DFX Intelligence

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

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

C•••••• A•••• M••••••••• C•••••••••

CRD 118337

RAL••••, NC

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Search this name across graphs

Data as of Feb 16, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Feb 3, 2012 to Feb 16, 2012
3 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: $32.4M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 128
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• G••••••• L••••	PRESIDENT, CHIEF COMPLIANCE OFFICER	E	yes	11/1985	Feb 3, 2012	Feb 16, 2012

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
T•••• A•••••••• L••	2	Dec 13, 2023	Dec 13, 2023	RAL••••, NC	Team lift out	Other	100.0%

Relationships

Controls (1)

← C•••••• G••••••• L••••OwnerPRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Feb 3, 2012 to presentfactForm ADV

Moved with (1)

→ T•••• A•••••••• L••Registered adviser2 advisors, team lift out, same day
Dec 13, 2023 to Dec 13, 2023factForm ADV

Registered with (2)

← G••• J•• K••••••Advisorregistration: previous registration
Nov 13, 2006 to Dec 13, 2023factForm ADV

Dated events

Order

Occurred
13 Dec 2023
Team lift-out
••• Locked
Form ADV
2 advisors
Occurred
13 Dec 2023
Advisor changed firm2 events
C•••••• A•••• M••••••••• C•••••••••: advisor changed firm, 2 counterparties, on 13 Dec 2023
- ••• Locked
- ••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 3, 2012
Last observed: Feb 16, 2012 177 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.