DFX Intelligence

P••••••• C•••••• A•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

P••••••• C•••••• A•••••••• I•••

CRD 145340

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:000b9f2e-57e4-6130-91cf-8ac952218588

Data as of Jun 26, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 26, 2012 to Jun 26, 2012
4 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $34.2M••• Locked
Discretionary RAUM: $34.2M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 563
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P•••••••• D•••• M••••	Owner	E	yes	01/2006	Mar 26, 2012	Jun 26, 2012
P•••••••• R•••• R••••••	PRESIDENT/CHIEF COMPLIANCE OFFICER	Na	yes	07/2001	Mar 26, 2012	Jun 26, 2012

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Davenport	Ia	United States	n/a	no
Galesburg	IL	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 26, 2012	$34.2M	$34.2M	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$34.2M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (2)

← P•••••••• R•••• R••••••OwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 26, 2012 to presentfactForm ADV
← P•••••••• D•••• M••••OwnerOWNER, ownership code E, individual
Mar 26, 2012 to presentfactForm ADV

Registered with (5)

← TIMOTHY ROY LOVINGAdvisorregistration: previous registration
Dec 23, 2009 to Aug 20, 2012factForm ADV
← R••• R•••••• P•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:000b9f2e-57e4-6130-91cf-8ac952218588
First observed: Mar 26, 2012
Last observed: Jun 26, 2012 173 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.