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••••••••• W•••••
Legal name C••••••••• W••••• G••••• L••
Latest filing Aug 3, 2026
First filing on the tape Nov 14, 2017 · 53 filings
SEC status approved since Dec 22, 2017
RAUM
$2.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$2.4B individuals and HNW
Advisors
30
registered through the firm on IAPD
RAUM per advisor
$82.9M
derived; firm RAUM over IAPD count
Employees
50
50 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
0
reported on Schedule D
History
53 filings and snapshots on the tape
RAUM$2.5B as of Aug 3, 2026
Mar 26, 2018$914M then
HNW client RAUM$1.5B as of Aug 3, 2026
Mar 26, 2018$87.6M then
State-registered IARs (5.B.3)24 as of Aug 3, 2026
Mar 26, 201820 then
Employees (5.A)50 as of Aug 3, 2026
Mar 26, 201840 then
Private funds: no history
RAUM +18% over the last fiscal year+31% a year over threeIARs 24 to 24offices 7 to 8
Practice profile
derived from the filing of Aug 3, 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
- RAUM per advisor
- $82.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.3derived9 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.2%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $767M, 1,652 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- controlled by a public reporting company (10.A)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.5B59%
- Individuals$989M40%
- Corporations and businesses$17.3M0.7%
- Individual clients
- 2,054reported
- HNW clients
- 319reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2,274reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $767M for 1,652 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=20.0 bank_owner=falsederived
Advisors registered through the firm
30 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• W••••• G••••Certified Financial Planner | Huntersville, Nc | Jan 3, 2018 | 22 y | 4 |
| B••••• H•••• P•••••••Personal Financial Specialist | Huntersville, Nc | Jan 3, 2018 | 27 y | 2 |
| J•••••• N••••• P•••••Certified Financial Planner | Greensboro, Nc | Jan 3, 2018 | 16 y | 6 |
| J••••• R••• D•••••••Certified Financial Planner | Huntersville, Nc | Jan 3, 2018 | 12 y | 2 |
| J•••••• A••• C••••••Certified Financial Planner | Huntersville, Nc | Jan 3, 2018 | 35 y | 3 |
| C•••• A••• R••••••• | Huntersville, Nc | Jan 3, 2018 | 29 y | 5 |
| E••••• M••••••••• W•••Certified Financial Planner | Huntersville, Nc | Jan 4, 2018 | 28 y | 4 |
| A••••• K••••• S••••Certified Financial Planner | Huntersville, Nc | Jan 5, 2018 | 27 y | 2 |
| M•••••• J•••• S•••••••Certified Financial Planner | Huntersville, Nc | Jan 5, 2018 | 10 y | 1 |
| J••••••• S••••• B••••Certified Financial Planner | Greenville, Sc | Jan 16, 2018 | 20 y | 2 |
| R••••• L•• P••••• | Huntersville, Nc | Feb 27, 2018 | 19 y | 3 |
| C•••••• L•••• C•••• | Huntersville, Nc | Mar 20, 2018 | 18 y | 0 |
| C••••••• P•••••• H••••Chartered Financial Analyst | Huntersville, Nc | Apr 24, 2018 | 18 y | 1 |
| R••••• W•••••• B••••• | Huntersville, Nc | Aug 23, 2018 | 14 y | 0 |
| R•••••• G••••• F••••• | Huntersville, Nc | Apr 20, 2021 | 13 y | 1 |
| S••• M•••••• B•••••••• | Huntersville, Nc | Feb 18, 2022 | 12 y | 0 |
| C•••••• F••••••• M•••••Chartered Financial Analyst | Huntersville, Nc | Apr 7, 2022 | 10 y | 1 |
| M•••••• A••• M•••••Certified Financial Planner | Huntersville, Nc | Mar 9, 2023 | 21 y | 9 |
| A••••• L••• P••• | Huntersville, Nc | Jun 22, 2023 | 13 y | 0 |
| A••••••• G•••• W•••••Certified Financial Planner | Charlotte, Nc | Jan 4, 2024 | 11 y | 0 |
| W•••••• E••••• S••••• | Tampa, Fl | Jan 12, 2024 | 39 y | 3 |
| Z•••••• E••••• S•••••Certified Financial Planner | Tampa, Fl | Jan 17, 2024 | 10 y | 1 |
| D•••• R••• G•••Chartered Financial Analyst | Tampa, Fl | Jan 18, 2024 | 10 y | 0 |
| K••• B••••• K•••Certified Financial Planner | Huntersville, Nc | Feb 7, 2024 | 29 y | 0 |
| J•••• R• M•••••••Certified Financial Planner, Chartered Financial Analyst | Huntersville, Nc | Apr 8, 2024 | 18 y | 1 |
| G•••••••• E•••••••• C••••••• | Greenville, Sc | Jun 30, 2024 | 12 y | 1 |
| J••••• E••••• S•••••• | San Francisco, Ca | Jan 8, 2025 | 41 y | 3 |
| W•••••• A••• P••••• | Huntersville, Nc | Nov 16, 2025 | 19 y | 5 |
| R••••• T••••• W•••• | Aiken, Sc | Jan 9, 2026 | 16 y | 1 |
| P•••••• H•••••• | Huntersville, Nc | Jul 19, 2026 | 10 y | 1 |
Advisor movement
1 left, 3 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 3.3% of current headcount3 left over 36 months
Left, latest
- T•••••• W••••••• G•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 28, 2025 · RIA to affiliated broker-dealer or bank
- W•••••• M•••••• R•••••• to K•••• A••••••• R•••••• I••••••••• M••••••••• L••Aug 6, 2025 · Other
- A•••••••• B••••••••• B••••• to S••••Jun 3, 2025 · RIA to RIA
- K•••••••• M•••• J•••• to P••• A••••• S••••••••• L••Mar 24, 2021 · RIA to affiliated broker-dealer or bank
- G••••• W••••• J•••••• to I••••••••• A•••••• A•••••••• L••Mar 15, 2021 · RIA to RIA
- C•••••• D•••••• R••••••• to K•••••• W••••• M•••••••••Aug 17, 2020 · RIA to RIA
- K••• M•••••• F•••••• to G••••• • G••• W••••• M•••••••••Aug 14, 2019 · RIA to RIA
- J••• D••••• T•••••• to S••••••••• L••Apr 29, 2019 · RIA to RIA
Joined, latest
- P•••••• H•••••• from 4• F••••••••Jul 19, 2026 · RIA to RIA
- R••••• T••••• W•••• from I••••••••• F•••••••• G••••• L••Jan 9, 2026 · Affiliated broker-dealer or bank to independent RIA
- W•••••• A••• P••••• from D••••• M•••• A•••••••• L••Nov 16, 2025 · Other
- G•••••••• E•••••••• C••••••• from O•••• W•••••• I•••Jun 30, 2024 · Affiliated broker-dealer or bank to independent RIA
- J•••• R• M••••••• from R•• R•••••••• L••Apr 8, 2024 · Affiliated broker-dealer or bank to independent RIA
- Z•••••• E••••• S••••• from S••••• W••••• A•••••••• I•••Jan 17, 2024 · RIA to RIA
- W•••••• E••••• S••••• from S••••• W••••• A•••••••• I•••Jan 12, 2024 · RIA to RIA
- M•••••• A••• M••••• from G••••• C••••••• L••Mar 9, 2023 · RIA to RIA
- C•••••• F••••••• M••••• from U•• F•••••••• S••••••• I•••Apr 7, 2022 · Wirehouse to independent RIA
- R•••••• G••••• F••••• from W•••• F•••• A•••••••Apr 20, 2021 · Wirehouse to independent RIA
- C••••••• P•••••• H•••• from F••••••• I••••••••• A••••••• S•••••••• L••Apr 24, 2018 · Other
- R••••• L•• P••••• from S•••••••• I••••••••• P••••••••• L••Feb 27, 2018 · RIA to RIA
- J••• D••••• T•••••• from L•• F•••••••• L••Jan 5, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S••••• W••••• A•••••••• I•••Jan 30, 2024 · Tampa, Fl
- 13 joined from C••••••••• W•••••Dec 31, 2017 · Huntersville, Nc · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• J••••••• A••• · Partnercontrolsince 01/2018 · owns less than 5%
- F••••••••• T••••• E• · Chief Operations Officer, Chief Financial Officercontrolsince 01/2018 · owns less than 5%
- P•••••• R•••••• L•• · Chief Compliance Officercontrolsince 01/2018 · owns less than 5%
- R•••••••• C••••• A••• · Chief Executive Officer Chief Financial Officercontrolsince 01/2018 · owns less than 5%
- S••••• A•••••• K••••• · Partnercontrolsince 01/2018 · owns less than 5%
- H••••• C•••••••• P•••••• · Chief Investment Officersince 12/2019 · owns less than 5%
Entity owners
- F•••• O••••••••• L•• · Member (Manager)direct · owns 75% or more
- C••• F•••••••• C••••••••• L••• · Partnerindirect · owns 25% to 50% of C••• F•••••••• H•••••••• L•••
- C••• F•••••••• H•••••••• L••• · Partnerindirect · owns 50% to 75% of F•••••••• F•• U••••••• H•••••••• L•
- C••••••• D••••••• • R••• F••• X••• L••• · Partnerindirect · owns 50% to 75% of C••• F•••••••• H•••••••• L•••
- F•••••••• F•• A••••••••• L•• · Shareholder, Class A Common Stockindirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
- F•••••••• F•• I••••••••• H•••••••• L•• · Memberindirect · owns 75% or more of F•••••••• F•• A••••••••• L••
- F•••••••• F•• P•••••• I••• · Memberindirect · owns 75% or more of F•••••••• F•• I••••••••• H•••••••• L••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholderindirect · owns 75% or more of F•••••••• F•• P•••••• I•••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholder Class B Common Stockindirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
- F•••• F•••••••• P••••••• I••• · Managing Memberindirect · owns 75% or more of F•••• F•••••••• P•••••••• L••
- F•••• F•••••••• P•••••••• L•• · Memberindirect · owns 75% or more of F•••• O••••••••• L••
Related persons
Schedule D 7.A
- F•••• R••• S••••••••• L••real estaten
- O••••• C••••• A•••••••• L••investment adviserpooled vehicle sponsornRAUM $538M
- S•• C•••••• M••••••••• L••investment adviserpooled vehicle sponsornRAUM $49B
- W••••••• J•••• W••••• M••••••••• L••investment advisernRAUM $12B
Advisers that list C••••••••• W••••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Huntersville, Nc · principal | 24 | 3 | 1 | ||
| Tampa, Fl | 4 | 0 | 0 | ||
| Charlotte, Nc | 2 | 0 | 0 | ||
| Greenville, Sc | 2 | 0 | 0 | ||
| Belmont, Nc | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Tampa, FL7 employees
- Charlotte, NC5 employees
- Columbia, SC3 employees
- Aiken, SC3 employees
- Greenville, SC2 employees
- Boca Raton, FL2 employees
- San Francisco, CA1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 3, 2026F••••••••• T••••• E• (CHIEF OPERATIONS OFFICER, CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2023-09-26 and 2026-08-03peers: WEALTH_I•••••••••, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 3, 2026P•••••• R•••••• L•• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2023-09-26 and 2026-08-03peers: WEALTH_I•••••••••, $1B to $5B (1,362)
- account count collapseChange between filings · filing Mar 24, 2026accounts (Item 5.F.2.f) moved from 6,834.0 to 2,274.0 (-67.0%) between the annual amendments of 2025-04-24 and 2026-03-24; the peer median change was +6.0% (1206 comparable advisers, 1.0th percentile of changes)peers: WEALTH_I•••••••••, $1B to $5B (1,206) · 1.1% percentile
What changed
consecutive filings, newest first
- Other offices · 7 to 8Mar 24, 2026 to Aug 3, 2026
- Accounts · 6,834 to 2,274Feb 27, 2026 to Mar 24, 2026
- Corporate clients · 24 to 29Feb 27, 2026 to Mar 24, 2026
- HNW clients · 238 to 319Feb 27, 2026 to Mar 24, 2026
- Individual clients · 2,108 to 2,054Feb 27, 2026 to Mar 24, 2026
- Assets in custody · $1.1B to $767MFeb 27, 2026 to Mar 24, 2026
- Discretionary RAUM · $2.1B to $2.5BFeb 27, 2026 to Mar 24, 2026
- HNW RAUM · $1.2B to $1.5BFeb 27, 2026 to Mar 24, 2026
- Individual RAUM · $883M to $989MFeb 27, 2026 to Mar 24, 2026
- RAUM · $2.1B to $2.5BFeb 27, 2026 to Mar 24, 2026
- Financial planning clients · 1-10 to 1-10Apr 24, 2025 to Jul 18, 2025
- Accounts · 2,093 to 6,834Mar 25, 2024 to Apr 24, 2025
- Corporate clients · 10 to 24Mar 25, 2024 to Apr 24, 2025
- HNW clients · 140 to 238Mar 25, 2024 to Apr 24, 2025
- Individual clients · 1,785 to 2,108Mar 25, 2024 to Apr 24, 2025
- Assets in custody · $1.4B to $1.1BMar 25, 2024 to Apr 24, 2025
- Discretionary RAUM · $1.3B to $2.1BMar 25, 2024 to Apr 24, 2025
- HNW RAUM · $488M to $1.2BMar 25, 2024 to Apr 24, 2025
- Individual RAUM · $765M to $883MMar 25, 2024 to Apr 24, 2025
- RAUM · $1.3B to $2.1BMar 25, 2024 to Apr 24, 2025
- Related insurance company · false to trueMar 25, 2024 to Apr 24, 2025
- Accounts · 2,037 to 2,093Mar 7, 2024 to Mar 25, 2024
- Advisory employees · 45 to 50Mar 7, 2024 to Mar 25, 2024
- BD registered reps · 16 to 20Mar 7, 2024 to Mar 25, 2024
- Corporate clients · 43 to 10Mar 7, 2024 to Mar 25, 2024
- HNW clients · 112 to 140Mar 7, 2024 to Mar 25, 2024
- Individual clients · 1,784 to 1,785Mar 7, 2024 to Mar 25, 2024
- Assets in custody · $1.1B to $1.4BMar 7, 2024 to Mar 25, 2024
- Employees · 45 to 50Mar 7, 2024 to Mar 25, 2024
- State-registered IARs · 20 to 24Mar 7, 2024 to Mar 25, 2024
- Discretionary RAUM · $1.1B to $1.3BMar 7, 2024 to Mar 25, 2024
- HNW RAUM · $410M to $488MMar 7, 2024 to Mar 25, 2024
- Individual RAUM · $660M to $765MMar 7, 2024 to Mar 25, 2024
- RAUM · $1.1B to $1.3BMar 7, 2024 to Mar 25, 2024
- Advisory employees · 35 to 45Nov 30, 2023 to Jan 2, 2024
- BD registered reps · 12 to 16Nov 30, 2023 to Jan 2, 2024
- Employees · 35 to 45Nov 30, 2023 to Jan 2, 2024
- State-registered IARs · 18 to 20Nov 30, 2023 to Jan 2, 2024
- Other offices · 6 to 7Nov 30, 2023 to Jan 2, 2024
- Other offices · 5 to 6May 3, 2023 to May 30, 2023
Signals
8 dated events
- T•••••• W••••••• G•••••• left C••••••••• W••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-10-29)Oct 28, 2025 · a•••••• firm change · fact
- W•••••• M•••••• R•••••• left C••••••••• W••••• for K•••• A••••••• R•••••• I••••••••• M••••••••• L•• (registered 2025-08-15)Aug 6, 2025 · a•••••• firm change · fact
- A•••••••• B••••••••• B••••• left C••••••••• W••••• for Savvy (registered 2026-01-28)Jun 3, 2025 · a•••••• firm change · fact
- C••••••••• W••••• reported RAUM $2.1B, up 63% from $1.3B (2024-03-25 to 2025-04-24)Apr 24, 2025 · RAUM change · derived
- 2 advisors left S••••• W••••• A•••••••• I••• (Tampa, FL) for C••••••••• W••••• on the same dayJan 30, 2024 · Team lift-out · derived
- Todd Brian Needleman (Partner) no longer on Schedule A of C••••••••• W••••• (listed 2020-06-23, absent 2020-07-31)Jul 31, 2020 · Control person left · inference
- Edward Joseph Sweeney (Partner) no longer on Schedule A of C••••••••• W••••• (listed 2019-12-03, absent 2019-12-20)Dec 20, 2019 · Control person left · inference
- C••••••••• W••••• G••••• L•• filed its initial SEC registration (Form ADV)Nov 14, 2017 · 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
- 704-987-3410reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/F••••-FINANCIAL-PARTNERSreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/C•••••••••-FINANCIAL-PARTNERS-INCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- CWGRETIRE.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 704-987-3410reportedpublic record, Form ADV, Aug 3, 2026
- Team page
- cwgadvisors.com/our-teamreportedpublished 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
- $82.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026