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CRD 109279
ASHEVILLE, NC
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C••••••• S••••• K••• | DIRECTOR OF BUSINESS STRATEGY | Na | yes | 10/2020 | Aug 25, 2021 | Mar 14, 2022 |
| D•••• H••••• G•••••• F•••••••• S••••••• L•• | Member | E | yes | 03/2004 | Mar 28, 2012 | Mar 14, 2022 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| D•••• H••••• G•••••• A••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| D•••• H••••• G•••••• L•• | n/a | n/a | n/a | Y | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Charlotte | Nc | United States | 3 | no |
| Greenville | Sc | United States | 3 | no |
| Jacksonville | FL | United States | 2 | no |
| Greenville | Nc | United States | 2 | no |
| Hendersonville | Nc | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2021 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2021 | $2.2B | $1.7B | 30.4% | $1.6B | 11.2% | 38 | 36 | 16 | 18 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| F••••• M••••• W••••• A•••••••• L•• | 2 | Aug 24, 2022 | Jun 16, 2022 | JACKSONVILLE, FL | Team lift out | RIA to RIA | 10.0% |
| F••••• M••••• W••••• A•••••••• L•• | 12 | Aug 24, 2022 |
| Member |
| E |
| yes |
| 03/2004 |
| Mar 28, 2012 |
| Mar 14, 2022 |
| H••••••• S••••••• R• | DIRECTOR OF FINANCIAL PLANNING | Na | yes | 10/2020 | Aug 25, 2021 | Mar 14, 2022 |
| L••••• W••••••• F••••• | CHIEF INVESTMENT OFFICER | Na | yes | 05/2021 | Aug 12, 2020 | Mar 14, 2022 |
| S••••• W••••••• T••••••• | President | Na | yes | 06/2017 | Aug 18, 2017 | Mar 14, 2022 |
| B••••••••• K••••• M•••••• | CHIEF COMPLIANCE OFFICER | CHIEF OPERATING OFFICER | Na | no | 06/2018 | May 29, 2018 | Mar 14, 2022 |
| no |
| C••••••TON | Sc | United States | 2 | no |
| HIGH POINT | Nc | United States | 1 | no |
| Pinehurst | Nc | United States | 1 | no |
| Raleigh | Nc | United States | 1 | no |
| WINSTON-SALEM | Nc | United States | 1 | no |
| Spartanburg | Sc | United States | 1 | no |
| Summerville | Sc | United States | 1 | no |
| Memphis | Tn | United States | 1 | no |
| Richmond | Va | United States | 1 | no |
| Tysons | Va | United States | 1 | no |
| C••••••TON | Wv | United States | 1 | no |
| Aug 25, 2021 |
| $2.2B |
| $2.2B |
| 37 |
| 23 |
| 16 |
| n/a |
| n/a |
| 2020 | Aug 12, 2020 | $1.7B | $1.7B | 36 | 24 | 18 | n/a | n/a |
| 2019 | Aug 22, 2019 | $1.6B | $1.6B | 36 | 24 | 19 | n/a | n/a |
| 2018 | Aug 24, 2018 | $1.6B | $1.6B | 36 | 23 | 20 | n/a | n/a |
| 2017 | Aug 18, 2017 | $1.5B | $1.5B | 21 | 20 | n/a | n/a | n/a |
| 2016 | Jun 22, 2016 | $1.7B | $1.3B | 21 | 20 | n/a | n/a | n/a |
| 2015 | Sep 1, 2015 | $1.7B | $1.4B | 21 | 20 | n/a | n/a | n/a |
| 2014 | Aug 26, 2014 | $1.2B | $1.2B | 19 | 19 | n/a | n/a | n/a |
| 2013 | Aug 29, 2013 | $1.2B | $1.2B | 17 | 17 | n/a | n/a | n/a |
| 2012 | Aug 21, 2012 | $944M | $812M | n/a | n/a | n/a | n/a | n/a |
| CHARLOTTE, NC |
| Firm absorbed |
| RIA to RIA |
| 60.0% |
| F••••• M••••• W••••• A•••••••• L•• | 4 | Aug 24, 2022 | Jun 1, 2022 | GREENVILLE, SC | Team lift out | RIA to RIA | 20.0% |