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G•••••• W••••• M••••••••• L••

Independent wealth managerSEC-registered· Davidson, North Carolinawebsite

Independent wealth manager, based in Davidson, North Carolina, reporting $171M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$171M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
Not established
Private clients
100% of RAUM, $171M
Form ADV
Advisors (1)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 285812 · SEC 801-133895 · 3 filingsShow
CRD 285812SEC 801-133895First filing on the tape Jun 17, 2025, latest Mar 3, 2026SEC status approved since Jul 18, 2025IAPD
RAUM
$171M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$171M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$171M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$171M as of Mar 3, 2026
Jun 17, 2025$151M then
HNW client RAUM$160M as of Mar 3, 2026
Jun 17, 2025$136M then
State-registered IARs (5.B.3)1 as of Mar 3, 2026
Jun 17, 20251 then
Employees (5.A)1 as of Mar 3, 2026
Jun 17, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$171MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
76derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.5MderivedHNW RAUM over HNW clients
Average account
$257,711derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Custody
$85.2M, 59 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$160M93%
  • Individuals$11.6M6.7%
Individual clients
30reported
HNW clients
46reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
665reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$85.2M for 59 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
B•••••• W•••••••Certified Financial Planner, Chartered Financial AnalystDavidson, NcDec 6, 201725 y2
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    No Schedule A on the extract for this adviser.
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 538 to 665
      Oct 20, 2025 to Mar 3, 2026
    • HNW clients · 52 to 46
      Oct 20, 2025 to Mar 3, 2026
    • Individual clients · 6 to 30
      Oct 20, 2025 to Mar 3, 2026
    • Assets in custody · $78.4M to $85.2M
      Oct 20, 2025 to Mar 3, 2026
    • Other offices · 1 to 0
      Oct 20, 2025 to Mar 3, 2026
    • Discretionary RAUM · $151M to $171M
      Oct 20, 2025 to Mar 3, 2026
    • HNW RAUM · $136M to $160M
      Oct 20, 2025 to Mar 3, 2026
    • Individual RAUM · $15.0M to $11.6M
      Oct 20, 2025 to Mar 3, 2026
    • RAUM · $151M to $171M
      Oct 20, 2025 to Mar 3, 2026
    • Financial planning clients · 0 to 0
      Jun 17, 2025 to Oct 20, 2025
    Signals
    No event on the tape.
    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
    Website
    ••• Lockedreportedpublic record, Form ADV, Mar 3, 2026
    Principal office phone
    ••• Lockedreportedpublic record, Form ADV, Mar 3, 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
    $171Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026