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••••••• W••••• L••
Latest filing Mar 26, 2026
First filing on the tape Jun 25, 2025 · 4 filings
SEC status approved since Jul 25, 2025
RAUM
$223M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
70%
$155M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$111M
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
4 filings and snapshots on the tape
RAUM$223M as of Mar 26, 2026
Jun 25, 2025$0 then
HNW client RAUM$95.6M as of Mar 26, 2026
Nov 21, 2025$113M then
State-registered IARs (5.B.3)2 as of Mar 26, 2026
Jun 25, 20252 then
Employees (5.A)3 as of Mar 26, 2026
Jun 25, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $111MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $518,092derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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 assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$95.6M43%
- Individuals$59.7M27%
- Corporations and businesses$50.6M23%
- Insurance companies$16.1M7.2%
- Pension and profit-sharing plans$924,2000.4%
- Individual clients
- 116reported
- HNW clients
- 20reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 430reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $214M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.7 fund_share=0.0 institutional_share=0.08 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 |
|---|---|---|---|---|
| W•••••• F• L••••••••• | Greenville, Nc | Oct 2, 2025 | 23 y | 1 |
| A••••• S•••••••• | Greenville, Nc | Jul 17, 2026 | 13 y | 0 |
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
Joined, latest
- W•••••• F• L••••••••• from R•••••• J•••• • A••••••••• I•••Oct 2, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Greenville, Nc · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 26, 2026wrap fee program participation (Item 5.I): no on the filing of 2025-11-21, yes on the filing of 2026-03-26peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 302 to 430Nov 21, 2025 to Mar 26, 2026
- Corporate clients · 13 to 11Nov 21, 2025 to Mar 26, 2026
- HNW clients · 35 to 20Nov 21, 2025 to Mar 26, 2026
- Individual clients · 79 to 116Nov 21, 2025 to Mar 26, 2026
- Pension plan clients · unset to 2.0Nov 21, 2025 to Mar 26, 2026
- Discretionary RAUM · $212M to $223MNov 21, 2025 to Mar 26, 2026
- HNW RAUM · $113M to $95.6MNov 21, 2025 to Mar 26, 2026
- Individual RAUM · $34.2M to $59.7MNov 21, 2025 to Mar 26, 2026
- Pension RAUM · unset to 924200.0Nov 21, 2025 to Mar 26, 2026
- RAUM · $212M to $223MNov 21, 2025 to Mar 26, 2026
- Wrap assets (manager) · unset to 213711272.0Nov 21, 2025 to Mar 26, 2026
- Wrap assets (sponsor) · unset to 0.0Nov 21, 2025 to Mar 26, 2026
- Accounts · 0 to 302Aug 27, 2025 to Nov 21, 2025
- Advisory employees · 2 to 3Aug 27, 2025 to Nov 21, 2025
- Advisory activities · 7 to 6Aug 27, 2025 to Nov 21, 2025
- Corporate clients · unset to 13.0Aug 27, 2025 to Nov 21, 2025
- HNW clients · unset to 35.0Aug 27, 2025 to Nov 21, 2025
- Individual clients · unset to 79.0Aug 27, 2025 to Nov 21, 2025
- Employees · 2 to 3Aug 27, 2025 to Nov 21, 2025
- Insurance-licensed employees · 2 to 0Aug 27, 2025 to Nov 21, 2025
- Financial planning clients · 0 to 101-250Aug 27, 2025 to Nov 21, 2025
- Discretionary RAUM · $0 to $212MAug 27, 2025 to Nov 21, 2025
- HNW RAUM · unset to 112620666.0Aug 27, 2025 to Nov 21, 2025
- Individual RAUM · unset to 34212270.0Aug 27, 2025 to Nov 21, 2025
- RAUM · $0 to $212MAug 27, 2025 to Nov 21, 2025
- Wrap assets (manager) · 0.0 to unsetAug 27, 2025 to Nov 21, 2025
- Wrap assets (sponsor) · 0.0 to unsetAug 27, 2025 to Nov 21, 2025
Signals
No event on the tape.
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
- a••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 252-262-7301reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 252-262-7301reportedpublic record, Form ADV, Mar 26, 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
- $111Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026