DFX Intelligence
RIA Intelligence
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SEC-registered adviser
A••••• W••••• M••••••••• L••
Latest filing May 20, 2026
First filing on the tape Jul 16, 2019 · 18 filings
SEC status approved since Aug 13, 2019
RAUM
$1.3B
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
96%
$1.2B individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$158M
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$1.3B as of May 20, 2026
Mar 20, 2020$492M then
HNW client RAUM$1.1B as of May 20, 2026
Mar 20, 2020$449M then
State-registered IARs (5.B.3)7 as of May 20, 2026
Mar 20, 20203 then
Employees (5.A)9 as of May 20, 2026
Mar 20, 20204 then
Private funds: no history
RAUM +15% over the last fiscal year+19% a year over threeIARs 7 to 7offices 1 to 2
Practice profile
derived from the filing of May 20, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $158MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $510,902derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 3.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 2.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $1.2BreportedItem 5.I
- Custody
- $317M, 365 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)
- 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$1.1B90%
- Individuals$83.1M6.6%
- Charitable organizations$30.7M2.4%
- Pension and profit-sharing plans$12.9M1.0%
- Corporations and businesses$2.6M0.2%
- Individual clients
- 288reported
- HNW clients
- 377reported
- Pension plan clients
- 10reported
- Charitable clients
- 9reported
- Accounts
- 2,468reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $317M for 365 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• L• M•••••Certified Financial Planner | Chapel Hill, Nc | Nov 20, 2019 | 18 y | 1 |
| M•••••• F••••••• A••••• | Raleigh, Nc | Dec 2, 2019 | 30 y | 2 |
| J••••••• L••• O••••••Certified Financial Planner | Chapel Hill, Nc | Dec 2, 2019 | 29 y | 2 |
| R••••• L•• R•••••Certified Financial Planner | Raleigh, Nc | Mar 26, 2021 | 15 y | 0 |
| Z••••••• W••••• | Raleigh, Nc | May 18, 2021 | 11 y | 1 |
| W•••••• S••••• B•••Chartered Financial Analyst | Chapel Hill, Nc | Jan 25, 2022 | 12 y | 0 |
| C•••••••• M•••• F••••••••• | Chapel Hill, Nc | Jun 6, 2024 | 23 y | 0 |
| J••••••• S• G•••••Certified Financial Planner | Raleigh, Nc | Aug 21, 2026 | 10 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
none on the tape
Joined, latest
- Z••••••• W••••• from W•••• F•••• A•••••••May 18, 2021 · Wirehouse to independent RIA
- J••••••• L••• O•••••• from W•••• F•••• A•••••••Dec 2, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• F••••••• A••••• from W•••• F•••• A•••••••Dec 2, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- K•••• L• M••••• from W•••• F•••• A•••••••Nov 20, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from W•••• F•••• A•••••••Nov 21, 2019 · North Wilkesboro, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• M••••••• F••••••• · Managing Director & Presidentcontrolsince 07/2019 · owns 75% or more
- M•••••• K••••• L• · Chief Compliance Officercontrolsince 07/2019 · owns less than 5%
- O••••••• J•••••••• L••• · Senior Wealth Plannersince 07/2019 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Chapel Hill, Nc · principal | 8 | 1 | 0 | ||
| Raleigh, Nc | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Raleigh, NC4 employees
What changed
consecutive filings, newest first
- Accounts · 2,430 to 2,468Sep 26, 2025 to Mar 19, 2026
- Charity clients · 8 to 9Sep 26, 2025 to Mar 19, 2026
- Corporate clients · 4 to 7Sep 26, 2025 to Mar 19, 2026
- HNW clients · 296 to 377Sep 26, 2025 to Mar 19, 2026
- Individual clients · 353 to 288Sep 26, 2025 to Mar 19, 2026
- Pension plan clients · unset to 10.0Sep 26, 2025 to Mar 19, 2026
- Assets in custody · $292M to $317MSep 26, 2025 to Mar 19, 2026
- Employees · 8 to 9Sep 26, 2025 to Mar 19, 2026
- Discretionary RAUM · $1.0B to $1.2BSep 26, 2025 to Mar 19, 2026
- HNW RAUM · $987M to $1.1BSep 26, 2025 to Mar 19, 2026
- Individual RAUM · $77.2M to $83.1MSep 26, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $87.6M to $93.4MSep 26, 2025 to Mar 19, 2026
- Pension RAUM · unset to 12902351.0Sep 26, 2025 to Mar 19, 2026
- RAUM · $1.1B to $1.3BSep 26, 2025 to Mar 19, 2026
- Financial planning clients · 0 to 0Aug 1, 2025 to Sep 26, 2025
- Other offices · 1 to 2Mar 28, 2025 to Aug 1, 2025
- Accounts · 2,269 to 2,430Jul 3, 2024 to Mar 28, 2025
- Advisory employees · 6 to 7Jul 3, 2024 to Mar 28, 2025
- Charity clients · 7 to 8Jul 3, 2024 to Mar 28, 2025
- HNW clients · 257 to 296Jul 3, 2024 to Mar 28, 2025
- Individual clients · 330 to 353Jul 3, 2024 to Mar 28, 2025
- Assets in custody · $229M to $292MJul 3, 2024 to Mar 28, 2025
- State-registered IARs · 6 to 7Jul 3, 2024 to Mar 28, 2025
- Discretionary RAUM · $872M to $1.0BJul 3, 2024 to Mar 28, 2025
- HNW RAUM · $789M to $987MJul 3, 2024 to Mar 28, 2025
- Individual RAUM · $120M to $77.2MJul 3, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $72.7M to $87.6MJul 3, 2024 to Mar 28, 2025
- RAUM · $944M to $1.1BJul 3, 2024 to Mar 28, 2025
- Accounts · 1,910 to 2,269Mar 22, 2023 to Mar 22, 2024
- Charity clients · unset to 7.0Mar 22, 2023 to Mar 22, 2024
- Corporate clients · 5 to 4Mar 22, 2023 to Mar 22, 2024
- HNW clients · 239 to 257Mar 22, 2023 to Mar 22, 2024
- Individual clients · 272 to 330Mar 22, 2023 to Mar 22, 2024
- Assets in custody · $182M to $229MMar 22, 2023 to Mar 22, 2024
- Employees · 7 to 8Mar 22, 2023 to Mar 22, 2024
- Discretionary RAUM · $698M to $872MMar 22, 2023 to Mar 22, 2024
- HNW RAUM · $621M to $789MMar 22, 2023 to Mar 22, 2024
- Individual RAUM · $91.3M to $120MMar 22, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $53.0M to $72.7MMar 22, 2023 to Mar 22, 2024
- RAUM · $751M to $944MMar 22, 2023 to Mar 22, 2024
Signals
3 dated events
- A••••• W••••• M••••••••• L•• reported RAUM $944.3M, up 26% from $750.6M (2023-03-22 to 2024-03-22)Mar 22, 2024 · RAUM change · derived
- A••••• W••••• M••••••••• L•• reported RAUM $813.3M, up 34% from $609.0M (2021-11-05 to 2022-03-21)Mar 21, 2022 · RAUM change · derived
- A••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 16, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 919-283-2340reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 919-283-2340reportedpublic record, Form ADV, May 20, 2026
- Contact form
- a•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Team page
- a•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $158Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026