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
P•••••• C••••••••• W••••• M••••••••• L••
Latest filing Jun 13, 2025
First filing on the tape Dec 11, 2020 · 8 filings
SEC status approved since Apr 17, 2025
RAUM
$131M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$128M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$131M as of Jun 13, 2025
Apr 17, 2025$131M then
HNW client RAUM$92.1M as of Jun 13, 2025
Apr 17, 2025$92.1M then
State-registered IARs (5.B.3)7 as of Jun 13, 2025
Apr 17, 20257 then
Employees (5.A)7 as of Jun 13, 2025
Apr 17, 20257 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 13, 2025; every figure names its basis
- RAUM per advisor
- $18.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $249,049derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 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 assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $23.1M, 56 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$92.1M70%
- Individuals$35.8M27%
- Other investment advisers$3.1M2.4%
- Individual clients
- 107reported
- HNW clients
- 34reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 526reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $23.1M for 56 clientsreported
- Compensation
- % of AUMreported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days6 left over 36 months
Left, latest
- A•••• T• O•••• to B•••••••• A•••• M••••••••• L••Jun 17, 2026 · RIA to RIA
- M•••••• R•••• L••••• to B•••••••• A•••• M••••••••• L••Jun 17, 2026 · RIA to RIA
- N••••••• C•••• H•••••• to E••••••• P•••••• W•••••Apr 21, 2025 · RIA to RIA
- T••• L•••• D••••••••• to E••••••• P•••••• W•••••Apr 15, 2025 · Other
- C•••••••• M•••• S••••••• to E••••••• P•••••• W•••••Apr 15, 2025 · Other
- D••••• R•••••• D••••• to E••••••• P•••••• W•••••Apr 15, 2025 · Other
Joined, latest
- M•••••• R•••• L••••• from W•••• F•••• A•••••••Dec 15, 2023 · Other
- A•••• T• O•••• from M••••• A•••••••• L••Jan 19, 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 left for B•••••••• A•••• M••••••••• L••Jun 17, 2026 · Weddington, Nc
- 3 left for E••••••• P•••••• W•••••Apr 15, 2025 · Weddington, Nc · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••• A••••• T• · Managing Principal / Ccocontrolsince 01/2021 · 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 |
|---|---|---|---|---|---|
| Charlotte, Nc | 0 | 0 | 1 | ||
| Weddington, Nc | 0 | 0 | 0 | ||
| Brookfield, Wi | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Weddington, NC1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Apr 17, 2025 to Jun 13, 2025
- Other offices · 4 to 1Apr 17, 2025 to Jun 13, 2025
- Accounts · 0 to 526May 17, 2021 to Apr 17, 2025
- Advisory employees · 4 to 7May 17, 2021 to Apr 17, 2025
- Advisory activities · 1 to 2May 17, 2021 to Apr 17, 2025
- BD registered reps · 0 to 1May 17, 2021 to Apr 17, 2025
- HNW clients · unset to 34.0May 17, 2021 to Apr 17, 2025
- Individual clients · unset to 107.0May 17, 2021 to Apr 17, 2025
- Assets in custody · unset to 23100000.0May 17, 2021 to Apr 17, 2025
- Custody of client assets · false to trueMay 17, 2021 to Apr 17, 2025
- Employees · 4 to 7May 17, 2021 to Apr 17, 2025
- HQ city · unset to May 17, 2021 to Apr 17, 2025
- HQ state · unset to May 17, 2021 to Apr 17, 2025
- State-registered IARs · 4 to 7May 17, 2021 to Apr 17, 2025
- Other offices · 2 to 4May 17, 2021 to Apr 17, 2025
- Discretionary RAUM · $0 to $131MMay 17, 2021 to Apr 17, 2025
- HNW RAUM · unset to 92100000.0May 17, 2021 to Apr 17, 2025
- Individual RAUM · unset to 35800000.0May 17, 2021 to Apr 17, 2025
- RAUM · $0 to $131MMay 17, 2021 to Apr 17, 2025
- Advisory employees · 3 to 4May 12, 2021 to May 17, 2021
- Employees · 3 to 4May 12, 2021 to May 17, 2021
- State-registered IARs · 3 to 4May 12, 2021 to May 17, 2021
- Other offices · 1 to 2May 12, 2021 to May 17, 2021
- Other offices · 0 to 1Jan 26, 2021 to Feb 17, 2021
Signals
10 dated events
- P•••••• C••••••••• W••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2026-06-01, RAUM $131.0M)Jul 1, 2026 · Left the SEC roster · derived
- M•••••• R•••• L••••• left P•••••• C••••••••• W••••• M••••••••• L•• for B•••••••• A•••• M••••••••• L•• (registered 2026-06-18)Jun 17, 2026 · Advisor changed firm · fact
- A•••• T• O•••• left P•••••• C••••••••• W••••• M••••••••• L•• for B•••••••• A•••• M••••••••• L•• (registered 2026-06-17)Jun 17, 2026 · Advisor changed firm · fact
- 2 advisors left P•••••• C••••••••• W••••• M••••••••• L•• (Weddington, NC) for B•••••••• A•••• M••••••••• L•• on the same dayJun 17, 2026 · Team lift-out · derived
- N••••••• C•••• H•••••• left P•••••• C••••••••• W••••• M••••••••• L•• for E••••••• P•••••• W••••• (registered 2026-01-02)Apr 21, 2025 · Advisor changed firm · fact
- D••••• R•••••• D••••• left P•••••• C••••••••• W••••• M••••••••• L•• for E••••••• P•••••• W••••• (registered 2025-04-15)Apr 15, 2025 · Advisor changed firm · fact
- T••• L•••• D••••••••• left P•••••• C••••••••• W••••• M••••••••• L•• for E••••••• P•••••• W••••• (registered 2025-04-15)Apr 15, 2025 · Advisor changed firm · fact
- C•••••••• M•••• S••••••• left P•••••• C••••••••• W••••• M••••••••• L•• for E••••••• P•••••• W••••• (registered 2025-04-15)Apr 15, 2025 · Advisor changed firm · fact
- P•••••• C••••••••• W••••• M••••••••• L••'s advisors moved to E••••••• P•••••• W••••• (Weddington, NC): 3 of 6 registered, within 6 daysApr 15, 2025 · Firm absorbed (people side) · derived
- P•••••• C••••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 11, 2020 · 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
- Firm profile
- linkedin.com/company/purposecwmreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 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
- 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