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
T•• P•••• W••••• M••••••••• L••
Latest filing Jul 20, 2026
First filing on the tape Feb 18, 2024 · 14 filings
SEC status approved since Mar 26, 2024
RAUM
$486M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$475M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$243M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$486M as of Jul 20, 2026
Feb 11, 2025$420M then
HNW client RAUM$440M as of Jul 20, 2026
Feb 11, 2025$374M then
State-registered IARs (5.B.3)2 as of Jul 20, 2026
Feb 11, 20253 then
Employees (5.A)4 as of Jul 20, 2026
Feb 11, 20254 then
Private funds: no history
RAUM +16% over the last fiscal yearIARs 3 to 2
Practice profile
derived from the filing of Jul 20, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $243MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 131derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $507,712derivedRAUM 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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $486MreportedItem 5.I
- Custody
- $64.6M, 88 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$440M91%
- Individuals$35.0M7.2%
- Corporations and businesses$11.2M2.3%
- Individual clients
- 118reported
- HNW clients
- 144reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 957reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $130M sponsored, $0 managedreported
- Custody of client assets
- $64.6M for 88 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••••• C••••••• R•••••••Certified Financial Planner | Southern P••••, Nc | Mar 28, 2024 | 11 y | 1 |
| H••••• E•••• N••••••Certified Financial Planner | Southern P••••, Nc | Mar 28, 2024 | 32 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 headcount1 left over 36 months
Left, latest
- C•••••• K• O•••••••• to C••••••••• F•••••••• N••••••Aug 14, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- H••••• E•••• N•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 28, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C•••••• K• O•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 28, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M••••••• C••••••• R••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 28, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 1, 2024 · P••••••••, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••••• H•••••• E•••• · Founder, Principal And Wealth Managercontrolsince 03/2024 · owns 75% or more
- O••••••••• C••••••• K•••••• · Chief Compliance Officercontrolsince 02/2024 · owns less than 5%
- R•••••••• M•••••••• C••••••• · Founder, Principal And Wealth Managercontrolsince 03/2024 · 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 |
|---|---|---|---|---|---|
| Southern P••••, Nc · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 925 to 957Aug 14, 2025 to Mar 26, 2026
- HNW clients · 134 to 144Aug 14, 2025 to Mar 26, 2026
- Individual clients · 117 to 118Aug 14, 2025 to Mar 26, 2026
- Assets in custody · $287,807 to $64.6MAug 14, 2025 to Mar 26, 2026
- Employees · 3 to 4Aug 14, 2025 to Mar 26, 2026
- Financial planning clients · 26-50 to 51-100Aug 14, 2025 to Mar 26, 2026
- Discretionary RAUM · $420M to $486MAug 14, 2025 to Mar 26, 2026
- HNW RAUM · $374M to $440MAug 14, 2025 to Mar 26, 2026
- Individual RAUM · $38.7M to $35.0MAug 14, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $0 to $149,305Aug 14, 2025 to Mar 26, 2026
- RAUM · $420M to $486MAug 14, 2025 to Mar 26, 2026
- Wrap assets (sponsor) · $121M to $130MAug 14, 2025 to Mar 26, 2026
- Advisory employees · 3 to 2May 21, 2025 to Aug 14, 2025
- BD registered reps · 3 to 2May 21, 2025 to Aug 14, 2025
- Employees · 4 to 3May 21, 2025 to Aug 14, 2025
- State-registered IARs · 3 to 2May 21, 2025 to Aug 14, 2025
- Financial planning clients · 26-50 to 26-50Feb 11, 2025 to May 21, 2025
- Accounts · 643 to 925Jul 26, 2024 to Feb 11, 2025
- Advisory activities · 2 to 3Jul 26, 2024 to Feb 11, 2025
- HNW clients · 92 to 134Jul 26, 2024 to Feb 11, 2025
- Individual clients · 114 to 117Jul 26, 2024 to Feb 11, 2025
- Assets in custody · unset to 287807.0Jul 26, 2024 to Feb 11, 2025
- Custody of client assets · false to trueJul 26, 2024 to Feb 11, 2025
- Financial planning clients · 0 to 26-50Jul 26, 2024 to Feb 11, 2025
- Discretionary RAUM · $333M to $420MJul 26, 2024 to Feb 11, 2025
- HNW RAUM · $282M to $374MJul 26, 2024 to Feb 11, 2025
- Individual RAUM · $50.5M to $38.7MJul 26, 2024 to Feb 11, 2025
- Non-discretionary RAUM · $5.2M to $0Jul 26, 2024 to Feb 11, 2025
- RAUM · $338M to $420MJul 26, 2024 to Feb 11, 2025
- Wrap assets (sponsor) · $129M to $121MJul 26, 2024 to Feb 11, 2025
- Accounts · 0 to 643Apr 1, 2024 to Jul 24, 2024
- HNW clients · unset to 92.0Apr 1, 2024 to Jul 24, 2024
- Individual clients · unset to 114.0Apr 1, 2024 to Jul 24, 2024
- Discretionary RAUM · $0 to $333MApr 1, 2024 to Jul 24, 2024
- HNW RAUM · unset to 281592439.0Apr 1, 2024 to Jul 24, 2024
- Individual RAUM · unset to 50524035.0Apr 1, 2024 to Jul 24, 2024
- Non-discretionary RAUM · $0 to $5.2MApr 1, 2024 to Jul 24, 2024
- RAUM · $0 to $338MApr 1, 2024 to Jul 24, 2024
- Wrap assets (sponsor) · $0 to $129MApr 1, 2024 to Jul 24, 2024
- Business name · P•••••••• W••••• M••••••••• L•• to T•• P•••• W••••• M••••••••• L••Feb 21, 2024 to Mar 11, 2024
Signals
6 dated events
- C•••••• K• O•••••••• left T•• P•••• W••••• M••••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2026-03-17)Aug 14, 2025 · Advisor changed firm · fact
- 3 advisors left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (Pinehurst, NC) for T•• P•••• W••••• M••••••••• L•• on the same dayApr 1, 2024 · Team lift-out · derived
- Edward Christopher Winn (Managing Member) no longer on Schedule A of T•• P•••• W••••• M••••••••• L•• (listed 2024-03-22, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Evans Howell Neville (Founder, Principal And Wealth Manager) appeared on Schedule A of T•• P•••• W••••• M••••••••• L••Mar 22, 2024 · Control person joined · fact
- Crandall Michelle Robinson (Founder, Principal And Wealth Manager) appeared on Schedule A of T•• P•••• W••••• M••••••••• L••Mar 22, 2024 · Control person joined · fact
- P•••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 18, 2024 · 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•••@t•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 910-401-1539reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 910-475-8312reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/the-pines-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- t•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (910) 475-8312reportedpublic record, Form ADV, Jul 20, 2026
- Team page
- t•••••••••.comreportedpublished 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
- $243Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026