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•••••••• C•••••• A•••••••• L••
Latest filing Apr 17, 2026
First filing on the tape Aug 6, 2021 · 11 filings
SEC status approved since Sep 3, 2021
RAUM
$730M
reported, Item 5.F
Discretionary
64%
of RAUM
Private clients
60%
$440M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$243M
derived; firm RAUM over IAPD count
Employees
8
4 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$730M as of Apr 17, 2026
Mar 31, 2022$548M then
HNW client RAUM$340M as of Apr 17, 2026
Mar 31, 2022$230M then
State-registered IARs (5.B.3)4 as of Apr 17, 2026
Mar 31, 20224 then
Employees (5.A)8 as of Apr 17, 2026
Mar 31, 20227 then
Private funds: no history
RAUM +17% over the last fiscal year+13% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Apr 17, 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
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $243MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 142derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $458,509derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 64%derivedof RAUM
- Institutional
- 37%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -69%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $737,767, 9 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$340M47%
- Charitable organizations$273M37%
- Individuals$100M14%
- Corporations and businesses$16.8M2.3%
- Individual clients
- 294reported
- HNW clients
- 131reported
- Pension plan clients
- 0reported
- Charitable clients
- 11reported
- Accounts
- 1,592reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $737,767 for 9 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.6 fund_share=0.0 institutional_share=0.37 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• B••••• E••• | Raleigh, Nc | Oct 1, 2021 | 23 y | 2 |
| C•••• B••••••• H••••••Chartered Financial Analyst | Raleigh, Nc | Oct 1, 2021 | 43 y | 2 |
| K•••••• D•••• W•••••••Certified Financial Planner | Raleigh, Nc | Jul 23, 2026 | 12 y | 0 |
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 67% of current headcount2 left over 36 months
Left, latest
- W•••••• R•••••• H••••• to O•• H••••• W••••• P•••••••Apr 2, 2026 · RIA to a newly registered adviser
- B•••• M•••••• C•••••• to O•• H••••• W••••• P•••••••Apr 2, 2026 · RIA to a newly registered adviser
Joined, latest
- P••• B••••• E••• from R•••••• J•••• • A••••••••• I•••Oct 1, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- W•••••• R•••••• H••••• from R•••••• J•••• • A••••••••• I•••Oct 1, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- C•••• B••••••• H•••••• from R•••••• J•••• • A••••••••• I•••Oct 1, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- B•••• M•••••• C•••••• from R•••••• J•••• • A••••••••• I•••Oct 1, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R•••••• J•••• • A••••••••• I•••Oct 29, 2021 · Raleigh, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••• P•••• B••••• · Chief Compliance Officer, Managercontrolsince 10/2021 · owns 25% to 50%
- H••••••• C••••• B••••••• · Managercontrolsince 10/2021 · owns 25% to 50%
- H•••••• W••••••• R•••••• · Managercontrolsince 10/2021 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Raleigh, Nc · principal | 3 | 1 | 1 | ||
| Carmel, In | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Apr 17, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $623,140,608 to $729,946,694, advisors 4 to 4, private clients 1390 to 425, offices 0 to 0 (2025-03-27 to 2026-04-17)peers: independent wealth managers, $500M to $1B (1,482)
- HNW share shiftChange between filings · filing Apr 17, 2026HNW share of RAUM moved from 29.0% to 47.0% between the annual amendments of 2025-03-27 and 2026-04-17peers: independent wealth managers, $500M to $1B (1,482)
- client count collapseChange between filings · filing Apr 17, 2026individual and HNW clients (Item 5.D) moved from 1,390.0 to 425.0 (-69.0%) between the annual amendments of 2025-03-27 and 2026-04-17; the peer median change was +5.0% (1216 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,216) · 0.4% percentile
What changed
consecutive filings, newest first
- Business name · O•• H••••• W••••• P•••••••• L•• to C•••••••• C•••••• A•••••••• L••Mar 17, 2026 to Apr 17, 2026
- Legal name · O•• H••••• W••••• P•••••••• L•• to C•••••••• C•••••• A•••••••• L••Mar 17, 2026 to Apr 17, 2026
- Accounts · 1,480 to 1,592Mar 27, 2025 to Mar 17, 2026
- Charity clients · 81 to 11Mar 27, 2025 to Mar 17, 2026
- Corporate clients · 9 to 12Mar 27, 2025 to Mar 17, 2026
- HNW clients · 81 to 131Mar 27, 2025 to Mar 17, 2026
- Individual clients · 1,309 to 294Mar 27, 2025 to Mar 17, 2026
- Assets in custody · $4.7M to $737,767Mar 27, 2025 to Mar 17, 2026
- Discretionary RAUM · $457M to $465MMar 27, 2025 to Mar 17, 2026
- HNW RAUM · $180M to $340MMar 27, 2025 to Mar 17, 2026
- Individual RAUM · $190M to $100MMar 27, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $166M to $265MMar 27, 2025 to Mar 17, 2026
- RAUM · $623M to $730MMar 27, 2025 to Mar 17, 2026
- Accounts · 1,397 to 1,480Nov 25, 2024 to Mar 27, 2025
- Charity clients · 15 to 81Nov 25, 2024 to Mar 27, 2025
- Corporate clients · 5 to 9Nov 25, 2024 to Mar 27, 2025
- HNW clients · 105 to 81Nov 25, 2024 to Mar 27, 2025
- Individual clients · 295 to 1,309Nov 25, 2024 to Mar 27, 2025
- Assets in custody · $9.2M to $4.7MNov 25, 2024 to Mar 27, 2025
- Employees · 7 to 8Nov 25, 2024 to Mar 27, 2025
- Financial planning clients · 101-250 to 101-250Nov 25, 2024 to Mar 27, 2025
- Discretionary RAUM · $358M to $457MNov 25, 2024 to Mar 27, 2025
- HNW RAUM · $258M to $180MNov 25, 2024 to Mar 27, 2025
- Individual RAUM · $85.9M to $190MNov 25, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $208M to $166MNov 25, 2024 to Mar 27, 2025
- RAUM · $566M to $623MNov 25, 2024 to Mar 27, 2025
- Accounts · 1,318 to 1,397Mar 3, 2023 to Mar 12, 2024
- Advisory activities · 7 to 5Mar 3, 2023 to Mar 12, 2024
- Charity clients · 13 to 15Mar 3, 2023 to Mar 12, 2024
- Corporate clients · 3 to 5Mar 3, 2023 to Mar 12, 2024
- HNW clients · 78 to 105Mar 3, 2023 to Mar 12, 2024
- Individual clients · 329 to 295Mar 3, 2023 to Mar 12, 2024
- Assets in custody · unset to 9167820.0Mar 3, 2023 to Mar 12, 2024
- Custody of client assets · false to trueMar 3, 2023 to Mar 12, 2024
- Financial planning clients · 0 to 101-250Mar 3, 2023 to Mar 12, 2024
- Discretionary RAUM · $300M to $358MMar 3, 2023 to Mar 12, 2024
- HNW RAUM · $218M to $258MMar 3, 2023 to Mar 12, 2024
- Individual RAUM · $90.9M to $85.9MMar 3, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $208M to $208MMar 3, 2023 to Mar 12, 2024
- RAUM · $508M to $566MMar 3, 2023 to Mar 12, 2024
Signals
7 dated events
- B•••• M•••••• C•••••• left C•••••••• C•••••• A•••••••• L•• for O•• H••••• W••••• P••••••• (registered 2026-02-10)Apr 2, 2026 · Advisor changed firm · fact
- W•••••• R•••••• H••••• left C•••••••• C•••••• A•••••••• L•• for O•• H••••• W••••• P••••••• (registered 2026-02-10)Apr 2, 2026 · Advisor changed firm · fact
- Cleveland Jennifer Elam (Elected Manager, Cco) no longer on Schedule A of C•••••••• C•••••• A•••••••• L•• (listed 2021-08-10, absent 2021-10-01)Oct 1, 2021 · Control person left · inference
- Boddie Paul Elam (Chief Compliance Officer, Manager) appeared on Schedule A of C•••••••• C•••••• A•••••••• L••Oct 1, 2021 · Control person joined · fact
- Brattain Chris Harrell (Manager) appeared on Schedule A of C•••••••• C•••••• A•••••••• L••Oct 1, 2021 · Control person joined · fact
- Russell William Hesmer (Manager) appeared on Schedule A of C•••••••• C•••••• A•••••••• L••Oct 1, 2021 · Control person joined · fact
- O•• H••••• W••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Aug 6, 2021 · 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 email
- i•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- j•••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 919-322-5745reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 919-800-0705reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 919-981-9225reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- C••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 919-800-0705reportedpublic record, Form ADV, Apr 17, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Team page
- c•••••••••.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
- $243Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026