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
W•••• O•• W••••• P•••••••
Legal name T•• T••••••••• G••••• I•••
Latest filing Mar 20, 2026
First filing on the tape Nov 1, 2021 · 5 filings
SEC status approved since Apr 20, 2026
RAUM
$110M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$97.2M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$110M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$110M as of Mar 20, 2026
Nov 1, 2021$0 then
HNW client RAUM$83.4M as of Mar 20, 2026
Mar 31, 2022$71.5M then
State-registered IARs (5.B.3)1 as of Mar 20, 2026
Nov 1, 20212 then
Employees (5.A)2 as of Mar 20, 2026
Nov 1, 20212 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 20, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $110MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $511,389derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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 assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$83.4M75%
- Individuals$13.9M13%
- Corporations and businesses$13.2M12%
- Individual clients
- 46reported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 216reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• A••••• T••••••••• | Raleigh, Nc | Jan 6, 2022 | 30 y | 3 |
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
- B•••••• A••••• T••••••••• from K••••• A••••••• S•••••••• L••Jan 6, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••••••• B••••••• A••••• · Presidentcontrolsince 11/2021 · owns 75% or more
- Y••••• C•••••• M• · Chief Compliance Officersince 11/2021 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 20, 2026financial planning (Item 5.G.1): no on the filing of 2022-05-20, yes on the filing of 2026-03-20peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 125 to 216May 20, 2022 to Mar 20, 2026
- Advisory activities · 2 to 3May 20, 2022 to Mar 20, 2026
- Corporate clients · 3 to 5May 20, 2022 to Mar 20, 2026
- HNW clients · 22 to 27May 20, 2022 to Mar 20, 2026
- Individual clients · 58 to 46May 20, 2022 to Mar 20, 2026
- Pension plan clients · 2.0 to unsetMay 20, 2022 to Mar 20, 2026
- Financial planning clients · 0 to 26-50May 20, 2022 to Mar 20, 2026
- Discretionary RAUM · $93.2M to $110MMay 20, 2022 to Mar 20, 2026
- HNW RAUM · $71.5M to $83.4MMay 20, 2022 to Mar 20, 2026
- Individual RAUM · $9.5M to $13.9MMay 20, 2022 to Mar 20, 2026
- Pension RAUM · 3269025.0 to unsetMay 20, 2022 to Mar 20, 2026
- RAUM · $93.2M to $110MMay 20, 2022 to Mar 20, 2026
- Legal name · T•• T••••••••• G•••• to T•• T••••••••• G••••• I•••Apr 12, 2022 to May 20, 2022
- Custody of client assets · true to falseMar 31, 2022 to Apr 12, 2022
- Accounts · 0 to 125Nov 1, 2021 to Mar 31, 2022
- Advisory activities · 3 to 2Nov 1, 2021 to Mar 31, 2022
- Business name · T•• T••••••••• G•••• to W•••• O•• W••••• P•••••••Nov 1, 2021 to Mar 31, 2022
- Corporate clients · unset to 3.0Nov 1, 2021 to Mar 31, 2022
- HNW clients · unset to 22.0Nov 1, 2021 to Mar 31, 2022
- Individual clients · unset to 58.0Nov 1, 2021 to Mar 31, 2022
- Pension plan clients · unset to 2.0Nov 1, 2021 to Mar 31, 2022
- Commission compensation · true to falseNov 1, 2021 to Mar 31, 2022
- State-registered IARs · 2 to 1Nov 1, 2021 to Mar 31, 2022
- Discretionary RAUM · $0 to $93.2MNov 1, 2021 to Mar 31, 2022
- HNW RAUM · unset to 71495123.0Nov 1, 2021 to Mar 31, 2022
- Individual RAUM · unset to 9468923.0Nov 1, 2021 to Mar 31, 2022
- Pension RAUM · unset to 3269025.0Nov 1, 2021 to Mar 31, 2022
- RAUM · $0 to $93.2MNov 1, 2021 to Mar 31, 2022
Signals
1 dated events
- T•• T••••••••• G•••• filed its initial SEC registration (Form ADV)Nov 1, 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 phone
- 919-858-6490reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 919-858-6490reportedpublic record, Form ADV, Mar 20, 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
- $110Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026