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SEC-registered adviser

I••••••••• W••••• A•••••••• L••

I••••••••• WEALTHCary, North CarolinaCRD 328786SEC 801-129370IAPD
Latest filing Jun 22, 2026
First filing on the tape Dec 18, 2023 · 13 filings
SEC status approved since Jan 19, 2024
RAUM
$195M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$194M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$48.8M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$195M as of Jun 22, 2026
Mar 8, 2025$152M then
HNW client RAUM$155M as of Jun 22, 2026
Mar 8, 2025$89.1M then
State-registered IARs (5.B.3)3 as of Jun 22, 2026
Mar 8, 20252 then
Employees (5.A)4 as of Jun 22, 2026
Mar 8, 20253 then
Private funds: no history
RAUM +29% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Jun 22, 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
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$48.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
64derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$452,172derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+29%derivedbetween the last two annual amendments
Advisor growth, one year
+50%derivedItem 5.B.3 between annual amendments
Client growth, one year
+41%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$195MreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$155M79%
  • Individuals$39.5M20%
  • Pension and profit-sharing plans$844,7980.4%
Individual clients
123reported
HNW clients
133reported
Pension plan clients
2reported
Charitable clients
0reported
Accounts
432reported
Financial planning clients
101-250reported
Wrap fee programs
$0 sponsored, $0 managedreported
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=3.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•••• M••••• K••••••Cary, NcMar 19, 202427 y2
D•••• J••••• H••••••••Cary, NcMar 19, 202423 y1
C••••• D•••• H•••Cary, NcMar 19, 202419 y0
E•••• S•••• C•••Cary, NcFeb 12, 202614 y1
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 headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H••••••••• D••••• J••••• · Managing Partner And Chief Compliance Officercontrol
      since 10/2023 · owns 50% to 75%
    • K••••••• J••••• M••••• · Managing Partnercontrol
      since 10/2023 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Cary, Nc · principal410
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    ADV anomalies
    1 against comparable advisers; where to look, not conclusions
    • HNW share shiftChange between filings · filing Feb 26, 2026
      HNW share of RAUM moved from 59.0% to 79.0% between the annual amendments of 2025-03-08 and 2026-02-26
      peers: WEALTH_I•••••••••, $100M to $500M (5,678)
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Wrap assets (manager) · $195M to $0
      May 18, 2026 to Jun 22, 2026
    • Accounts · 408 to 432
      Oct 13, 2025 to Feb 26, 2026
    • Advisory employees · 3 to 4
      Oct 13, 2025 to Feb 26, 2026
    • HNW clients · 56 to 133
      Oct 13, 2025 to Feb 26, 2026
    • Individual clients · 132 to 123
      Oct 13, 2025 to Feb 26, 2026
    • Pension plan clients · 0 to 2
      Oct 13, 2025 to Feb 26, 2026
    • Employees · 3 to 4
      Oct 13, 2025 to Feb 26, 2026
    • State-registered IARs · 2 to 3
      Oct 13, 2025 to Feb 26, 2026
    • Discretionary RAUM · $184M to $195M
      Oct 13, 2025 to Feb 26, 2026
    • HNW RAUM · $125M to $155M
      Oct 13, 2025 to Feb 26, 2026
    • Individual RAUM · $59.2M to $39.5M
      Oct 13, 2025 to Feb 26, 2026
    • Pension RAUM · $0 to $844,798
      Oct 13, 2025 to Feb 26, 2026
    • RAUM · $184M to $195M
      Oct 13, 2025 to Feb 26, 2026
    • Wrap assets (manager) · $184M to $195M
      Oct 13, 2025 to Feb 26, 2026
    • Accounts · 373 to 408
      Mar 8, 2025 to Oct 13, 2025
    • HNW clients · 44 to 56
      Mar 8, 2025 to Oct 13, 2025
    • Individual clients · 137 to 132
      Mar 8, 2025 to Oct 13, 2025
    • Discretionary RAUM · $152M to $184M
      Mar 8, 2025 to Oct 13, 2025
    • HNW RAUM · $89.1M to $125M
      Mar 8, 2025 to Oct 13, 2025
    • Individual RAUM · $62.5M to $59.2M
      Mar 8, 2025 to Oct 13, 2025
    • RAUM · $152M to $184M
      Mar 8, 2025 to Oct 13, 2025
    • Wrap assets (manager) · $152M to $184M
      Mar 8, 2025 to Oct 13, 2025
    • Accounts · 350 to 373
      Nov 12, 2024 to Mar 8, 2025
    • Individual clients · 180 to 137
      Nov 12, 2024 to Mar 8, 2025
    • Financial planning clients · 0 to 101-250
      Nov 12, 2024 to Mar 8, 2025
    • Discretionary RAUM · $139M to $152M
      Nov 12, 2024 to Mar 8, 2025
    • HNW RAUM · $59.6M to $89.1M
      Nov 12, 2024 to Mar 8, 2025
    • Individual RAUM · $79.5M to $62.5M
      Nov 12, 2024 to Mar 8, 2025
    • RAUM · $139M to $152M
      Nov 12, 2024 to Mar 8, 2025
    • Wrap assets (manager) · $1.7M to $152M
      Nov 12, 2024 to Mar 8, 2025
    • Accounts · 320 to 350
      Apr 12, 2024 to Aug 29, 2024
    • HNW clients · 0 to 44
      Apr 12, 2024 to Aug 29, 2024
    • Individual clients · 168 to 180
      Apr 12, 2024 to Aug 29, 2024
    • Discretionary RAUM · $133M to $139M
      Apr 12, 2024 to Aug 29, 2024
    • HNW RAUM · $0 to $59.6M
      Apr 12, 2024 to Aug 29, 2024
    • Individual RAUM · $133M to $79.5M
      Apr 12, 2024 to Aug 29, 2024
    • RAUM · $133M to $139M
      Apr 12, 2024 to Aug 29, 2024
    • Wrap assets (manager) · $133M to $1.7M
      Apr 12, 2024 to Aug 29, 2024
    • Accounts · 0 to 320
      Jan 29, 2024 to Apr 12, 2024
    • Charity clients · unset to 0.0
      Jan 29, 2024 to Apr 12, 2024
    Signals
    1 dated events
    • I••••••••• W••••• A•••••• filed its initial SEC registration (Form ADV)
      Dec 18, 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
    Principal office phone
    919-749-7596reportedpublic record, Form ADV, Jun 22, 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
    I••••••••• WEALTHderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $48.8Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026