DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM under $100M

P•••••• P••••••• S••••••••• I•••

CRD 126393

GREENSBORO, NC

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Data as of May 1, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Dec 2, 2011 to May 1, 2025
21 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: $9.1M••• Locked
Discretionary RAUM: $0
Private client RAUM: $8.8Mderived••• Locked
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $9.1Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• Q••••••••	Chartered Financial Consultant	GREENSBORO, NC	1	44	4	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
Q••••••••• M••••••	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	01/1999	Dec 2, 2011	Jan 17, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•••••• Q••••••••	n/a	n/a	n/a	Y	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$9.1M	$134M	-93.2%	$133M	-59.1%	1	2	0	0

Relationships

Registered with (2)

← M•••••• Q••••••••Advisorregistration: previous registration
Dec 7, 2006 to Jun 10, 2025factForm ADV
← J••••• M•••••• M•••••Advisorregistration: previous registration
Jul 9, 2014 to Jun 18, 2015factForm ADV

Controls (1)

← Q••••••••• M••••••OwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Dec 2, 2011 to Jan 17, 2024factForm ADV

Dated events

Order

Occurred
1 Jul 2025
Left the SEC roster
••• Locked
Form ADV
$9.1M
Occurred
11 Feb 2025
Regulatory AUM changed
••• Locked
Form ADV
down $122M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 2, 2011
Last observed: May 1, 2025 17 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.

All 14 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 16, 2015	$208M	$33.8M	4	3	n/a	n/a	n/a
2013	Mar 28, 2014	$188M	$21.3M	2	1	n/a	n/a	n/a
2012	Mar 25, 2013	$177M	$22.2M	2	1	n/a	n/a	n/a
2011	Mar 23, 2012	$141M	$4.0M	n/a	0	n/a	n/a	n/a