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
L••• W••••• A•••••••
Wealth manager with institutional or fund businessCharlotte, North CarolinaCRD 325041SEC 801-133992IAPD
Legal name L••• W••••• A••••••• G••••• L••
Latest filing Jan 29, 2026
First filing on the tape Jul 1, 2025 · 3 filings
SEC status approved since Jul 24, 2025
RAUM
$311M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
45%
$140M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$104M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$311M as of Jan 29, 2026
Jul 1, 2025$198M then
HNW client RAUM$138M as of Jan 29, 2026
Jul 1, 2025$89.3M then
State-registered IARs (5.B.3)3 as of Jan 29, 2026
Jul 1, 20253 then
Employees (5.A)3 as of Jan 29, 2026
Jul 1, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 29, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $104MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $453,960derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 55%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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
- portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
- Pension and profit-sharing plans$171M55%
- High-net-worth individuals$138M44%
- Individuals$2.8M0.9%
- Individual clients
- 8reported
- HNW clients
- 115reported
- Pension plan clients
- 102reported
- Charitable clients
- 0reported
- Accounts
- 686reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.45 fund_share=0.0 institutional_share=0.55 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 |
|---|---|---|---|---|
| W••••• W••••• L•••Certified Financial Planner | Charlotte, Nc | Mar 30, 2023 | 11 y | 2 |
| L••• D•••••• F•••••••••Certified Financial Planner | Charlotte, Nc | Mar 30, 2023 | 11 y | 1 |
| L•• T••••• M•••Certified Financial Planner | Charlotte, Nc | Aug 1, 2024 | 12 y | 1 |
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
- L•• T••••• M••• from V••••••• A•••••••• I•••Aug 1, 2024 · Affiliated broker-dealer or bank to independent RIA
- W••••• W••••• L••• from D••••••••• F••• A••••••• L•Mar 30, 2023 · Other
- L••• D•••••• F••••••••• from V••••••• A•••••••• I•••Mar 30, 2023 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••••• L•••• D•••••• · Chief Compliance Officercontrolsince 01/2026 · owns less than 5%
- L•••• W•••••• W••••• · Managercontrolsince 01/2023 · 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 · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Jan 29, 2026institutional share of RAUM of 55% against a peer median of 0% (5678 comparable advisers, 99.0th percentile, 18.4 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 99% percentile
- business activity changedChange between filings · filing Jan 29, 2026financial planning (Item 5.G.1): yes on the filing of 2025-10-22, no on the filing of 2026-01-29peers: independent wealth managers, $100M to $500M (5,678)
- business activity changedChange between filings · filing Jan 29, 2026selection of other advisers (Item 5.G.7): yes on the filing of 2025-10-22, no on the filing of 2026-01-29peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 495 to 686Oct 22, 2025 to Jan 29, 2026
- Advisory activities · 6 to 3Oct 22, 2025 to Jan 29, 2026
- HNW clients · 84 to 115Oct 22, 2025 to Jan 29, 2026
- Individual clients · 6 to 8Oct 22, 2025 to Jan 29, 2026
- Pension plan clients · 81 to 102Oct 22, 2025 to Jan 29, 2026
- Financial planning clients · 51-100 to 0Oct 22, 2025 to Jan 29, 2026
- Discretionary RAUM · $198M to $311MOct 22, 2025 to Jan 29, 2026
- HNW RAUM · $89.3M to $138MOct 22, 2025 to Jan 29, 2026
- Individual RAUM · $2.0M to $2.8MOct 22, 2025 to Jan 29, 2026
- Pension RAUM · $107M to $171MOct 22, 2025 to Jan 29, 2026
- RAUM · $198M to $311MOct 22, 2025 to Jan 29, 2026
Signals
1 dated events
- L••• W••••• A••••••• reported RAUM $311.4M, up 57% from $198.4M (2025-10-22 to 2026-01-29)Jan 29, 2026 · RAUM change · derived
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
- Principal office phone
- 704-424-9780reportedpublic record, Form ADV, Jan 29, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $104Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026