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

Y••••••••• W••••• S••••••••• L••

Former SEC-registered adviserCharlotte, North CarolinaCRD 299111SEC 801-114252IAPD
Latest filing Jun 27, 2019
First filing on the tape Oct 5, 2018 · 11 filings
RAUM
$71.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$71.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$71.1M as of Jun 27, 2019
Oct 5, 2018$0 then
HNW client RAUM$26.3M as of Jun 27, 2019
Oct 5, 2018$0 then
State-registered IARs (5.B.3)2 as of Jun 27, 2019
Oct 5, 20182 then
Employees (5.A)3 as of Jun 27, 2019
Oct 5, 20182 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 27, 2019; every figure names its basis
RAUM per advisor
$35.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
74derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$483,545derivedRAUM 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
2.0derived1 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, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
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
  • is a broker-dealer (6.A.1)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$44.7M63%
  • High-net-worth individuals$26.3M37%
Individual clients
130reported
HNW clients
17reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
147reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, commissionsreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • R••••••• J•••• · Chief Executive Officercontrol
    since 11/2018 · owns 25% to 50%
  • S•••••••• S••••• L•••• · Chief Compliance Officercontrol
    since 05/2019 · owns less than 5%
  • W•••••• L•••••• W••••• · Chief Investment Officercontrol
    since 11/2018 · owns 50% to 75%
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
  • BD registered reps · 0 to 2
    Apr 5, 2019 to Apr 23, 2019
  • Accounts · 0 to 147
    Oct 26, 2018 to Mar 27, 2019
  • HNW clients · 0 to 17
    Oct 26, 2018 to Mar 27, 2019
  • Individual clients · 0 to 130
    Oct 26, 2018 to Mar 27, 2019
  • Commission compensation · false to true
    Oct 26, 2018 to Mar 27, 2019
  • Employees · 2 to 3
    Oct 26, 2018 to Mar 27, 2019
  • Discretionary RAUM · $0 to $71.1M
    Oct 26, 2018 to Mar 27, 2019
  • HNW RAUM · $0 to $26.3M
    Oct 26, 2018 to Mar 27, 2019
  • Individual RAUM · $0 to $44.7M
    Oct 26, 2018 to Mar 27, 2019
  • RAUM · $0 to $71.1M
    Oct 26, 2018 to Mar 27, 2019
Signals
5 dated events
  • Louise Megan Castleman (Chief Compliance Officer) no longer on Schedule A of Y••••••••• W••••• S••••••••• L•• (listed 2019-04-23, absent 2019-06-24)
    Jun 24, 2019 · Control person left · inference
  • Leigh Stacy Sizemore (Chief Compliance Officer) appeared on Schedule A of Y••••••••• W••••• S••••••••• L••
    Jun 24, 2019 · Control person joined · fact
  • J•••• R•••••• (Chief Executive Officer) appeared on Schedule A of Y••••••••• W••••• S••••••••• L••
    Mar 27, 2019 · Control person joined · fact
  • W••••• L••••• W••••• (Chief Investment Officer) appeared on Schedule A of Y••••••••• W••••• S••••••••• L••
    Mar 27, 2019 · Control person joined · fact
  • Y••••••••• W••••• S••••••••• L•• filed its initial SEC registration (Form ADV)
    Oct 5, 2018 · 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