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
C••••••••• P•••••• W•••••
Legal name C••••••••• V•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Aug 4, 2023 · 11 filings
SEC status approved since Sep 7, 2023
RAUM
$207M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$207M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$104M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$207M as of Mar 30, 2026
Mar 7, 2024$137M then
HNW client RAUM$199M as of Mar 30, 2026
Mar 7, 2024$126M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 7, 20242 then
Employees (5.A)3 as of Mar 30, 2026
Mar 7, 20243 then
Private funds: no history
RAUM +23% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- $104MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $496,852derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$199M96%
- Individuals$7.8M3.7%
- Individual clients
- 30reported
- HNW clients
- 57reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 417reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••••• J•••• M•••••Certified Financial Planner | Wilmington, Nc | Oct 12, 2023 | 23 y | 4 |
| S••••• M•••••• S•••••••••Certified Financial Planner | Wilmington, Nc | Oct 12, 2023 | 12 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
- N••••••• J•••• M••••• from T••••••••• W••••• A•••••••Oct 12, 2023 · RIA to a newly registered adviser
- S••••• M•••••• S••••••••• from T••••••••• W••••• A•••••••Oct 12, 2023 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from T••••••••• W••••• A•••••••Oct 10, 2023 · Wilmington, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• N•••••••• J•••• · Presidentcontrolsince 07/2023 · owns 75% or more
- K•••• K•••• M•••••• · Chief Compliance Officersince 09/2023 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Wilmington, Nc · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 30, 2026insurance affiliate (Item 7.A.10): no on the filing of 2025-03-28, yes on the filing of 2026-03-30peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 337 to 417Mar 28, 2025 to Mar 30, 2026
- HNW clients · 50 to 57Mar 28, 2025 to Mar 30, 2026
- Individual clients · 31 to 30Mar 28, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 51-100Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $168M to $207MMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $158M to $199MMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $9.6M to $7.8MMar 28, 2025 to Mar 30, 2026
- RAUM · $168M to $207MMar 28, 2025 to Mar 30, 2026
- Related insurance company · false to trueMar 28, 2025 to Mar 30, 2026
- Accounts · 291 to 337Oct 16, 2024 to Mar 28, 2025
- HNW clients · 41 to 50Oct 16, 2024 to Mar 28, 2025
- Individual clients · 40 to 31Oct 16, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Oct 16, 2024 to Mar 28, 2025
- Discretionary RAUM · $137M to $168MOct 16, 2024 to Mar 28, 2025
- HNW RAUM · $126M to $158MOct 16, 2024 to Mar 28, 2025
- Individual RAUM · $10.7M to $9.6MOct 16, 2024 to Mar 28, 2025
- RAUM · $137M to $168MOct 16, 2024 to Mar 28, 2025
- Other offices · 0 to 2Mar 14, 2024 to Sep 11, 2024
- Accounts · 311 to 291Dec 21, 2023 to Mar 7, 2024
- HNW clients · 54 to 41Dec 21, 2023 to Mar 7, 2024
- Individual clients · 23 to 40Dec 21, 2023 to Mar 7, 2024
- Discretionary RAUM · $155M to $137MDec 21, 2023 to Mar 7, 2024
- HNW RAUM · $130M to $126MDec 21, 2023 to Mar 7, 2024
- Individual RAUM · $3.1M to $10.7MDec 21, 2023 to Mar 7, 2024
- RAUM · $155M to $137MDec 21, 2023 to Mar 7, 2024
- Accounts · 0 to 311Oct 4, 2023 to Dec 21, 2023
- HNW clients · unset to 54.0Oct 4, 2023 to Dec 21, 2023
- Individual clients · unset to 23.0Oct 4, 2023 to Dec 21, 2023
- Discretionary RAUM · $0 to $155MOct 4, 2023 to Dec 21, 2023
- HNW RAUM · unset to 130286031.0Oct 4, 2023 to Dec 21, 2023
- Individual RAUM · unset to 3124353.0Oct 4, 2023 to Dec 21, 2023
- RAUM · $0 to $155MOct 4, 2023 to Dec 21, 2023
Signals
2 dated events
- 2 advisors left T••••••••• W••••• A••••••• (Wilmington, NC) for C••••••••• P•••••• W••••• on the same dayOct 10, 2023 · Team lift-out · derived
- C••••••••• P•••••• W••••• filed its initial SEC registration (Form ADV)Aug 4, 2023 · 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
- 919-726-6124reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/counterweightpwreportedpublic record, Form ADV, Sep 18, 2026
- Website
- counterweightpw.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 919-726-6124reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- counterweightpw.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- counterweightpw.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
- $104Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026