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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

C•••••• C•••••• M••••••••• I••

CRD 107133

ROANOKE, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1d390a44-5b5f-7c22-0d80-d7c6390e4daa

Data as of May 14, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to May 14, 2018
11 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: $1.1BItem 5.F on the latest filing (2018-05-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.1B
Private client RAUM: $820MderivedItem 5.D individuals plus high net worth individuals
Private client share: 77%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• T••••••• H•	President	D	yes	07/2007	Mar 28, 2012	May 14, 2018
G•••• J•••• E•••••	SENIOR VICE PRESIDENT AND PORTFOLIO MANAGER	Na	yes	03/2006	Mar 28, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••••••• P•••••••• L••	n/a	Institutional manager	$1237B	N	yes	n/a
C••••••••• S••••••••• L•••	n/a	Former SEC adviser	$116B	N	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$1.1B	$1.0B	4.9%	$1.0B	1.3%	10	11	0	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C•••••••	3	Dec 31, 2018	May 16, 2018	ROANOKE, VA	Firm absorbed	Other	100.0%

Relationships

Affiliated with (2)

→ C••••••• FINANCIAL ADVISORSRegistered adviserbroker-dealer, common control
factForm ADV
→ C•••••••Registered adviserother investment adviser, common control
factForm ADV

Controls (3)

← I••••• R••••••• J••OwnerSENIOR VICE PRESIDENT,CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 28, 2012 to presentfactForm ADV
← C••••••• T••••••• H•OwnerPRESIDENT, ownership code D, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1d390a44-5b5f-7c22-0d80-d7c6390e4daa
First observed: Mar 28, 2012
Last observed: May 14, 2018 101 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.