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
O•• H••••• W••••• P•••••••
Legal name H••••• W••••• M••••••••• L••
Latest filing Jul 29, 2026
First filing on the tape Feb 6, 2026 · 4 filings
SEC status approved since Feb 10, 2026
RAUM
$288M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
85%
$246M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$144M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$288M as of Jul 29, 2026
Feb 6, 2026$0 then
HNW client RAUM$201M as of Jul 29, 2026
May 28, 2026$201M then
State-registered IARs (5.B.3)2 as of Jul 29, 2026
Feb 6, 20262 then
Employees (5.A)4 as of Jul 29, 2026
Feb 6, 20266 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 29, 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
- $144MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 125derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $253,000derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$201M70%
- Individuals$44.8M16%
- Pension and profit-sharing plans$37.7M13%
- Corporations and businesses$5.1M1.8%
- Individual clients
- 141reported
- HNW clients
- 108reported
- Pension plan clients
- 9reported
- Charitable clients
- n/areported
- Accounts
- 1,140reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.13 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•••••• R•••••• H•••••Certified Financial Planner | Raleigh, Nc | Feb 10, 2026 | 13 y | 2 |
| B•••• M•••••• C••••••Certified Financial Planner | Carmel, In | Feb 10, 2026 | 23 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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•••••• R•••••• H••••• from C•••••••• C•••••• A•••••••• L••Feb 10, 2026 · RIA to a newly registered adviser
- B•••• M•••••• C•••••• from C•••••••• C•••••• A•••••••• L••Feb 10, 2026 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• W••••••• R•••••• · Chief Compliance Officer / Managing Membercontrolsince 01/2024 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Raleigh, Nc | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Business name · H••••• W••••• M••••••••• L•• to O•• H••••• W••••• P•••••••May 28, 2026 to Jul 29, 2026
- Accounts · 0 to 1,140Apr 2, 2026 to May 28, 2026
- Advisory employees · 3 to 4Apr 2, 2026 to May 28, 2026
- Corporate clients · unset to 11.0Apr 2, 2026 to May 28, 2026
- HNW clients · unset to 108.0Apr 2, 2026 to May 28, 2026
- Individual clients · unset to 141.0Apr 2, 2026 to May 28, 2026
- Pension plan clients · unset to 9.0Apr 2, 2026 to May 28, 2026
- Employees · 6 to 4Apr 2, 2026 to May 28, 2026
- Insurance-licensed employees · 2 to 0Apr 2, 2026 to May 28, 2026
- Financial planning clients · 0 to 101-250Apr 2, 2026 to May 28, 2026
- Discretionary RAUM · $0 to $250MApr 2, 2026 to May 28, 2026
- HNW RAUM · unset to 200807296.0Apr 2, 2026 to May 28, 2026
- Individual RAUM · unset to 44842283.0Apr 2, 2026 to May 28, 2026
- Non-discretionary RAUM · $0 to $38.4MApr 2, 2026 to May 28, 2026
- Pension RAUM · unset to 37719764.0Apr 2, 2026 to May 28, 2026
- RAUM · $0 to $288MApr 2, 2026 to May 28, 2026
- Related adviser · true to falseApr 2, 2026 to May 28, 2026
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
- Principal office phone
- 252-230-7699reportedpublic record, Form ADV, Jul 29, 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
- $144Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026