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
M•••••••• W•••••
Legal name C•••••• D••••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Jun 24, 2019 · 17 filings
SEC status approved since Jul 22, 2019
RAUM
$221M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
99%
$219M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$221M as of Mar 19, 2026
Mar 2, 2020$113M then
HNW client RAUM$153M as of Mar 19, 2026
Mar 2, 2020$46.7M then
State-registered IARs (5.B.3)3 as of Mar 19, 2026
Mar 2, 20202 then
Employees (5.A)5 as of Mar 19, 2026
Mar 2, 20204 then
Private funds: no history
RAUM +12% over the last fiscal year+15% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
- RAUM per advisor
- $73.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $321,448derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.6%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $4.4M, 7 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)
- 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$153M69%
- Individuals$65.3M29%
- Charitable organizations$2.9M1.3%
- Individual clients
- 159reported
- HNW clients
- 67reported
- Pension plan clients
- 2reported
- Charitable clients
- 2reported
- Accounts
- 689reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.4M for 7 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
Left, latest
- C••••••••• R••• H•••• to I••••••••• W••••• C••••••• L••May 11, 2026 · RIA to RIA
- R••••• B••••• H•••• to I••••••••• W••••• C••••••• L••May 11, 2026 · RIA to RIA
- D•••• R•••• H••• to I••••••••• W••••• C••••••• L••May 11, 2026 · RIA to RIA
- B•••••• M•• B••••• to B••• S••••••••• L••Jan 6, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- B•••••• M•• B••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Feb 20, 2018 · Affiliated broker-dealer or bank to independent RIA
- D•••• R•••• H••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Feb 20, 2018 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for I••••••••• W••••• C••••••• L••May 11, 2026 · Greenville, Nc · Firm absorbed
- 2 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Apr 2, 2018 · Greenville, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• D••••• R•••• · Owner/ Managing Member/Ccocontrolsince 09/2012 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Greenville, Nc · principal | 0 | 0 | 3 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 646 to 689Oct 3, 2025 to Mar 19, 2026
- Advisory employees · 2 to 3Oct 3, 2025 to Mar 19, 2026
- Charity clients · 3 to 2Oct 3, 2025 to Mar 19, 2026
- HNW clients · 66 to 67Oct 3, 2025 to Mar 19, 2026
- Individual clients · 148 to 159Oct 3, 2025 to Mar 19, 2026
- Pension plan clients · 1 to 2Oct 3, 2025 to Mar 19, 2026
- Assets in custody · $3.9M to $4.4MOct 3, 2025 to Mar 19, 2026
- Employees · 4 to 5Oct 3, 2025 to Mar 19, 2026
- Financial planning clients · 0 to 1-10Oct 3, 2025 to Mar 19, 2026
- State-registered IARs · 2 to 3Oct 3, 2025 to Mar 19, 2026
- Discretionary RAUM · $197M to $217MOct 3, 2025 to Mar 19, 2026
- HNW RAUM · $145M to $153MOct 3, 2025 to Mar 19, 2026
- Individual RAUM · $53.0M to $65.3MOct 3, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $1.4M to $4.1MOct 3, 2025 to Mar 19, 2026
- RAUM · $198M to $221MOct 3, 2025 to Mar 19, 2026
- Financial planning clients · 0 to 0Feb 25, 2025 to Oct 3, 2025
- Accounts · 705 to 646Sep 17, 2024 to Feb 25, 2025
- Charity clients · 2 to 3Sep 17, 2024 to Feb 25, 2025
- HNW clients · 56 to 66Sep 17, 2024 to Feb 25, 2025
- Individual clients · 141 to 148Sep 17, 2024 to Feb 25, 2025
- Pension plan clients · unset to 1.0Sep 17, 2024 to Feb 25, 2025
- Assets in custody · $5.5M to $3.9MSep 17, 2024 to Feb 25, 2025
- Discretionary RAUM · $160M to $197MSep 17, 2024 to Feb 25, 2025
- HNW RAUM · $112M to $145MSep 17, 2024 to Feb 25, 2025
- Individual RAUM · $49.3M to $53.0MSep 17, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $2.9M to $1.4MSep 17, 2024 to Feb 25, 2025
- Pension RAUM · unset to 0.0Sep 17, 2024 to Feb 25, 2025
- RAUM · $163M to $198MSep 17, 2024 to Feb 25, 2025
- Accounts · 593 to 705Mar 6, 2023 to Mar 6, 2024
- Advisory employees · 3 to 2Mar 6, 2023 to Mar 6, 2024
- HNW clients · 55 to 56Mar 6, 2023 to Mar 6, 2024
- Individual clients · 134 to 141Mar 6, 2023 to Mar 6, 2024
- Assets in custody · $6.2M to $5.5MMar 6, 2023 to Mar 6, 2024
- State-registered IARs · 1 to 2Mar 6, 2023 to Mar 6, 2024
- Discretionary RAUM · $142M to $160MMar 6, 2023 to Mar 6, 2024
- HNW RAUM · $98.3M to $112MMar 6, 2023 to Mar 6, 2024
- Individual RAUM · $45.3M to $49.3MMar 6, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $2.8M to $2.9MMar 6, 2023 to Mar 6, 2024
- RAUM · $145M to $163MMar 6, 2023 to Mar 6, 2024
- Accounts · 672 to 593Feb 3, 2022 to Mar 6, 2023
Signals
7 dated events
- M•••••••• W••••• no longer on the SEC adviser roster (last listed 2026-05-01, RAUM $221.5M)Jun 1, 2026 · Left the SEC roster · derived
- C••••••••• R••• H•••• left M•••••••• W••••• for I••••••••• W••••• C••••••• L•• (registered 2026-05-11)May 11, 2026 · Advisor changed firm · fact
- D•••• R•••• H••• left M•••••••• W••••• for I••••••••• W••••• C••••••• L•• (registered 2026-05-11)May 11, 2026 · Advisor changed firm · fact
- R••••• B••••• H•••• left M•••••••• W••••• for I••••••••• W••••• C••••••• L•• (registered 2026-05-11)May 11, 2026 · Advisor changed firm · fact
- M•••••••• W•••••'s advisors moved to I••••••••• W••••• C••••••• L•• (Greenville, NC): 3 of 3 registered, on the same dayMay 11, 2026 · Firm absorbed (people side) · derived
- Mai B•••••• B••••• (Chief Compliance Officer) no longer on Schedule A of M•••••••• W••••• (listed 2020-07-27, absent 2021-01-06)Jan 6, 2021 · Control person left · inference
- M•••••••• W••••• filed its initial SEC registration (Form ADV)Jun 24, 2019 · 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.
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