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CRD 319096
CHARLOTTE, NC
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| R••••• D•••• S••••• | Certified Financial Planner | CHARLOTTE, NC | 4 | 18 | 6 | yes |
| C•••••• E••••• S••••••• | n/a | CHARLOTTE, NC | Pinehurst, NC | 4 | 40 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| S•••••• R•••••• D•••• | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | E | yes | 02/2022 | Feb 13, 2022 | Jun 6, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| I•• I••••••••• L•• | n/a | n/a | n/a | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Pinehurst | Nc | United States | 3 | yes |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 23, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 1 | -1 | 25.0% | 0 | 0 | 0 | 0 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $200M | $184M | 8.7% | $129M | 15.6% | 5 | 6 | 3 | 3 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| C••••• I••••••••• A••••••• L•• | 2 | Jul 28, 2022 | Jul 29, 2022 | CHARLOTTE, NC | Team lift out | Ibd to RIA | 0.1% |
| no |
| S••••• S••••••• M•••••• | n/a | Mt Pleasant, SC | 3 | 41 | 4 | no |
| M••••• B•••• S•••• | n/a | CHARLOTTE, NC | Pinehurst, NC | 0 | 15 | n/a | no |
| $200M |
| $199M |
| 5 |
| 4 |
| 3 |
| n/a |
| n/a |
| 2024 | Mar 14, 2025 | $184M | $183M | 6 | 4 | 3 | n/a | n/a |
| 2023 | Mar 11, 2024 | $161M | $161M | 6 | 4 | 2 | n/a | n/a |
| 2022 | Mar 29, 2023 | $129M | $129M | 6 | 4 | 3 | n/a | n/a |