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
F••••• W••••• P•••••••• L••
Latest filing May 11, 2026
First filing on the tape Dec 21, 2021 · 16 filings
SEC status approved since Jan 21, 2022
RAUM
$392M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$364M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$65.4M
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$392M as of May 11, 2026
Feb 1, 2023$159M then
HNW client RAUM$299M as of May 11, 2026
Feb 1, 2023$120M then
State-registered IARs (5.B.3)6 as of May 11, 2026
Feb 1, 20234 then
Employees (5.A)11 as of May 11, 2026
Feb 1, 20237 then
Private funds: no history
RAUM +26% over the last fiscal year+35% a year over threeIARs 6 to 6
Practice profile
derived from the filing of May 11, 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
- i••••••••• 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
- RAUM per advisor
- $65.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $384,751derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 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$299M76%
- Individuals$65.1M17%
- Charitable organizations$24.5M6.2%
- Corporations and businesses$2.4M0.6%
- Pension and profit-sharing plans$1.4M0.4%
- Individual clients
- 206reported
- HNW clients
- 60reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,020reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••• A•••• F••••Certified Financial Planner | Matthews, Nc | Jan 24, 2022 | 11 y | 3 |
| R••••• S••••• D••Certified Financial Planner | Matthews, Nc | Jan 24, 2022 | 11 y | 2 |
| B•••• L•• H••••••Certified Financial Planner | Matthews, Nc | Jan 24, 2022 | 11 y | 2 |
| R••• R• K••••• | Matthews, Nc | Aug 7, 2023 | 13 y | 0 |
| B•••• M•••••• B•••Certified Financial Planner | Matthews, Nc | Mar 4, 2024 | 18 y | 1 |
| T••••• E••••• D••••••Certified Financial Planner | Salem, Sc | Jan 1, 2026 | 36 y | 6 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- I•••• T••••••• C••••••• to V••••••• A•••••••• I•••Apr 15, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- T••••• E••••• D•••••• from I••••••••• A•••••• A•••••••• L••Jan 1, 2026 · RIA to RIA
- B•••• M•••••• B••• from V••••••• A•••••••• I•••Mar 4, 2024 · Affiliated broker-dealer or bank to independent RIA
- N••••• A•••• F•••• from I••••••••• A•••••• A•••••••• L••Jan 24, 2022 · RIA to a newly registered adviser
- R••••• S••••• D•• from I••••••••• A•••••• A•••••••• L••Jan 24, 2022 · RIA to a newly registered adviser
- B•••• L•• H•••••• from I••••••••• A•••••• A•••••••• L••Jan 24, 2022 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from I••••••••• A•••••• A•••••••• L••Jan 26, 2022 · Matthews, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• T•••••• E••••• · Founding Member, Stewardship Coachcontrolsince 01/2003 · owns 50% to 75%
- D••• R•••••• S••••• · Chief Compliance Officer, Managing Member, Stewardship Coachcontrolsince 01/2019 · owns 10% to 25%
- F••••• N•••••• A•••• · Managing Member, Stewardship Coachcontrolsince 01/2019 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Matthews, Nc · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 886 to 1,020Oct 6, 2025 to Feb 18, 2026
- HNW clients · 54 to 60Oct 6, 2025 to Feb 18, 2026
- Individual clients · 190 to 206Oct 6, 2025 to Feb 18, 2026
- Employees · 9 to 11Oct 6, 2025 to Feb 18, 2026
- Discretionary RAUM · $312M to $392MOct 6, 2025 to Feb 18, 2026
- HNW RAUM · $237M to $299MOct 6, 2025 to Feb 18, 2026
- Individual RAUM · $48.1M to $65.1MOct 6, 2025 to Feb 18, 2026
- Pension RAUM · $2.6M to $1.4MOct 6, 2025 to Feb 18, 2026
- RAUM · $312M to $392MOct 6, 2025 to Feb 18, 2026
- Accounts · 733 to 886Sep 20, 2024 to Apr 15, 2025
- Advisory employees · 7 to 6Sep 20, 2024 to Apr 15, 2025
- HNW clients · 48 to 54Sep 20, 2024 to Apr 15, 2025
- Individual clients · 165 to 190Sep 20, 2024 to Apr 15, 2025
- Pension plan clients · 0.0 to unsetSep 20, 2024 to Apr 15, 2025
- Employees · 10 to 9Sep 20, 2024 to Apr 15, 2025
- Financial planning clients · 51-100 to 51-100Sep 20, 2024 to Apr 15, 2025
- State-registered IARs · 7 to 6Sep 20, 2024 to Apr 15, 2025
- Discretionary RAUM · $210M to $312MSep 20, 2024 to Apr 15, 2025
- HNW RAUM · $162M to $237MSep 20, 2024 to Apr 15, 2025
- Individual RAUM · $32.6M to $48.1MSep 20, 2024 to Apr 15, 2025
- Pension RAUM · $0 to $2.6MSep 20, 2024 to Apr 15, 2025
- RAUM · $210M to $312MSep 20, 2024 to Apr 15, 2025
- Accounts · 655 to 733Oct 11, 2023 to Mar 22, 2024
- Advisory employees · 5 to 7Oct 11, 2023 to Mar 22, 2024
- Charity clients · 2.0 to unsetOct 11, 2023 to Mar 22, 2024
- Corporate clients · 2.0 to unsetOct 11, 2023 to Mar 22, 2024
- HNW clients · 40 to 48Oct 11, 2023 to Mar 22, 2024
- Individual clients · 135 to 165Oct 11, 2023 to Mar 22, 2024
- Pension plan clients · 3 to 0Oct 11, 2023 to Mar 22, 2024
- Pooled vehicle clients · unset to 0.0Oct 11, 2023 to Mar 22, 2024
- Employees · 7 to 10Oct 11, 2023 to Mar 22, 2024
- State-registered IARs · 5 to 7Oct 11, 2023 to Mar 22, 2024
- Discretionary RAUM · $159M to $210MOct 11, 2023 to Mar 22, 2024
- HNW RAUM · $120M to $162MOct 11, 2023 to Mar 22, 2024
- Individual RAUM · $26.4M to $32.6MOct 11, 2023 to Mar 22, 2024
- Pension RAUM · $1.7M to $0Oct 11, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · unset to 0.0Oct 11, 2023 to Mar 22, 2024
- RAUM · $159M to $210MOct 11, 2023 to Mar 22, 2024
- Advisory employees · 4 to 5Mar 9, 2023 to Jun 16, 2023
- State-registered IARs · 4 to 5Mar 9, 2023 to Jun 16, 2023
Signals
4 dated events
- I•••• T••••••• C••••••• left F••••• W••••• P•••••••• L•• for V••••••• A•••••••• I••• (registered 2025-09-02)Apr 15, 2025 · a•••••• firm change · fact
- F••••• W••••• P•••••••• L•• reported RAUM $312.1M, up 48% from $210.4M (2024-09-20 to 2025-04-15)Apr 15, 2025 · RAUM change · derived
- 4 advisors left I••••••••• A•••••• A•••••••• L•• (M••••••s, NC) for F••••• W••••• P•••••••• L•• on the same dayJan 26, 2022 · Team lift-out · derived
- F••••• W••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Dec 21, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- F••••• W••••• P•••••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 704-321-0152reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 866-682-5062reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/69389212reportedpublic record, Form ADV, Sep 18, 2026
- Website
- fwpnc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (704) 321-0152reportedpublic record, Form ADV, May 11, 2026
- Team page
- fwpnc.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- $65.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026