of Jun 30, 2026
Mar 25, 2022$148M then
HNW client RAUM$66.5M as of Jun 30, 2026
Mar 25, 2022$116M then
State-registered IARs (5.B.3)2 as of Jun 30, 2026
Mar 25, 20224 then
Employees (5.A)3 as of Jun 30, 2026
Mar 25, 20225 then
Private funds: no history
RAUM +29% over the last fiscal year-1.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 30, 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
- $54.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $372,681derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $67.6M, 65 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$66.5M61%
- Individuals$42.3M39%
- Individual clients
- 41reported
- HNW clients
- 24reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 292reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $67.6M for 65 clientsreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••• M•••• D•••••Certified Financial Planner | Alpharetta, Ga | Oct 17, 2016 | 25 y | 4 |
| P••• M•••••• D••••••Chartered Financial Analyst | Cary, Nc | Feb 6, 2017 | 23 y | 0 |
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
- R••• A•••• H••••• to B•• W•••••• L••Dec 31, 2022 · RIA to RIA
Joined, latest
- R••• A•••• H••••• from R•••••• W••••• M••••••••• L••Aug 14, 2019 · RIA to RIA
- P•••••• M•••• D••••• from T••••••• W••••• M•••••••••Oct 17, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• P••••••• M•••• · President/Chief Compliance Officercontrolsince 12/2011 · owns 75% or more
Related persons
Schedule D 7.A
- C•••••• E•••••••• P•••••••• L••bankn
Offices
Schedule D 1.F, the 25 largest
- Cary, NC1 employees
What changed
consecutive filings, newest first
- Accounts · 290 to 292Dec 22, 2025 to Mar 23, 2026
- HNW clients · 31 to 24Dec 22, 2025 to Mar 23, 2026
- Assets in custody · $61.1M to $67.6MDec 22, 2025 to Mar 23, 2026
- Discretionary RAUM · $84.5M to $109MDec 22, 2025 to Mar 23, 2026
- HNW RAUM · $56.0M to $66.5MDec 22, 2025 to Mar 23, 2026
- Individual RAUM · $28.5M to $42.3MDec 22, 2025 to Mar 23, 2026
- RAUM · $84.5M to $109MDec 22, 2025 to Mar 23, 2026
- Financial planning clients · 51-100 to 51-100Jun 24, 2025 to Jul 16, 2025
- Accounts · 306 to 290Apr 1, 2024 to Mar 26, 2025
- HNW clients · 28 to 31Apr 1, 2024 to Mar 26, 2025
- Individual clients · 39 to 41Apr 1, 2024 to Mar 26, 2025
- Assets in custody · $62.0M to $61.1MApr 1, 2024 to Mar 26, 2025
- Discretionary RAUM · $127M to $84.5MApr 1, 2024 to Mar 26, 2025
- HNW RAUM · $97.1M to $56.0MApr 1, 2024 to Mar 26, 2025
- Individual RAUM · $30.0M to $28.5MApr 1, 2024 to Mar 26, 2025
- RAUM · $127M to $84.5MApr 1, 2024 to Mar 26, 2025
- Related bank · true to falseApr 1, 2024 to Mar 26, 2025
- Accounts · 333 to 306Jan 23, 2024 to Apr 1, 2024
- Advisory employees · 3 to 2Jan 23, 2024 to Apr 1, 2024
- HNW clients · 41 to 28Jan 23, 2024 to Apr 1, 2024
- Individual clients · 54 to 39Jan 23, 2024 to Apr 1, 2024
- Assets in custody · $56.7M to $62.0MJan 23, 2024 to Apr 1, 2024
- Employees · 4 to 3Jan 23, 2024 to Apr 1, 2024
- State-registered IARs · 3 to 2Jan 23, 2024 to Apr 1, 2024
- Discretionary RAUM · $114M to $127MJan 23, 2024 to Apr 1, 2024
- HNW RAUM · $89.5M to $97.1MJan 23, 2024 to Apr 1, 2024
- Individual RAUM · $24.7M to $30.0MJan 23, 2024 to Apr 1, 2024
- Non-discretionary RAUM · $29,843 to $0Jan 23, 2024 to Apr 1, 2024
- RAUM · $114M to $127MJan 23, 2024 to Apr 1, 2024
- Accounts · 382 to 333Jan 30, 2023 to Mar 31, 2023
- Advisory employees · 4 to 3Jan 30, 2023 to Mar 31, 2023
- HNW clients · 46 to 41Jan 30, 2023 to Mar 31, 2023
- Individual clients · 50 to 54Jan 30, 2023 to Mar 31, 2023
- Assets in custody · $70.8M to $56.7MJan 30, 2023 to Mar 31, 2023
- Employees · 5 to 4Jan 30, 2023 to Mar 31, 2023
- State-registered IARs · 4 to 3Jan 30, 2023 to Mar 31, 2023
- Discretionary RAUM · $148M to $114MJan 30, 2023 to Mar 31, 2023
- HNW RAUM · $116M to $89.5MJan 30, 2023 to Mar 31, 2023
- Individual RAUM · $32.2M to $24.7MJan 30, 2023 to Mar 31, 2023
- Non-discretionary RAUM · $0 to $29,843Jan 30, 2023 to Mar 31, 2023
Signals
2 dated events
- R••• A•••• H••••• left C•••••• E•••••••• G••••• I•• for B•• W•••••• L•• (registered 2022-11-28)Dec 31, 2022 · Advisor changed firm · fact
- C•••••• E•••••••• G••••• I•• filed its initial SEC registration (Form ADV)Jun 11, 2021 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/CAPITALl-E••••••••-GROUPreportedpublic record, Form ADV, Sep 18, 2026
- Website
- cegwm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 470-375-6663reportedpublic record, Form ADV, Jun 30, 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
- $54.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026