DFX Intelligence
RIA Intelligence
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SEC-registered adviser
T•• R•••• W••••• P•••••••• L••
Latest filing Aug 26, 2026
First filing on the tape Nov 8, 2023 · 8 filings
SEC status approved since Dec 8, 2023
RAUM
$401M
reported, Item 5.F
Discretionary
65%
of RAUM
Private clients
92%
$370M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$80.2M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$401M as of Aug 26, 2026
Mar 13, 2024$220M then
HNW client RAUM$270M as of Aug 26, 2026
Mar 13, 2024$148M then
State-registered IARs (5.B.3)5 as of Aug 26, 2026
Mar 13, 20240 then
Employees (5.A)9 as of Aug 26, 2026
Mar 13, 20248 then
Private funds: no history
RAUM +8.3% over the last fiscal yearIARs 5 to 5
Practice profile
derived from the filing of Aug 26, 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
- 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
- RAUM per advisor
- $80.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 94derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $312,689derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 65%derivedof RAUM
- Institutional
- 7.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publicationsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $33.6M, 73 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$270M67%
- Individuals$100.0M25%
- Pension and profit-sharing plans$27.7M6.9%
- Corporations and businesses$2.4M0.6%
- Charitable organizations$1.3M0.3%
- Individual clients
- 373reported
- HNW clients
- 96reported
- Pension plan clients
- 4reported
- Charitable clients
- 6reported
- Accounts
- 1,283reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $362M managedreported
- Custody of client assets
- $33.6M for 73 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• Y•••••••• C••••••• L•••••• | L••••Burg, Nc | Jan 11, 2024 | 19 y | 2 |
| J•••• P••••• L•••••• | L••••Burg, Nc | Jan 11, 2024 | 42 y | 2 |
| J•••• •••••• P••••• L•••••• | L••••Burg, Nc | Feb 16, 2024 | 24 y | 1 |
| L•••• A••••• W•••••• | L••••Burg, Nc | Apr 9, 2024 | 29 y | 2 |
| R••• A••••• W•••••• | L••••Burg, Nc | May 31, 2024 | 13 y | 0 |
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•••• A••••• W•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Apr 9, 2024 · Affiliated broker-dealer or bank to independent RIA
- J•••• •••••• P••••• L•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Feb 16, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••• P••••• L•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jan 11, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- A••••• Y•••••••• C••••••• L•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jan 11, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Dec 31, 2023 · L••••Burg, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• A•••••• Y•••••••• C••••••• · Chief Executive Officer And Chief Compliance Officercontrolsince 10/2023 · owns 25% to 50%
- L••••••• J•••• ••••••• P••••• · Chief Marketing Officercontrolsince 04/2024 · owns 25% to 50%
- W••••••• L••••• A••••• · Chief Financial Officercontrolsince 04/2023 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| L••••Burg, Nc · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,326 to 1,283Dec 11, 2025 to Feb 2, 2026
- Advisory activities · 4 to 5Dec 11, 2025 to Feb 2, 2026
- Charity clients · 5 to 6Dec 11, 2025 to Feb 2, 2026
- HNW clients · 92 to 96Dec 11, 2025 to Feb 2, 2026
- Individual clients · 365 to 373Dec 11, 2025 to Feb 2, 2026
- Assets in custody · $27.7M to $33.6MDec 11, 2025 to Feb 2, 2026
- Discretionary RAUM · $240M to $260MDec 11, 2025 to Feb 2, 2026
- HNW RAUM · $249M to $270MDec 11, 2025 to Feb 2, 2026
- Individual RAUM · $92.1M to $100.0MDec 11, 2025 to Feb 2, 2026
- Non-discretionary RAUM · $130M to $142MDec 11, 2025 to Feb 2, 2026
- Pension RAUM · $26.2M to $27.7MDec 11, 2025 to Feb 2, 2026
- RAUM · $370M to $401MDec 11, 2025 to Feb 2, 2026
- Wrap assets (manager) · $333M to $362MDec 11, 2025 to Feb 2, 2026
- Accounts · 1,273 to 1,326Apr 25, 2024 to Mar 18, 2025
- Charity clients · 4 to 5Apr 25, 2024 to Mar 18, 2025
- Corporate clients · 5 to 4Apr 25, 2024 to Mar 18, 2025
- HNW clients · 85 to 92Apr 25, 2024 to Mar 18, 2025
- Individual clients · 359 to 365Apr 25, 2024 to Mar 18, 2025
- Pension plan clients · 2 to 4Apr 25, 2024 to Mar 18, 2025
- Assets in custody · $23.3M to $27.7MApr 25, 2024 to Mar 18, 2025
- Financial planning clients · 0 to 0Apr 25, 2024 to Mar 18, 2025
- State-registered IARs · 4 to 5Apr 25, 2024 to Mar 18, 2025
- Discretionary RAUM · $229M to $240MApr 25, 2024 to Mar 18, 2025
- HNW RAUM · $234M to $249MApr 25, 2024 to Mar 18, 2025
- Individual RAUM · $90.3M to $92.1MApr 25, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $99.5M to $130MApr 25, 2024 to Mar 18, 2025
- Pension RAUM · $611,319 to $26.2MApr 25, 2024 to Mar 18, 2025
- RAUM · $329M to $370MApr 25, 2024 to Mar 18, 2025
- Wrap assets (manager) · $297M to $333MApr 25, 2024 to Mar 18, 2025
- Accounts · 954 to 1,273Mar 13, 2024 to Apr 25, 2024
- Advisory employees · 4 to 5Mar 13, 2024 to Apr 25, 2024
- HNW clients · 52 to 85Mar 13, 2024 to Apr 25, 2024
- Individual clients · 297 to 359Mar 13, 2024 to Apr 25, 2024
- Assets in custody · $16.0M to $23.3MMar 13, 2024 to Apr 25, 2024
- Employees · 8 to 9Mar 13, 2024 to Apr 25, 2024
- State-registered IARs · 0 to 4Mar 13, 2024 to Apr 25, 2024
- Other offices · 0 to 1Mar 13, 2024 to Apr 25, 2024
- Discretionary RAUM · $220M to $229MMar 13, 2024 to Apr 25, 2024
- HNW RAUM · $148M to $234MMar 13, 2024 to Apr 25, 2024
- Individual RAUM · $68.9M to $90.3MMar 13, 2024 to Apr 25, 2024
Signals
4 dated events
- T•• R•••• W••••• P•••••••• L•• reported RAUM $328.6M, up 49% from $220.2M (2024-03-13 to 2024-04-25)Apr 25, 2024 · RAUM change · derived
- A••••• Louis W•••••• (Chief Financial Officer) appeared on Schedule A of T•• R•••• W••••• P•••••••• L••Apr 25, 2024 · Control person joined · fact
- 3 advisors left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (Louisburg, NC) for T•• R•••• W••••• P•••••••• L•• on the same dayDec 31, 2023 · Team lift-out · derived
- T•• R•••• W••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Nov 8, 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
- 919-496-1511reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 919-496-5615reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- t•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 919-496-1511reportedpublic record, Form ADV, Aug 26, 2026
- Contact form
- t•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- t•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $80.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026